EFTA01700759

• ear Sfee-ons EFTA01700759 BEAR STEARNS VIA OVERNIGHT MAIL U.S. Department of Justice 500 S. Australian Avenue, 4th Floor West Palm Beach, FL 33401 Attn: Re: FGJ 07-103(WPB)-Tues./No. OLY-71 Dear Ms. BEAR, STEARNS & CO. INC. SHARON D. CERES 320 PARK AVENUE NEW YORK, NEW YORK 10022 Phone (212) 272-6552 Fax (212) 272-5680 sceres@bear.com September 7, 2007 In response to the Grand Jury Subpoena dated August 15, 2007 with regard to the above￾referenced matter, enclosed please find the personnel file for Jeffrey Epstein as well as CD containing account statements for Jeffrey Epstein as well as the following accounts in which Mr. Epstein has some relationship: Epstein Interests Financial Trust Co. Inc. Institutional Interests Heritage Interests International Charitable Interests Health & Science Interests If I find any other accounts that are responsive to your subpoena, as I continue my search, I will forward the statements to you under separate cover. Should you have any questions or I can be of further assistance to you, please contact me at the number listed above. End. Sincerely, . INC. Legal Assistant ATLANTA I BEIJING I BOSTON I BUENOS AIRES I CHICAGO I OAUAS I DUBLIN I HONG KONG I LONDON LOS ANGELES I LUGANO I NEW YORK I PUERTO RICO I SAN FRANCISCO I SAO PAULO I SEOUL I SHANGHAI I SINGAPORE I TOKYO EFTA01700760 AeOPESS ADDRESS arooxiyn, N.Y. 1224 P'I'T .1 FITTNE PHONE LAST EMPLOYER Dalton Schools EDUCATION N.Y.C. 0.01GEACT NOW WANDA NAME Mark Epstein FROM 9/74 TO 3/76 Founoehys.Dept. mufty $1500 Mo. . MILITARY STATUS TELEPHONE • GROUP HOSPITALIZATION Above ACCR E SS Above RELATIONSHIP Brother An .7 REGISTRATiON DATES E:IROL.14tiT DATE " • IEPSTEIN, J. 0 INDIVIDUAL U FAMILY U NONE 1-ims1.r7n1 . /.GIMP mi., etzer ' , - Onskt 6PI J I tin'. DATE KEY POSITION TITLE DEPARTMENT Aserei r tr cvem nee CCAIM SWF 3/15/76 E Trainee Floor Dept.-AMEX $225.00 4 " - it: - 74 PA al.fle.,,j.- --s. zi eirrew 7.6--: „ Oct,. e-c (3;4•4) troc a i,i if 00 I- 7/ r . 4 eaareet 14/ 4 Ocrtnn- .:...e. 9 - .2 v- it. ffri ., P on ...34 on 1 - Fr M ,, : , Y&0 g 8eo KEY. E FULL TIME N. MERIT INCREASE T • TRANSFER T • PART TIME I. LEAVE OF ASS S • SALARY ADJUSTMENT X RELEASED V • SUMMER HELP I • REMO P • PROMOTION R. RESIGNER 0 DEATH II MIMEO MAIDEN NAME LAST NAME DATE EMPLOYED 3/15/76 lorm wn 1/20/ FRISI emIYAL MARITAL. STATUS case ISO t 50 SO Male Single MCC stets emote EPSTEIN Jeffrey E. 44 j I M • • P I tiN L i• v is . 1, • C 1 I It O I , EFTA01700761 CATS KEY POSITION r.r..E OVARTMENT AMOUNT Or IVES{ A SE CURREN :MAE: I COMMENT KEY: E - FULL TIME T. PART TIME V • SUMMER HELP M • MERIT INCREASE • SALARY ADJUSTMENT P - PROMOTION T - TRANSFER X RELEASED R • RESIGNED L • LEAVE DE ARS. I • RETIRED D• DEATH 44 • AEIORED S. S. a MAIDEN NAME LAST Pam( DATE EMPLOYED 3/15/76 BIRTH DATE 1/20/50 sex Ma le Ii2ST INITIAL MARITAL STATUS Married floc E00NI CIO I C EPSTEIN Jeffrey At MEN SCHEDaC JAP4 I TA(1 / NA 11 . I AAA I N A1, IAN auI. A uC 1 Se P % t Y IE EFTA01700762 • •-•%." paws rum ore...cull' INSIJKANI:E. vc (This fora is to be completed by the Employee-)-) li fE CONTINENTAL INSURANCE COMPANY KANSAS CITY FIRE' ND MARINE INSURANCE COMPANY FIREMEN'S INSURANCE COMPANY OF NEWARK. NEW JERSEY BOSTON OLD COLONY INSURANCE COMPANY COMMERCIAL INSURANCE COMPANY OF NEWARK. N. J. PHOENIX ASSURANCE COMPANY OF NEW YORK NIAGARA FIRE INSURANCE COMPANY SEABOARD FIRE AND MARINE INSURANCE COMPANY THE FIDELITY AND CASUALTY COMPANY OF NEW YORK NATIONALBEN FRANKLIN INSURANCE COMPANY OF THE BUCKEYE UNION ILLINOIS INSURANCE COMPANY PACIFIC INSURANCE COMPANY THE GLENS FALLS INSURANCE COMPANY Branch Off ice ISONDING OfloARTIIISMe Bond No Application is hereby made to one of the above named Companies (hereinafter called "the Company") selected by the Employer. Mr., (Mrs. or Miss) 7 Employee (Applicant) Amount of Bond S Position _Trairmm at Payable fu .. Bear., .5.t.e.axas 55 Water St. New goti7gT7i7DIVirm""'" The Nature (Address of Employer in fun. by Number. Street, City) of the Employer's Business is • at.Q.c1c...BrQkere FULL NAME OF APPLICANT (Please Print) .....•••• 19 U'4 • ei sref L. SOCIAL SkURITY NUMBER ... Date of *Birth vv Are you an American citizen? . Single? ✓ Married? Separated? Divorced? Present residence address: How long have you lived there? State each previous dress, addresses during in full and length of time you lived at last five (5) years. No. N (St. or Ave.) City State • From. Lc - to (St. or Ave.) • City stew From to Who constitue your family? Husband? Wife? . pf Children? • Others? Do they reside with ydu? How long have you been . . In what position? in the continuous service of this employer? Trainee Employed at New York ' Dat f taking present prstitiOn airing this itiuran ce 76 Do you receive any income beyond that of this employment? If so, please state amount and-sources? A./2 Do you receive goods, merchandise or other property on consignment or otherwise? Have you ever. failed in business . . or compromised with creditors? AA." • If so, when: 19 • Where• Name of • Business firm: • Assets: $ What were your banking • • • 'Liabilities $ connections at that time? Do you own your home or hold interest in other real estate? alJ'' In whose name is the title?' 4N0 Location of such realty Description ' I Value Incumbrance 7 4 Have you any debts or liabilities other than for current expenses? If an, please give amounts and slate how they were incurred. If Paid by salary, state annual amount and when payable. Have you ever applied to any. company for a bond? If so, when? Was the bond issued' Who was your employer? Has any company ever refused to issue or to continue a bond for you? If so. when? on 19 Name of the Company: what ground was the bond refused? Have you ever been in arrears or in default in your present or previous employment? If so, pica= give particulars /UU payable ni—weetty What company issued the•bond? APPLICANT S PARENTS; IF LIVING, OR OTHER NEAREST RELATIVES 'SAME RELATIONSHIP OCCUPATION ADDRESS (Street and No. in cities) EFTA01700763 YOUR OCCUPATIONS THROUGHOUT THE LAST Furnish below full particulars of your past occupations Or employments during the column headings. If you were at school within this period. give accurate school. Begin in the top space with your most recent activity. If the spaces the record on a separate sheet and join together. TEN YEARS the last ten years. as called for under identification and attendance at each here are insufficient, please complete • PLEASE TYPE OR PRINT INFORMATION BELOW - From -`~ To Full name or exact style (if firm or his business and address. Town and street where you walked. Name and present y p nor Why Superintetdent Nature of your occupation did you leave? Month i.1. ...... 1921. Month Thfis Jel!,... Month 2 19 Month 19 . ...... -....- ...... ....— ... Month 19 Month 19 - . ..... ... .... . Month 19 Month Month ' Month • Month Month ...... . ..... -.... .... .... -- .... REFERENCES • dining Give the as past references the names and post-office addresses in full of three or four persons well acquainted with you aides. Please do few not years refer and not related to you. They should be persons of good standing in their respective comma￾employer. to any officer or fellow-employee in the service in which you are engaged, nor to any former NAME PROFESSION OR BUSIItESS RESIDENCE ADDRESS IN FULL (Street No. and Cic sg .LL.) 4-t' r• At. 1-5 L-7 .atSsfr' l ..(90 Leria4- . and I hereby declare dust the foregoing statemen s are true, and I hereby apply to the Company for a bond in my behalf of such kind in such amount as the employer to be named as beneficiary in the said bond may now or hereafter require. I also hereby agree expenses for myself, my heirs, executors, and adminis mots, to indemnify the Company against any losses, damages, costs, charges and or any new it bond may sustain, incur, or become liable for in consequence of my acts while under the said bond or any renewals thereof, of any such issued in continuation thereof or as a substitute therefor; and -any proper evidence of the payment by the Company such payment, losses, damages costs, charges, or expenses shall, in the absence of fraud on the part of the Company in making be conclusive evidence against me, my heirs, executors, and administrators, of the fact and extent of my liability applied to the Company for; that, under this agreement. I hereby further agree that .the Company shall have the right to decline to grant the bond the Company shall in not case be the bond is granted, the Company.