EFTA01255234

rdc 
DB12000P - Deutsche Bank Private Bank 
Batch Date: 
6/15/2017 
Added to Monitoring: 
06/15/2017 
Alert 
Alert Date: 
6/15/2017 
Person Name: Jeffrey Epstein 
Address: 
C51Uri iy UNITED STATES 
Tracking ID: 
KYC 1790655 
Date of Birth: 01/20/1953 
Reporting ID: 
Alerted Entity tk 2 of 2 
Risk Priority: Critical 
Alert ID: 9477691.11602729.77100584 
Entity Information 
Entity ID: 
Riskid: 
Entity Name: 
Address: 
Recent Event(s): 
Event: 
Alert Notes 
77100584 
R110371734 
Jeffrey Richard Epstein 
Bryn Mawr, Pennsylvania, UNITED STATES 
• REG - Regulatory Action / ACT - Disciplinary. Regulatory Action. 04/16/2012 
Jeffrey Richard Epstein submitted a Letter of Acceptance, Waiver and Consent in which he was 
suspended from 
association with any FINRA member in any capacity for 10 business days. Without admitting 
or denying the findings. Epstein consented to the described sanction and to the entry 
of findings that he exercised discretion in a customers account without the customers 
written authorization or his member firm's acceptance of the account as discretionary., 04/16/2012. 
Financial Industry Reg. Auth. (FINRA) Disciplinary Actions 2012 
• REG - Regulatory Action / ACT - Disciplinary, Regulatory Action, 04/16/2012 
Jeffrey Richard Epstein submitted a Letter of Acceptance. Waiver and Consent in which he was 
suspended from 
association with any FINRA member in any capacity for 10 business days. Without admitting 
or denying the findings, Epstein consented to the described sanction and to the entry 
of findings that he exercised discretion in a customers account without the customers 
written authorization or his member firm's acceptance of the account as discretionary., 04/16/2012. 
Financial Industry Reg. Auth. (FINRA) Disciplinary Actions 2012 
Notes: Jeffrey Richard Epstein of Bryn Mawr, Pennsylvania, UNITED STATES, was suspended from association 
with any FINRA member in any capacity for 10 business days for exercised discretion in a customer's 
account without the customer's written authorization or his member firm's acceptance of the account as 
discretionary. 
Source Information 
RDC URL: 
Source Name: 
Entity URL: 
Sources: 
https://gnd.rdc.comivissfentityhtml?entityld=6c75b07ccf9235b45d3f3d53eb346cc4 
RiskConnect, 06/15/2017 
http://vmw.finra.orgAvebigroupsfindustry/ ip/@enfLtda/documents/disciplinaryactionstp126288.pdf 
Financial Industry Reg. Auth. (FINRA) Disciplinary Actions 2012. Financial Industry Reg. Auth. (FINRA) 
Disciplinary Actions 2012, http://www.finra.orgfindustry/disciplinary-actions 
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DB-SONY-0021113 
EFTA_00 I 68849 
EFTA01255254