•shall have the right to withdraw or cancel the bond at any time; that said bond muff be based: and required to disclose the reasons or grounds upon which any action on its part in connection with the that the Company shall not be responsible fur any loss Of damage that I may suffer by such feligarl of aro. action, any statutory provisions to the contrary being hereby expressly waived by me. This agreement may not be changed or modified orally. No change or modification shall be effective unless made by written endorsement hereon signed by an authorised representative of the Compan Dated and signed at 42.?... ..... ..... -....-... ........ this day of ....... ............. , 19_9.1 ••• .. . ••••••• EFTA01700764 ORIENTATION FOR NEW EMPLOYEES The basic policies of Bear, Stearns & Co. are contained in the attached orientation outline. After you finish read￾ing the outline, the instructor will verbally go over the policies in detail, and answer any questions you may have concerning them. I have read and understand the orientation outline which explains the following policies: 1. History of the Firm 2. Trial Period A. Probationary Agreement B. Background Check 3. Employee Benefits A. Bonus Payments B. Vacations & Holidays C. Medical Coverage D. Life Insurance E. Profit Sharing F. Pensions G. Salary Advances & Loans 4. Workweek: Pay & Overtime 5. Payday 6. Identification Cards EFTA01700765 (PERSONNEL DEPT. REPRESENTATIVE) 7. Open Securities Trading Accounts 8. Jury Duty 9. Accidents or Illnesses 10. Medical Department 11. Disability 12. Cafeteria 13. Evacuation Procedures 14. Performance Reviews 15. Absenteeism EFTA01700766 Bear, Steams & Co. 55 Water Street New York, N.Y. 10041 (212) 952-5000 WRITER'S DIRELY OIAL NUMBER University of California Berkeley, California JEFFREY E. EPSTEIN BEAR STEARNS March 16, 1976 a • (Applicant': Name) (Social Security No.) has We applied to us for employment As a previous employer, we would appreciate your comments. have obtained a signed authorization and indemnification agreement from the applicant to conduct reference checks, a copy of which is enclosed. Should you prefer to respond by telephone, please call our reference section at 212/952-5263. Dates of Employment: Supervisor: Claimed from 1973 to 1974 Lecturer Dr. 1.1 Verified from to Above Avenge Average Below Average Attendance ' C . C Punctuality C3 Work Cl =I C=1 Performance 0 I= CI Overall Rating 0 CI 0 To the best of your knowledge, did this applicant have a Securities brokerage account? ❑ Yes Q No Would you recommend the applicant for a position of trust involving negotiable securities? 0 Yes E3 No If your present policy permitted, would you rehire this applicant? Yes =No Is there anything we should know about this applicant which would help make our relationship a successful one? GENERAL REMARKS: Name: Title: Signature: Date: Form 267. (10/75) . ;;.3, 94720 New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco- Amsterdam/Genova !chic. EFTA01700767 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 (212) 952.5000 WRITER'S DIRECT DIAL NUMBER To Whom it May Concern: BEAR STEARNS I hereby authorize the release of the information requested on the attached form to my employer, Bear, Stearns & Co. Thank you in advance for your cooperation. HA71-O7- fr/ Sincerely, New York/Atlanta/Boston/Chicago Dallas/ Los Angeles/San Francisco Amsterdam/Geneva/Paris EFTA01700768 1. APPLICANT'S, NAME Ms. truNINIULN Mr. iNuus HY REPRESENTATIVE and/or AGENT ---- ;AS? FIRST)/. kis rm. Middlefif None. so swill/ ER--I 4. NASD FIRM NUMBER f r 6. FIRM ADDRESS l -T in j 5. FIRM NAME, lace( Firer:a X'-•ce, rucip ve7 Ai 7. OFFICE OF EMPLOYMENT OF APPLICANT cr ;Ayr se•-, __tt I /. . 8. NASD DISTRICT IN WHICH OFFICE IS LOCATED. 9. TO BE REGISTERED WITH T-HE--FOLLOWING: • (Check All Applicable) ----- i SECURITIES AND EXCHANGE - • -1 . NATIONAL ASSOCIATION OF SECURITIES DEALERS (NASD) C L_ „.. j COMMISSION ONLY (SECO) Ti I . . _ ; • -- • • - - - • • • ....... . Boston Stock Exchange 0 Chicago Mercantile Exchange 0 Cincinnati Stock Exchange 0 3. DATE OF EMPLOYMENT _4/1-3/(Lii_ 7. 6 _ I AL ❑ AN 0 AZ 0 AR 0 CA 0 CO 0 CT 0 IL 0 MD 0 11. TYPE OF APPROVAL REQUESTED: STANDARD REGISTRATION (Registered Representative) FULCREGISTRATION/GENERAL SECURITIES LIMITED REGISTRATION REGISTERED COMMODITY REPRESENTATIVE AGENT OF ISSUER INV. CO. & VARIABLE CONTRACTS PRODUCTS SECURITIES TRADER REAL ESTATE SECURITIES DIRECT PARTICIPATION PROGRAMS OTHER (Specify) PART TIME (NASD or SECO) FULL TIME (NASD or SECO) INTERMEDIATE REGISTRATION BRANCH OFFICE MANAGER SUPERVISORY ANALYST OFFICER (Title) American Stock E ha Chicago Board of Trade 0 [ _ • • •• • - J Detroit Stock Exchange Chicago Board Options Intermountain Stock Exchange 0 Exchange o F__- - J Midwest Stock Exchange ❑ .._ _ — 10. TO BE REGISTERED WITH •--. THE FOLLOWING JURISDICTIONS: (Check all applicable IN 0 1MA NV 0 0 Exchange _— DE 0 DC 0 FL 0 GA HI 0 . ID 0 IA 0 ICS 0 KY 0 LAO MED OTHER (Specify) MID MN 0 MS 0 MO 0 • MT.0 NE ❑ ❑ o O ❑ 0 Other (Specify) _ 0 NH 0 NJ 0 NM NY 0 NC 0 ND 0 OH 0 OK 0 OR 0 PA 0 RI 0 New York Stock Exchange Pacific Stock Exchange P8W Stock Exchange Spokane Stock Exchange Other (Specify) SC 0 SOD TN 0 TX 0 UT[! VT 0 PRINCIPAL REGISTRATION Member (Exchange) Regular Associate — Approved Person (Exchange) . Holder of Voting Stock Holder of Non•Voting Stock Subcirdinated Lender Holder of Debentures Director General Partner Limited Partner VA 7: WA 0 WV j WI 0 WY ri PR 0 ; o ❑ ❑ O I O Officer (Title) . . Allied Member/Gen. Securities Principal 0 Sole Proprietor Manager Office of Supv. Jurisdiction 0 Financial and Operations Principal (2 Direct Participation Programs i3 Investment Co. & Variable Contracts Products 0 Underwriter Principal 0 0 I2. To the best of my knowledge and belief the applicant at the time of approval will be familiar with the statute(s). constitution(s) and ripe of the igency. jurisdiction or organization with which this application Is being filed. and the rules governing registered persons, and will be fully qualified ter the )Osilion far' which applieJoen is being made herein. I agree that notwithstanding the approval of such agency, milady:hen or oiganization.,which hereby 5 requested. I will net employ the applicant in the capacity staled herein without first receiving the approval of any authority which may be required by aw. This hem has communicated with all the previous employers of the applicant during the past three yeais, as set furth below: EMPLOYED FROM — CONTACTED GY 'PHONE,* i TO EMPLOYER NAMEANCPOSITION.12F-- — PERSON CONTACTED LETTER Oft INTER •IEW addition. I have taken appropriate steps to verily the statements contained in this application a .plicant. qtiieIn;OIttpIt Rea clrepu-..latTen ofthej Dale print Name of A;Prop7iateSignalory---------- Signature of Alsiiri:q3;ieneiirrtrtury (See Instruction - 12) perience ether Ica mine Required am Required DO NOT WRITE IN THIS SPACE Clearance train Taken: Date _ Ciade _ Date Approved: Cond.. IT Grade OK EFTA01700769 PERSONAL HISTORY • Page 2 of 4 t . b ...s. filf 5,1c,r,Cp i en iSetgG 1 AA/. int' 16. la ir c-i ty Ma, 4-/ VIC stale . . //1-Zi2p F silrd ff f 14. ..--- ress L___ j 19. Citizen Yes ET'''. of US? No 0 r i 21. Alt, ce If no, state country of _ (__L---- 0 3' soWlier -C-6ii,....._,........__. nes (II None, Indicate/ citizenship 2. M 23. tai7i6rtitif neer& sinus/ a Malan- NirnICUI FRO'Ila6fir Mother's Full Ma den Name 4. MilriMailliMIMIEM • : cifiWi'ru UAW IF MORE SPACE IS NEEDED FOR ANY OF THE FOLLOWING QUESTIONS. ATTACH A SEPARATE SHEET • i ViaiLt i Pi 118. no or EVIOVi ewnth" °IOC' 25. EDUCATION 'ducational Institutions Attended: HIGH SCHOOL Elcia COLLEGE 12 LTD,/ ipecify Highest Year Completed: 9 0 10 0 11 0 1.0 2O 30 4 0 • • name"AFinobriess'or'INSTittITION COURSE (STREET. CITY. STATE. ZIP CODE/ MO. YR. MO. TR. haetterkr ,4, 611 > (Hi ota/E4, rd. C.Valt w.v. en° •I • rI GRADUATE spHoc. n 2 CI 3O 4O •8,Vi OR -751611°6-DEGREI EVENING GRADUATE 26. EMPLOYMENT HISTORY The following is a complete, consecutive statement of my business history for the past ten years starting with my current position. (All time must be accounted for including seRemployment. unemployment, parbtime securities, commodities, insurance and real estate industries or related positions and all military service.) NAME of EMPLOYERTh.NOCOMPLETE ADDRESS (STREET. CITY. STATE. ZIP COOS) FROM MO. YR. f0 MO. YR. ...3 di_k_ I POSITION NEI.0 REASOICFOR LEAVING —eacon PART•TIME -c 6 l•-• •I• S IL: i 4 Tex. A.0 .. In. ( iri ..J• :i l • c../.....- r aj? , -, i • I i . . I ..I—_ I.-- 27. RESIDENTIAL HISTORY (Give all home addresses starting with present address.for the past 10 years.) • X411 (Street. City. State. zip Code) 'FROM MO. YR. To t it. YR. ____ -...i ___ .:— _.4__R: tf.G....m-•_ Ai- I _._ r....- ov s erc..(Akt,.. - ati-__rn, 7 _O1,etes.,::__ psi., i l.Kry.,,, ,--- 1 __ ____ • ---p- / cul l.. _E.)..t.ii__ _.._. __Levt_t.___ 175s - fic . __ . _... _ _:__ .. _ ._ __. ....._szo. i6s. __it 21" F '2 I I J 28. The following is a complete list of all brokers, dealers or banks with which I am carrying accounts Insecurities or commodities or with which I have carried such during the past ten years. (If "none", so state.) • — ••— — NAME AND ADDRESS OF FIRM OR BANK ACCOUNT NUMBER CASH O MARGIN FROM/TO ET3 OREN Oh-- CLOSED I authorize and request any and all of my former employers and any other person to furn'sh tc the agency, jurisdiction or organization with which this application is being filed, or any agent acting on Its behalf, any information they may have concerning n y credi worthiness, character, ability, business activities, educational background, general repu ation. together with, in the case o former employers, a history of my employment' by them and the reasons for the termination thereof. Moreover, I hereby release each such employer and each such other person from any and all liability of whatever nature by reason of furnishing such Information to the agency, jurisdiction or organization or any agent acting on its behalf. . Further, I recognize that I may be the subject of an investigative consumer report ordered by the agency, jurisdiction, or Organization with which this application is being filed, and that I have the right to request complete and accurate disclosure by such agency. jurisdiction, or organization of the nature and scope of /he investigation requested. / r t I• r • 1.• EFTA01700770 .CN YEAR UNIT DOES NOT APPLY TO QUESTIONS 30 THROUGH a A. Hhve 54. you• ever taken and passed a qualifying examination for registration in any capacity with the NASD; a national securities or commodities exchange or SECO? If yes, state below the type Of ✓ examination, the approximate date taken and with what regulatory body appncation,was made. Yes_ No__ I I Tyr* of Exam Approximate Oata taken Regulatory Body • B, Have you ever been granted a waiver of qualifying examination with an agency or organization? If yes, state below the type of examination, the approximate date and by what agency or organize. lion. Yes—. No— I P age 3 of 4 —1.9377at Exam Approximate Dale Weaulatory Sod; C. Have you ever taken a qualifying examination for any jurisdiction? If yes, state below the type of examination, the approximate date taken and the name of the jurisdiction administering Type of Exam it. , Yes_, No — —ArrnatetaTilakett Reguistaflooy It 1 issuing the exemption or exclusion.. Yes_ No 0. Hive you ever been exempted or excluded from taking a qualifying examination by any jurisdiction? If yes, state below the type of examination, the approximate date and the name of the jurisdiction Wirirsie Awe* male bale Remdatory—body IF THE ANSWER TO ANY OF THE FOLLOWING QUESTIONS IS YES, ATTACH COMPLETE DETAILS: 31. Have you ever been registered or licensed by any agency or jurisdiction to sell or to deal in securities, or commodities as a principal or employee with any registered broker•dealer or to function as an invest. ment adviser? If yes, specify the name of the broker-dealer or investment adviser, dates registered and agency or jurisdiction with which you were registered. Yes￾32. Are you currently engaged. in any other business either as a proprietor, partner, officer. director, ✓ trustee, employee or otherwise? Yes— No—_ 33. Do you or any member of your immediate family have any beneficial interest irrany investment part• net-ship or corporation (including hedge funds, investment clubs, etc.) or any other domestic or foreign accounts whose primary function is Investing in securities or commodities (excluding companies regis￾tered under the Investment Company Act of 1940)? • Yes._-- No 34. Are you now or have you ever been licensed Type of to sell insurance? license(s) and ivrisdictierdS) where licensed 35. Are you now or have you ever been licensed to sell real estate? Type of Licenses) and ... jurisdiction(S) whore 36. licensed Are you currently bonded? (If yes, specify insurance company and amount.) c.ffint•:?....ttf-alar t... . 37. Have you ever been refused a fidelity bond? 38. Has any surety company paid out any funds on your coverage or cancelled your bond? 39. Are you now or have you ever been a regular or associate member of any stock exchange or commodity exchange/contract market? 40. Have you ever been an officer, director, general partner, owner of ten (10) percentum or more of the voting securities, or controlling person of, or otherwise engaged in any other managerial or supervisory capacity with any broker or dealer for which a trustee has been appointed pursuant to the provisions of. the Securities Investor Protection Act of 1970. or that has been liquidated under any other circum￾stances? . a 41. To your knowledge, are you now or have you ever been the subject of any investigation or prOceeding by any securities, commodities or insurance agency, jurisdiction or organization? .... ... 42, Are you now or have you ever been a defendant in any litigation alleging the violation of any agree• ment with or provision of a securities or commodities industry self.regulatory organization's constitu￾tion, bylaws or Mes, or any securities, commodities or insurance law or regulation? ......... ...... 43. Are you now or have you ever been a director, controlling stockholder, partner, officer, sole proprietor. or associated person with a broker•dealer or insurer which during the time of such association was suspended, expelled, br had its registration denied or revoked by any agency, jurisdiction or organiza￾tion? 44. Are you now or have you ever been subject to an order of the NASD, a securities or commodities exchange, an agency or any jurisdiction which revokes, suspends or denies membership or registra. Boni ....... .... .... ........ 45. Has any permanent or temporary Injunction ever been entered against you or any broker•dealer, insurer, investment adviser or commodities firm with which you were associated in any capacity at the time such injunction was entered? • • ••• ••• • I 46. Are you now or have you ever been (whether or not poa k ch, disclosed) suspended, expelled, fined. haired, censured or otherwise disciplined. or found to have violated any securities or commodities law or rule by any securities or commodities agency, jurisdiction or organization; or been refused member￾ship therein or withdrawn your application for such membership; or been refused a license to sell Insurance or had one suspended or revoked for cause by any jurisdiction or agency? ...... . 47. Are you now or have you ever been named as an aider, abettor, or a co-conspirator in. or cause of. any action mentioned In questions 40, 41, 42, 43, 44, 45 and 46, taken with respect to a broker-dowse or insurer? ./ No Yes— No I 1 Yes nTh Yes— NO.- 7." Yes— Noit Yes,,.— No —[ Yes— No..,... En Yes— No—C V Yes.— No.......- st No.—. • Yes...__. yes__ No Yes_ Yes_ No/±. EFTA01700771 .d. Are you now or have you ever 4 of 4 plined by an employer been suspended, expelled, fined, barred, censured or otherwise disci- in the securities, commodities or insurance industry? 49. Have you ever Yes—. No_ had denied, suspended or revoked a ship license. Permit certificate,•registration or member￾50. In your required to engage in securities, commodities, insurance or other business or profession? . Yes_ No_. previous business connections or employment, have you ever been: a. a subject of a major complaint or legal proceeding? Or, Yes_ No b. discharged alleged or requested to resign by an employer because of dishonest or unethical acts to have been committed by you? 51. Have you or any firm, Yes 0- failed in business, made corporation or association of which you have been a principal or officer ever any bankruptcy acts? 'a compromise with creditors or ever .filed or been declared bankrupt under Yes.— No_ LTD pony violence or other financial institution, or involving any crime in which violence or threats of of against any person, dishonesty, the wrongful taking of any property, or any manner fraud was a factor, 'or involving conspiracy to commit any of the foregoing? . .. .... Yes_ No._ 52. Have you ever been: a. Arrested or indicted for any felony or misdemeanor involving the purcha se, sale, or delivery of any security, or arising out of the conduct of the business of a broker, dealer, fiduciary. investment company, investment adviser, underwriter, bank, trust company, insurance com• or, b. Convicted of, or pleaded ncifo contendere to, any felony or any misdemeanor, except minor traffic offenses? 53. Have Yes_ No were associated you ever been with a principal or employee of any firm, corporation or association which, while you meanor? it. was convicted of, or pleaded nolo cont endere to, any felony or misde￾Yes—__ No 54. Are you currently the subject of an unsatisfied judgement or lien? Yes__ No THE FOLLOWING SHOULD BE READ VERY CAREFULLY BY THE APPLICANT I . 1 1. I hereby certify that I have read and understand the foregoing statements and that my responses are true and complete to the best of my knowledge. 2. To induce the agency, jurisdiction or organization with or to which I am filing or submitting this application to receive and consider it: A. I agree that any decision of the agency, jurisdiction or organization as to the results of any examination(s) that I may be required to pass will be accepted by me as final; B. (1) I tion understand certificate that or I an am official not authorized notification to sell, or offer for sale, any securities until I have received my license or registra- of its effective date; (2) / understand . C. that I am to sell only those securities authorized by my employer. of I agree to abide by the Statute(s). Constitution(s), Rules and Ely.Laws as any of the foregoing are amended from time to time the agency, D. If I shall jurisdiction or organization with or to which I am filing or submitting this application; agency, jurisdiction -violate or or be organization charged with with the violation or possible violation of any Statute, Rule, Constitution or By-Law of any by or to which I am filing or submitting this application, I agree to be subject to and abide 3. Further. the penalties .of the Statute(s), Constitution(s), Rules and By-Laws.of such agency, jurisdiction or organization. tion, and in consideration of the securities or commodities self-regulatory organization receiving and considering this applica- ._.- I submit—myself to the jurisdiction of such organization(s). 4. I. _.•••1L.:_qc '11 Laitrier auto,/ the undersigned applicant do solemnly swear that which the answers to the above questions and the statements herein made are true, and that I have not herein made any statement, 5. I, the undersigned, is at this time and in the light of the circumstances under which it is made, false or misleading in any material respect. for the purpose of complying with the laws of the State of hie-Li 1 .* /•1( relating to either the registration or sale of securities or commodities, hereby irrevocably appoint the administrator, or such other person desig- nated by law, and the successors in such office, my attorney in said State upon whom may be served any notice, process or pleading or out of in the any violation action or or proceeding alleged violation against me arising out of or in connection with the offer or sale of securities or commodities. of the aforesaid laws of said State; and I do hereby consent that any such action or proceeding against me may be commenced in any court of competent jurisdiction and proper venue within said State by service of process Upon said appointee with the same effect as if I was a resident in said State and had lawfully been served with process in said tate It is requested that a copy of an otice, process plead' p ed hereunder be mailed to me at my residence. Al 71) Siena t Data Date Sionalmee of Witness Witness must be either a partner of the firm, officer of the corporation, branch office manager, or authorized employee. Please ndicate which). (NOTARIZATION OF APPLICANT'S SIGNATURE) ;TATE OF lounty EFTA01700772 °Fru uitianLy( ' _ ... r,4 D. ____ ki ---......, BEAR, S EARNS & C0.' •-NEW YORK, N.Y.10041 USE A BALL POINT PEN..., PLEASE PRINT PLOYMENT AN foR Toys/ NAL RESPONSES ASR rem HISTORY A SUPPLEMENTAL FORM i'°""°"( TORN Nat ILA*: ils4T. siDOLI. wo..0”/ . AL SECURITY E--- .--.. ? S ire r: fr ni i \Je 7.--. .' 11.-*V2 6 7) ofAE *OGRESS . AO AMA MEAT ,,, / 14 41. ) (7/1 . Y /ale. zo /Rot POSITION pul l° FOR A/ SII EC 7- • WHAT 'Mate, 00 is O Mtn/ w•Cli CAN IOU START/ INANE 1:1 12Y,A A "0 WITH tekONDA'N ' IMI,WPIAMSV ALM Ami"1,5 0 NO9 viNOI . r. RELATIONSHIP c- 4. ' OSI 0 W riyi2i,u, S C,t.T)TEN tf,,,,F.O.tRA5 IN °.S.A. OTC A LOCATION 3. COMPANY (IC) POSITION rq .4".E1.€ 1.. L. I I4 E IOU EVER Ws coliviCTED Or A CRIME OE CIVIL OR MILITARY TAMIOINTI(S1 NO TM °PLAN. PATE Or SMITH EDUCATION ( k)-- -5- (Begin with High School(s). Include Correspondence Schoo s. etc. TYPE OF SCHOOL NAME AND LOCATION INDICATE 11 1 Pi. MAJOR DEGREE OR DIPLOMA RECEIVED room NA. ATTENDED , A. TO ". 'R. DID YOU WI GRADUATE? d C. th (, Pc.ki • I,3, /lb..% 1 4 ?.. TES MO • ing I . Catty.... Ltd I 9 . P4) s(e.s itkith----c— Gi• i TES EV. NO I ..), ... . Cie( /qt.. 4,,. 1 /1-41-rq o/ti C.- i TES O . . , • EMPLOYMENT ill in below a All complete, consecutive statement of your basin 's his bry for the pa ten years. time, including periods o unemployment, must •• • k ounte If self employed. show naive and address under which business was conducted. LAST POSITION COMPANY •1411.:Pl i ctflpc,c5 POSITIoN HELD -par- tie? TiNG iti TAR FROM To EXACT ADDRESS 4 6 fo6 1.404 •••V,,A1 7 At" DEPT. AND SUPERVISOR ic., MO TR MO. TR. Tow. SA •ily TYPE Or 4- ,DUVESS 4.40 r O I OuTiEs of POSITION RESIGNED FULL TIME O O RELEASED O LAID Off O DISCHARGED O ETPLAN•TiON or, REASON FOR LEAVING li n ri. .1.4 , P RI FINE O EC HE. O 711 s EAT P POSITION 0.1005 COmraT re. A i /6, 1.4.4. 41,..,.. . POSITION HELD , -4t,w,...... SAL t room To (LACE ADDRESS it 7 1 AIL, 1.; i . ve.. •Dullf4. OUT AND SUPERVISOR . - FINAL f/N•L:. MO. TIC M. TR lAt.AR7 2 2, 7 (71: Mt Orr SINUS Or POSITION rf14. • FULL TINE O - RESIGNED re...,:.. ar O RELEASED O DISENARCED O AAAAAAA ATIOPI OF REASON TOR LEAVING PART ANC TOM O . ASTI AAAA Cul POSITION ECNPANT POSITION 11(5.0 STARTING ]ALA AA TROY TO WET ADDRESS OUT ANTI SUPERVISOR MO TR NO TA FINAL SALARY TIRE of OMSIMCSS - DUTIES Or POSITION /DLL THE O O I'(SIGNED6 LAID ore' O RELEASED O SISCHARGEO O ETPLANATION Or REASON FOR LEANING A TEMP 1 O En PREV:CoS POT. 1:04 COMPANY POSITION MELD STARTING S AAAAA MOM ' TO (TACT ADDRESS DEPT AND SuPERviSON MC 'II D19 FINAL SALARY IA TYPE Or RUSINts + DUTIES or posi TICK . i n : Ira O RESIGNED L.) LAIC OFF O A/LEASEDa 461C AAA A A 0 ClPlAmAnCm OF FUSON FOR Lt VINO NIT [U 'CUP O mmem....1.-- 1ST ARC! oAs ...SWAM P01,1 0,1 ,CO‘ •• .....; SAARI ',RSA "I tIAC' ADDICTS . :Cf • A40 S4PER,riSCIR MO TR .40 Or.Al. •R T•PE or BUS:ResS Gums or POSITION ars Ivo. 'am( LI NIS•ONED —, r ; LAID OFF O RELEASE, n z.w...GED O ETPLAntAT.04 or ACa!Cm TOR LEAVING TEMP q AS AN EQUAL. OPPORTUNITY EMPLOYER ORRIS IRTreauWO & rn EFTA01700773 • 4 - UNEMPLOYMENT Account for your time during any periods Cl unemployment. sett emplcyment or family employment. IV other than those when you were attending scnool. . . These periods of time must"be verified by someone other than a relative or an employee of Bear. Stearns & Co. nwp￾nisi iv EIPLANATION IX ivIDUAL To MITT •00(NPLOTNENT in, y•pyat•Eyy OR mouy EMPLOYNENC NO TN NO TP - • . nANE • ACHNIESS " . - NAME ND RESIDENCE RESIDENCE RECORD FOR PAST TEN YEARS— UNITED STATES ONLY 1.1-1." 10 •roccr *oouccs STATE APT • Cyr* vENT ITN PAIIENTs. • MD. IL •10. CiTy TN 7 ` II. '1 ( . ,,......_ ,7 ..01...Ce . . e•• /7,04.1./ .C.• in 7- V / 7" ./....... • ' • STATUS / er !RANCH Or SEitylCE 66666 OF ACTM Ni Loan sumac MS TyPE Of emu TART DISCHME O NON° AAAA rm EIE AA II AA . UNDER NONONAM I—I CONOITIONS. MCLAIN ON Mt 11 O OTNIA NEXPLAIN.ON An ai • • • • . . • NAYS )ereEVER MN EMPLOYED AT SEAN. MESONS • CO.? na' . n Lam WO IF YES IRON 0 DO TOY NAVE ANY IVITSICAL LIMITATIONS? TESO NSW II 'MS- . OOCAiAC NAVE 100 MAO A NAM ILLNESS IN MO •NO0 ' THE PAST • YEARS? If ••YES.'• DUMB! MOM 010 TOY O NEWSPAPER AO TO APPLY TO SEAR. SMOKE • CO.? • • E3 O Nam, la OTHER • III CASE NAME • CATION 1110 tio' °11ll1. 4/ • AAAAA SS TEL NO. I Oa you or spouse have any YES N additional income? O (II "Yes; explain OA re 31 . 5. NM you ever been tensed a YES NO bond or had o e revoked? O O When 8. Nave you ever been a MIN YES NO to an arbrIratiowproceeding O o-Ff by a Governmental *drain. .1.-J istratide Agency or &Nines regulatory agency? (II "Yes; explain-on.Pg.3) . - - If IL Are yOU a Director or Oaten YES SI•OF . of any Corporation? O O . CI —Yes: mini on Pg.)) 12. Co you trade in the YES NO seconixes.Market? -Ter teal Brokerage firm? O •Or YES i0.- Ii 2. De you have any outstanding YES NO debts lo am Corporation. Loan O Company. 8ank, Me. Ilncluding Mortgage, Acco slallmenl and Charge Accounts) 14 "Yes." ea plain on Pg. 3) • Mere YES 5 Are you bondable? O . 9. H3S-3 Mechanic's lien or a Tax lien goateed liked YES rj K Co you have an account? O U 6. MS any jaatnitill Or criminal TES N0V conviction ever been entered O agasnst you? • apint You? (II -Ws; explain on Pg. 3) 13. Nave you had any inauSItell T.c.S NO accidents covered by 'Rork- O O men's Compensainn? „..., 3. What is your approximate ,...,'' Of —fee; mono On Pg 3) monthly obligation on debtapt w a ID. Have You ever laded in busk TES NO oess.gllat • COMCIO Me lall O D.-. - Creditors. Or taken ;Ming a bankaisky gay Of 'Yee tiplaiiVOIT Pe.3) . . 7. Have you aver been sseig or YES NO WIT 10 a LIWsuil? " O g"7% gi (II "Ter explain on Pg. 3) Y • ..... It 110 yOU receive any pension YES NO for a past drsabilly? O O • of "tee explain-on Pt. 3) 4. !Myrna Salaryever been YES No garnisheed? O el f ill Ms: exPlain On Pg. 31 . . . . • PRE-EMPLOYMENT STATEMENT I understand and agree hat Sear. Stearns & Co...and/or Its agents will make a thorough investigation-of my past.employ￾ment and activities, and I agree to cooperate in such an Investigation. I also understand that under the "Fair Credit Reporting Ace Public Law F91-508. I. :Can employee. have the right upon written request to know the name of the investigative service employed and the scope of their report should one be used. I further understand that any falsification or misstatement on this applitation or in connection with the above investiga• tion will be grounds for immediate discharge. I consent to take any pre-employment physical examinati nd such future physical examinations as may be r tilted￾by Bear, Stearns & Co. I also understand t the fir A three month II be consid a probationary period and that, should Bear. Sea s & Co. or I decide. du this riod, t a lac of suite . ither party, my employment may be t mi ated by myself or the F wi • t • is and; ithout p lu•ce. • •-• Applicant's Signature a . - Date - . 1 fon orrice Ug ONLY i POSITION / f • i VEPAATNE / RANCH V GRADE STARTING SAL •Y . 20•117:NO DATE TYPE of caNalmafty • 1 ... F.' ....• PERMANVIT O SUMMER • r TENPORART • O FULL tam . • HOURLY TIME IS THIS A RIME) U YES ra NO L_ ADD 70 STAFF 7 REPLACEMENT 1 ne•:• •.<O•O•7 oirLoTEE REPLACED NUL aCED Intent WAS O PROMOTED :J TED (Ills CLEAVE Of ABSENCE O TRANSFERRED TO GRACE O RETIREMENT in OMER O DEATH .N.Ovrt-agin COIMMTS I INTERYttWCO AT • EFTA01700774 rPrieg use ONLY . o 1.. , , j . BEAR, STEARNS & CO. • 55 WATER STREET • NEW YORK, N.Y. 10041 USE A BALL POINT PEN PLEASE PRINT EMPLOYMENT Novato TOO sat. MORE AND SPAS[ PERSONAL FOR YOUR RtsPONSCS AI& root HISTORY A SUM mmmmmmm FORM roam cj_ ( N__ „rob..., DATE - . S fr 7 4 (. NARs_sAm. foRTG TIMM. ...../..' t psier/A-1 q 67frken L....- NONE /4 RItSS Tenn • CeTT ARO STATE i ill t Sbie L4 f"; -fox( /Pt 7- Err ton u Nem let. NO. //2L i POSITION AMMO SON T t( A ta err; • WRAY /SLANT so too sines! WIER CAN TOR num . NI RUM" IT NITN LAT to TEE NOO If - TES- ...NZ A NILET 0 Ron_ II FLOVIOITM,SPBEINVAREETIISVAThi Wool I. .. . T ECLATIONSHip POSITION I aprir Ar uRaTinli vis,,,....tai ire Y.S.A. ON A LOCATION NVIC I . CoperAnt , 4e S. roilluso 1. HAVE YOU EVER REIN CONVICTED Or A <IONE NT CIVIL OR TilLsTART AUSII0RITICS/ :I . TES. ([PLAIN A ATC Or al TH / .// c.) . i • EDUCATION (Begin with High School(s). Include Correspondence Schools. etc. TYPE OF SCHOOL NAME AND LOCATION NOICATt 11 2 MAJOR DEGREE OR DIPLOMA RECEIVED. ROP"My ATTENDED% a NO.. " TR. OKI YOU GRADUATE? , IA I C L4442(1 ii h. - a< sAoil , Ye! ❑. el seini 2,,,aeks "yeti vkisti A 41 Dink,-.4- I 6) I. Cc we 0 C•qk 4 • 6.74.. a. 2s., .t id 1 m N. 9 Ai 7, l) .3 7 yozefil- 12_ S. 1 IG ( 7 6---/ /V. M - . - , set., i N. v e, -1 p il 13,1if .0.4 5 q 7 0 7 No IN EMPLOYMENT • Fill in below a complete, consecutive•statement of your business his ory for the past ten years. All time. including periods o •unemployment, must be accounted for. ' • II sell employed. show name and address under which business was conducted. puma AsT POSITION OR CONPART pace — ctto0f...( POSITION .ittLo v sit, De. 4. _ /44 a mann SALRO7 MGR a to-e.n. ' TO MET AAAAA SS . DEPT. AND AAAAAA OR •. Ins SALARY •' NO. TR. NO. on. / 0 te. c. cc, A .y7 Cit.& 4 + 7•• ••••••••• • a ti• .. • rum Or GO IMES re • DuAir .. 7 POSITION R.TRENt.f. - 4- re'RE•ft . " l Om 0 • " 2.1^4, PULL TINE 'Pr . RESIGN/0 LA.E. orr 0 . AAAAA SCO CI:CHARGED AAAAA NATION Or REASON Il LC VINE PANT TINE 0 TEMP. 0 UT PREVIOu POSITION COMM% A. IJ . e (I 4e. • pesotin NrLD le stele e • STARTING FROM 0 0 L„R 4 TO WET ADORCSre................. s•-•••• •••.......... IOC OS•L AND SuPERviSon FINAL ART NO. TR. MO. TR. 3j I. at i - fin . . 1.-4 1 f .-" or sysylts? • -3G.IC ir , . DUTIES Of POSITION lilik 44,004 • ' (VAL TIRE 0 • ....-- 7 r ----4 7 1 • / RCNONCO ACIAASEDIM LAID Orr 0 Mains ED 0 EMANATION OUtEASON F011 TILAV/KG II - iffr. /. 7; `r 7 44/.4*G4:41•1 i PART TINS ❑0 gem 0 ART P POSITION (VICO COWAN? I earn 1 ^ IS • 7 7 t e D youtinr.:, ..,.. • STARTING / 24 a le.Cli FROM TO EXACT *001(55 OM ANO StIPCNINSOR FINAL SALARY MO. IC MO. it )19y san.Arir pot . • !USG, OutiNESs INETro. Duni Of gnaw. epaisAl FULL ton 0 7 1.- i l• • FICSIGNEO. 8 LAID Orr 0 RELEASED DelatAACCO 0 CIPLA ATION or PERSON FOR LC 11 G • PART . NE • TEMP 0 fit P POS 0001 TION ja,... 400 TITATIT, 0 , ex.. 400 e.^, ti• POSITIOLIS MUD • r.."... STA INC FROM .0 ' StACT ACIORESS - OUR AND SOPETIVesoR FINAL SALARY No TR.. MO TR 40.r 0 Af/6., CI AIRN•• R ac ift -t t Lrt d. 7 :. ."intaNSINESS 71 - Ou TN iyat seTwi o ..t nenve FULL /*EMCEES • 8 , ,... or 0 0:50.• RC con_ , °tumult,* or n•SONEreA 1'4 / ,,, CP. . (S4: lt-41(0' Mkt n C 0 Tap 0 lit OlirItOu POSITION CosIPANT POSITION kit° . STARTING IRON TO EaACT WACO MT no Suitt Pon. SALARY NO •••ii WI PA , • Tyre or GOSINESS tlotaCS Of POSITION k als4"pm.o , FULL TN.< 0 NE MEC° LAID off AtsCASE0 9 OiSCILARECO CiptANAnott OF REAsoN FOR i.,„.„, ....re. . 'ART TAG( 0 TEMP 0 . AS AN MUM. OPPORTUNITY EMPLOYER. DEAR. STEARNS a CO. )6-57-355 DOES NOT DISCRIMINATE BECAUSE OF AGE. COLOR. CREED. SEX. RELIGION. OR NATIONAL ORIGIN. EFTA01700775 •••• it UNEMPLOYMENT Account for ycur time during any periods of unemployment. ;elf employment Or :amity employment. . - Other than those when you were attending school. These periods of time must be verified by someone other than a relative or an employee of Bear. Stearns E. CO. ' 4 'NON TO ix0IVIOUAL TO VOW? ut:ENPLOTHENT. MO `R MO. TR. Er AAAAAA ioN SELI EMPLO•WERI OR tAMµl EmPLOTMENT. MANE •OORESS NAME AO DROSS RESIDENCE RESIOENCE RECORD POP PAST TEN YEARS- UNITED STATES ONLY FROM TO STREET ADDRESS City STATE APT • OWN RENT WITH PARENTS 7 2 Sec s.5 4.-1 it) A/. n - 77 • ..- 011AF 17ATUS M 'HUNCH Or SERVICE _ TEARS Of ACTIVE MILITARY SERVICE PROM TO TYPE Or RIOT RE OISCHANCIE O . ri :=1:17. AAAAA!TORO AAAAA NAVE YOU EVER CIAPLOVE0 AT SEAR. S AAAAAA • CO.t e . 0TES If yes, I❑-..I CONOITIONS. TEXPLAIN•ON• PAGE il SEEN O OTHER IESPLA/N ON fl oe II PROM TO 'DO IOU NAVE ANT PHYSICAL LIMITATIONS? TESCI PIO If "TES". OESCRISE RAVE YOU MAO A MAJOR ILLNESS In USD 0,00 TNE EAST I AAAAA > it ••110.'• OESCRIOEI . • NOW MO too HAPPEN TO APPLY TO SEAR. AAAAAA S • CO,? O NEWSPAPER AO . g .,E an CAS NAME .. . . RELATIO O AGENCY U,' OTHER "" 50 ADORE I. 0* you or spouse have an YES N additional income? 0 ill "Tel: explain on Pg. 3) S. Have yOu ever ban /Mused a YES H bond or had one mailed? m ledO E. Have you ever been a only TES to an admation ir proceeding O ii3,/ by a Governmental Admin. I. Are you a Bader or YES g d Corporation? O • (II - Yes: explain on PE. 3) When istraat Agency or Securities 2. Do you have any outitanding YES il debts Corporation. Where regulatory agate O1 - Yes. explain on Pg. 3) 12. Do you trade in the YES N i Securely Markel? . 0 0 . il - yes. what Brokerage EWA? to any Lan O Yr Gampayillank..MC . Ate bondable? O 9. Nu a lathanc's hen Ora YES N • YES NE/ (licluding Mortgage. Auto, tn. stallment and Charge Accounts) you Tax lien ever been iced ❑ Do you hate an =WM? 0 a • (11 "Yes:' explain on Pg. 3) 6. Has DM IIJOEMOOI or criminal TES ta/ ,. against you? (II - YeS: explain on Pg 3) 13. Have you had arty indusinal TES 18/ 'aeodents by mitt- conviction ever been entered O covered 0 3. Yam is your approximate monthly otegalson on debts? C.--) against you? JO Have you ever WOO In bus" YES ti ma's Compensation? (II "YeS: explain on Pg. 3) 4. HIS TOUT salary ever been garnisheed? YES fel/ 7 Mat you ever been Sued or YES l'el O party to a lawsuit? O Of "Yes." explain on Pg. 3) III - Yes 7 explain on Pg. 3) ❑ III ness. made a compromdemith creditors. or taken advantage of a barikrupley act? - Tea: explain on Pg. 3) IA 00 you receive any pension YES ti for a past disabdily? • 111 - Yes. explain an Pg 3Y I' understand and agree ment and activities. and I also understand that under written request to know I further understand that tion will be grounds for I consent to take any pre by Bear. Stearns S. Co. I also underStand that the Co. or I decide, ring by myself or th a Applicant's Signature PRE-EMPLOYMENT STATEMENT hat Bear. Stearns & Co.. and/or its agents will make a thorough investigation of'my past employ-. I agree to cooperate in such an investigation. the "Fair Credit Reporting Act' Public Law 1191.508. I. as an employee. have the sight upon the name of the investigative service'employed and the scope of their report should one De used. any falsification or misstatement on this application or in canection with the above investiga￾immediate discharge. -employment physical examination and such future physical examinations as may be required first three months will be considered a probationary period and that, should Bear. Stearns & his period, that a lack of suit ' . With either party. my employment may be terminated hout ni,eand with ice. r• r 2/ I . Date ••M • / , • P / / / .10A Office USE ONLY. POSITION • ... _.- 1 le_niict..E._- Z PLITYMENT/SAANCIT _,__ Pi-ril & V ILL oci2._ZOt GRACE • STAR TUFO SALARY 4 cs-Q.,,,iii._. StARTr G OM; i $,/.. /5"/ 76. EWE OF EMPLOY...IVO —, PERMANENT L7 . SUMMER 1 . TEMPORARY O FuLL IINIE Ei HOURLY TIME IS TINS A WNW r- YES 1._.; NO Li ADD TO STAFF -- REPLACEMENT ir-tersacycle EMPLOYEE fiEpL•CIO EMPLOYEE *At r• - . PROMOTED ._.: SEPARATED ON REPLACED CLEAVE OF ABSENCE O TRANsFERREO TO O RETIREMENT 0 OTHER NAN GRADE SMART n DEATH .ATERV:EwERS e4NNEN:S uoutviCASO es EFTA01700776 NAME EPSTEIN, BORN: 1/20/50 JEFFREY E. 1/20/53 lA7F OF nroni 1365-15-8891 , 4/28/76) Note:Date. of hirth.deVeloped was:.1/20/53;agpliCation - listed 1/20/50. EDUCATION COOPER UNION NEW YORK, NEW YORK Appl. Dates: 9/66 to 6/70 Reported: 9/69 to 1/72 Herbert Liebeskind, Dean of Admissions & Records said applicant majored in Physics and did not graduate. His birthdate was 1/20/53 and his residence while a student was 3742 Maple Avenue, Brooklyn, New York. NEW YORK UNIVERSITY NEW YORK, NEW YORK Appl. Dates: 9/70 to 6/72 Reported: 9/71 to 2/74 Mavis Lewis, Recorder, said applicant majored in Mathematics and did not graduate. His date of birth was. 1/20/53, and his residence while a student was 3814 Seagate Ave., Brooklyn, N.Y. effrey E. Epstein issued an invalid check to New York University during the 1973-74 academic year. (Note credit, suit by N.Y.U.) EMPLOYMENT UNIVERSITY OF CALIFORNIA BERKELEY, CALIFORNIA Appl. Dates: 1973 to 1974 Reported: See Below Mrs. Julia Sills, Personnel F Payroll records, checked all identifiable available computer with the tapes applicant from 1973 to current and nothing was developed. Payroll￾Accounting records were also thoroughly checked and there is' no record of U.C. Berkeley issuing a payroll check to a Jeffrey E. Epstein during 1973, 1974 or 1975. Mrs. Helen La Sota, Business Officer, Mathematics Department, checked current and £order employee records of this department and found nothing identifiable with applicant. Mr. Epstein indicated that his supervisor was a Dr. Wolf on his application. University records list two Wolfs, one a Joseph . Wolf, is a Professor Emeritus (retired) and many attempts to reach him at home proved negative. Joseph Wolf, Ph.D. is on a sabbatical in Israel. DQth Department Wolf's and mentioned were connected with the Mathematics there are no other Wolf's employed by U.C. BERKELEY. lg le information contained in this report • is for • the SOLE AND CONFIDENTIAL %ice. nf EFTA01700777 EPSTEIN, JEFFREY E. IZMO INC Appl. Dates: 19 72 to 1973 Reported: 1972 to 1973 IIIII would only speak through , was contacted; learnedsaitniSION a closed window. When she ffrey Epstein she called who lives_on the second floor of this private house. As ;his was an inadvertent meeting, a brief conversation followed. It was learned from III NM that. , Jeffrey, were in business for t mselves, making ailliling silk screen paintings .% (On his applicatiormilbject self employment as tutoring.) described his was the designer and painter about two and years, Jeffrey from handled 1972 sales. They were in business folded, Jeffrey Epstein to 19 73. After the business went to California where he lectured at the University of California. Recently, Jeffrey Epstein was at the Dalton School, New York City, where he taught. work for Bear, Stearns In mid-March & Co. 19 76 subject went to Note: Conversation was terminated as was becoming bored and restless. There was an lilt eration and he seemed to resent this inquiry, hesitant about releasing was also information about applicant (See residence report.) , YORK S Appl. Dates: 19 71 to 19 73 Reported: 1975 , stated substantially the following: I associate, have known and Jeffrey employee. E. Epstein for ten years as a friend, Jeffrey worked for me as a foreman he for worked six months on a steady in the first part of 1975. Weather permitting, basis, supervising two or three workers, and was earning $62 per day. He did a good job for me and I don't know the reason he left the job. Jeffrey Epptein does not use alcohol or drugs, in fact he is riding, the athletic punch bag, type, etc. likes to work out by swimming, bike employment record, but I am not familiar with his past brother, Mark Epstein, in I do know that he worked with his his brother is an artist. the t4lk screen painting business; -2- EFTA01700778 EPSTEIN, JEFFREY E. I have never known Jeff to be in any type of trouble with awhile, Law enforcement I do not agencies. know where He was out of the state for he went or what he was doing. family Jeff is at about tiiiiiiihree III.; years old; he lives with his his family has lived in this community- Tmany years, I am not familiar with their exact address. I have nothing but 'admiration for Epstein and I know nothing adverse about him. Yes, I recommend him for a position of trust. Note: Source was very hesitant in answering questions, but he ;gage that applicant did work for him, six months in 1975. II. a shied away from questions about education and previous employers of the applicant. RESIDENCE Il!ki!raw York with This white is'a large aluminum two siding. family house, it is in good cdndition It is about .40 years old and valued at approximately $60,000. It is located in a . residential community. as the Owner, and resident at Epstein family for more than twenty years; she reluctantly gave the following information about applicant. g man of good.character. described Jeffrey Epstein as a bright, well'behaved -She said that.until March, 1976 a he Wall tau=ght Street at;.the firm. Dalton For School and is now employed by aboutaa year and a half subject taught at a university in California: Source that they described have a good applicant's .family as honest and sincere, reputation. RECORDS Usually reliable credit sources report the following which may be identifiable with subject in NEW YORK CITY: of There is a r rd in file on Jeffrey E. Epstein file re ects the Brooklyn, N.Y. SS # verified. following: -3- EFTA01700779 .;g4 t EPSTEIN, JEFFREY E. SUIT suit On January for $500 28, 1975, New York University filed Docket # 13994 in New York County Civil Court, We will supplement when we get the disposition. or No bankruptcies record of judgments, tax liens, wage assignments, identifiable with subject. Records of the KINGS COUNTY CRIMINAL COURT were checked for felonies, misdemeanors and youthful offender cases and no record was found identifiable with subject. MISCELLANEOUS .A confidential identifiable with source the provided the. following information applicant: On or about Brooklyn, April 1, 1976 Jeffrey E. Epstei applied born 1/20/53, engaged to New York City. for Monthly rental of apartment 15 at rental is $435 and employment is shown as: "two years to present, Dalton Schools, New York City, teacher and administrator. Occupants of I'llS to be Mr. Epstein, and -4- EFTA01700780 i EFTA01700781 952-5262 • August 1q, 1975 New York University Graduate School of Arts and Sciences Recording Office 6 Washington Square North, Room 3 New York, New: York 10003 Attn; Mrs. Mavis Lewis Dear Thank you for your response to our inquiry (Copy attached). We would now like to request a copy of Mr. Epstein's transcript. Please bill us for whatever the transcript fee will be. Thank you very much for your help. Sincerely, Personnel 1O1 •I EFTA01700782 Jeffrey E. Epsteda March 16, 1976 III' 4 , Personnel Previous employment verifications Since your employment from 1972 - 1973 was self-employment, we need some sort of income tax form or W-2 form for that period of time.: Thank you. EFTA01700783 ►effrey E. Epstein Bear, Stearns & CO. 55 Water Street New York. N. Y. 10041 i212) 952-5847 March 12, 1981 '10 THE EXECUTIVE CCMNEETTEE: With this letter and accompanying statement, Bear, I hereby resign as a Limited Partner of Stearns & Co., effective immediately. I Sincerely, ,t EFTA01700784 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 (212) 952-5000 WRITER'S DIRECT DIAL NUMBER Mr. Bear tearns Co. 55 Water Street New York, NY 10041 Dear Jeffrey: BEAR STEARNS March 12, 1981 herein The Executive and Committee has fully reviewed the matter referred to after extensive deliberation has decided the following: 1. You the have advised us that you made a loan to a customer for violation purpose of his buying securities. This constitutes a voluntary of Regulation T. Taking into consideration your stance, disclosure and the fact that it was a single in- we find you $2,500.00. For failing to comply with the spirit of the NASD Regulations active with respect to new issue distribution, we suspend you from effective employment at Bear Stearns for a period of 60 days, immediately. Yours very truly,. EXECUTIVE COMW1TTEE BEAR, STEARNS & CO. • I New York/Atlanta/Boston/Chicago ^ Dallas/Los Angeles/San Franricrn EFTA01700785 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 (212) 952-5000 WRITER'S DIRECT DIAL NUMBER TO ALL NEW EMPLOYEES: BEAR STEARNS Apri l 8, 1971 Under publ ic law #91-508, "Fair Credit Reporting Act", we are now required to inform you at the time of your hiring through that we our intend own to inquiries, conduct, through a service agency and an investigation character, reputation, as to your litigations, previous mode of living, educational experience, employments, etc... and any public records Upon written request, you, as an employee, now have the right to know the name of the investigative employed by Bear, Stearns service report should one be & Co. and the scope of their used in your particular case. Signature Date New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Amsterdam/Geneva/Paris EFTA01700786 STOCK EXCHANGE FIRM EMPLOYEE INFORMATION RECORD (To be completed upon acceptance of employment) Please answer all questions listed below as completely and accurately as possible. Information disclosed on this form will be held in strictest confidence and will be preserved for three years after Exchange termination Commission of employment in accordance with Rules 17a-3 and 17a-4 of the Securities and and Rule 345.19 of the New York Stock Exchange. 1. L":45 f el l% V 'Vey 61 4500 ' , I st Name irst Name Middle Name 2. (a) Have you ever been bonded? Yes (b) Have you ever been refused a bond by a surety company? Yes (c) Has such a bond ever been denied or revoked? Yes (d) Has any surety company paid out any funds on your coverage? Yes If answer to either (b), (c) or (d) is 'yes,' attach details including name of surety company. 3. Have you ever been a member of any stock exchange, commodity exchange, or registered association of security or commodity brokers, dealers, investment bankers or investment advisors? Yes No If 'yes,' give name (s) and dates. 4. (a) Have you ever been suspended, expelled or otherwise disciplined by any regulatory body or by any such exchange or association; or ever been denied membership therein; or ever withdrawn your application for such membership? Y (b) Have you ever been associated with any organization, as a director, controlling • stockholder, partner, officer, employee or other representative of a broker-dealer which has been, or a principal of which has been, suspended or membership expelled from any such exchange or registered association, or was denied therein, or withdrew an application for membership; or whose registration as a broker-dealer with the S. E C or any State or agency has been denied, suspended or revoked? Yes (c) Has any permanent or temporary injunction ever been entered against you? (d) Has any corporation, firm, or association, with which you were associated, been enjoined during the period of your association? Yes (e) If answer to question 4 (a), (b), (c) or (d) is 'yes,' attach details including any finding that you were a cause of any disciplinary action or had violated any law. 5. In your previous business connections or employment in any capacity, have transactions under your attention ever been the subject of complaint or legal proceedings? Yes If 'yes,' give names and details. 6. Have you ever been arrested, summoned, arraigned, indicted or convicted of a felony of any kind, or of a misdemeanor except minor traffic offenses? Yes If 'yes,' attach details. 7. Have you ever been known personally by any other name, used an alias, or have you ever conducted business or carried brokerage or bank accounts in any other name than that shown above? If 'yes,' give details and dates of use. Yes No responses I hereby certify that I have read and understand the foregoing statements and that each of my prospective thereto employer, is true and complete. I authorize my prior employers to make available to any or to any Federal, State or Municipal agency, any information it may have concerning me, and I hereby release my employers fr n any and all liability of whatsoever nature by reason of furnishing such information. (Date) it/VA tri )1 1 Signatur of Employee 110 (12/75) EFTA01700787 EMPLOYEE SECURITIES TRANSACTIONS It is the policy of this firm, in compliance with the New York Stock Exchange and Federal Regulations, that no employee may maintain an account with another firm, effect securities transactions through a bank or obtain a loan from a bank collateralized by securities without the permission of the firm. Such permission should be requested in writing directed to the Compliance Department. This restriction applies to the employee, his spouse and minor children and any account in which the employee places orders. PLEASE ATTEST TO THE FOLLOWING; "I have no brokerage accounts other than at Bear, Stearns & Co. and I have no bank loans collateralized by securities except: (if none, state NONE, indicate accounts of your spouse, minor children and any account in which you place orders)." ik)bititc , ‘11411(e- 1 -) -6' (DATE) EFTA01700788 EXECUTIVE HEALTH EXAMINERS 777 THIRD AVENVK • NEW YORK CITY 10017 • 12121 421-3131 Ofai. 19 7/, Name Mt Company We have examined t e above-named applicant for employment. We find him (l ler ( ): (4.21cuitable for employment. ( ) Suitable for limited employment. Limitations: Remarks: VIAHU - 975-27 la WM. , R. N. EFTA01700789 Memo BEAR STEARNS To John Duggan Date June 3, 1977 CC From Lewis Rabinowitz Subject Jeff Epstein Please r4.ise Jeff Epstein s annual salary to $24, 000 per year. 1111/7R: EFTA01700790 Memo BEAR 51TARNS To 415‘ve Lakoff Seymour Dashow From Elliot K. [Volk Subject ease charg r0 ff Epstein Opt August 4, 1977 ' CC 11 expenses including salary for New York Retail and delete from ent. make This should have been done some time ago. Please and is sure included this is done retroactively to May 1, 1977 in the July figures. ..• EFTA01700791 Memo BEAR STEARNS Pe Depo nent From Jame6 E. Coyne Subject Date June 13, 1979 CC EbfeetAie .today, and itettwactive to May 12211/s.tga&e.__----iiic ineiLease the s'ataJty o Je66neg Epstein to $42,000 ./Yea,1- *it '12 4 Soo ej 3 (1/77) EFTA01700792 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 (212) 952.5000 WRITER'S DIRECT DIAL NUMBER Nier RoOfing 4050 Atlantic Avenue, JEFFREY E. EPSTEIN BEAR 5TBIMRNS March 18, 1976 Brooklyn, New York 11224 II (Applicant's Name) has applied (Social Security No.) We have obtained to us for a employment As a previous employer, we would appreciate your comments. signed authorization and indemnification agreement from the applicant conduct reference checks, a copy to of which is enclosed. 212/952-5263. Should you prefer to respond by telephone, please call our reference section at Dates of Employment: Claimed from 1971 to 1973 Verified from to --c Attendance Punctuality Work Performance Overall Rating AboveZajraiyerge ce￾Average Below Average C:l account? To the 0 best Yes of No knowledge, did this applicant have a Securities brokerage Would you ecommend the applicant securities? Yes for a position of trust, involving negotiable ILINo ic r / If your present policy permitted, would you rehire this applicant? 2 Yes ED No successful Is there anything we should know about this applicant which would help make our relationship a one? GENER Name: Signatur Form 267 (10/75) Title: Date: 7 New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Amsterdam/Geneva tomic EFTA01700793 FIDELIFACTS NAME EPSTEIN. JEFFREY E. BORN: 1/20/53 DAT& DI NFPOIT / This will supplement our report of 5/3/76. EMPLOYMENT DALTON SCHOOL 108 E. 89TH STREET NEW YORK CITY, N.Y. Applicant: 9/74 to 3/15/76 Reported: 9/74 to 6/11/76 information MS. BLACKBURN, from Administrative Assistant, furnished the followinc records and personal knowledge: The applicant holds SS# lived at: , Brooklyn, (confirmed). indicated. He said he was a college graduate, but no furhter details were had He was a good employed attendance as a Physics and Math teacher. He did a p;oo(2 :Oh; cooperative and and punctuality record and was depen(!ab? honest. He has leadership and supervisory at;i:Aty. this He was time. supervised by Dick Grossman who was not in the scnon; Lt eligible The applicant for rehire. was laid off due to a personnel cutback, but The above lead was completed prior to client's cancellation of this case. ma The information contained in this report is for the SOLE AND CONFinFi.trie •L EFTA01700794 L iflARNS & PROFIT SHP% PLAM RUN CA 7E 04/30/S1 04 / 3 /a. . )ISTRI3UTIIN REASON: DISMISSAL '4/TH CAUSE EFFECTIVE DATE 04/01/81 DATE OF ENTRY 05/01/76 NAME ADDRESS EPS TE IN JEFFREY I I CHECK AMOUNT PAYMENT SUMMARY $ 3,214.87 DESCRIPTION: .c;:INFORMATWE casr. • F VALUE ' PAYABLE )IVE-RSIFI ED FUNO :OMPA NY ACCOUNT :OMPA NY ACCOUNT :LIND TOTALS 725.75 3,214.87 S 3,214.8 . 725.73 S 3,214.86 5 1,451.48 S 6,429.73 S 3,214.8' • TOTAL VALUE LESS: FORFEITURE . S 6,429.73 $ 3,214.86 5 3,214.86- 7•(3.78) 3.81 g !um tC1 —nr,fte CASH PAYASLE . S 3,214.87 EFTA01700795 NAME EPSTEIN, JEFFREY BORN: 1/20/53 1365-15- This will supplement our report of 4/28/76. At the New York University Bursar's Office, MR. BISOTNA ad•. the following regarding applicant: Initially a check in the amount of $1,080 was received by the insufficient University but it was returned with a notice that there was funds to cover the amount. The applicant th2n entered into an agreement with the University, a promissory arrangement was made to pay the amount. When he defaulted the University instituted legal proceedings. Source said satisfaction papers had been filed. It was suggested we contact CURTIS ETTINGER, the school attorney for further MR. CURTIS ETTINGER advised the matter had been settled. The initial payment check, marked as having insufficient was not in the applicant's name but in the name of Paula brother, When the check did not clear, Mr. Ettinger contacted appli(aJ- ' Further Mark Epstein who advised that applicant was in Europ• . action was delayed and subsequently Mark Epstein mad-: a partial payment of $345. The matter, however, was still resolved and legal proceedings were instituted in New York Civil Court in December 1975. The matter was finally resc!7f . in December 1975 when satisfaction paper was filed. cp The information contained in this report is for the SOLE AND CONFIDENTIAL use of the. EFTA01700796 Memo B&W SIMMS To Steve Lacoff Date August 15, 1978 Personnel Department CC From Subject lera, pd. '0 4 4/6)-o James E. Coyne Effective'immediatey, Jeffrey Epstein is to receive a $400./mo salary increase. EFTA01700797 952-5262 February 26, 1979 Mr. Bennett Douglas, Elliman, Gibbons & Eves Dear Mr. Bennett: Please be advised that Mr. Jeffrey Epstein is employed at Bear, Stearns & Co. at a salary of $75,000.00 a year. Should you have any further questions, please do not hesitate to contact me. Sincerely, Stephen A. Lacoff Personnel Director SAL:bl EFTA01700798 Bear, Stearns & Co. 55 Water Street . Frewthrk, N.Y. 10041 (212) 952-5000 WRITER'S DIRECT DIAL NUMBER BEAR STURNS March 16, 1976 Dalton Schools 108 East 89th Street, New York, New York JEFFREY E. EPSTDIN Lamlicant's Name) 01.11111_ has applied to us (Social Security No.) We for employment\ As a previous employer, we would appreciate your comments. have obtained a signed authorization and indemnification agreement from the applicant to conduct reference checks, a copy of 'hick is enclosed. Should you prefer to respon2r, by telephone, please call our reference section at 212/952-5263. Dates of Employment Claimed from Verified from Attendance Punctuality Work Performance Overall Rating to \ to Above Avera Average Below Average ' To the best of your knowledge, did this applicant have a Securities brokerage account? 0 Yes D No Would you recommend the applicant for a position of trust involving negotiable securities? 0 Yes Ej No If your present policy permitted, would you rehire this applicant? D 11vse‘CD No Is theie anything we should know about this applicant which would help nytke our relationship a successful one? GENERAL REMARKS: Name: ss. Signature: Farm 267 (10/75) Title: Date: New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Amsterdam/Geneva/Paris EFTA01700799 Bear, Steams & Co. 55 Water Street New York, N.Y. 10041 (212) 952-5000 WRITER'S DIRECT DIAL NUMBER Cooper Union 4th Avenue & 8th Street New York, New York Attn; Registrar 13U-kR STEARNS March 16, 1976 RE: JEFFREY E. EPSTEIN To S.S.# III II IIII Date of. Birth 1/20/50 Whom It May Concern: Jeffrey claiming has applied to us for a position attendance at your school from 5/86-6/70 BS degree you can We as shall appreciate your giving us any information etc., of this to scholastic standing, personality, background, applicant. a self-addressed For your convenience in replying, we are enclosing stamped envelope. Thank you in advance for your cooperation. Sincerely, co Personnel Director The above Jeffrey E. Epstein did not graduat-e Dates of Attendance: Seat. 1969 to Jan 1972 Date • 3 or New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Amosra.,n EFTA01700800 New York University Graduate School of Arts and Science Recording Office 6 Washington Square North. Room 3 New York. N.Y. 10003 Telephone: (212) 598-3155 March 23, 1976 Mr. Stephen A. Lacoff Bear, Stearns & Company 55 Water Street New York, New York 10041 To Whom It May Concern, of birth This is to certify that Jeffrey.E. Epstein whose date student is January 20, 1950 was registered as a non-degree of Music in the Graduate School of Arts and Science, Department not receive from September 1971 to May 1974. Mr. Epstein did a degree from New York University. invalid In check the Spring 1974 semester, Mr. Epstein had issued an to our Bursar's Office. Yours truly, tz; (Mrs.) Mavis Lewis Recorder EFTA01700801 **PLEASE CHECK EACH WHEN COMPLETED** NAME DATE OF EMPLOYMENT S--/s- 7 Type "PCA" (one for Payroll , one dupl icate SENT J116 RE APPLICATION Bonding Appl ication Stock Exchange Form Security Accounts form Fair Credit form Locator Card Benefits Enrol lment Card SENT Hospital ization Cards SENT ----TT: Waiver Card (if appl icable) W 4 form SENT to Payrol l ...SkUP i r , Card for Telephone Department SENT 3iito fkiP b (It Card for Mai l Room SENT 4:,\N‘o Card for Security --p y r. Working Papers for Minors ( If appl icable) Enter new employee on Salary Sheet Add new employee to Board - Index fi le Time card (if appl icable) Welcome Letter E Benefits Booklt,ip, SENT SEN tte School Reference SENT Background Letters Introduction Letter to Sup rvisor SENT Announcements (if appl icable) SENT Send in Bonding Appl ications SENT jji Send in Fingerprint Cards (get check from Cashiers Dept. first) SENT Newspaper Ads (if applicable) ENT r------ •Aa Orientation Medical Enter in Job Log Book (Blue Book) Index Card (Contains DOE, Dept. Agency, Letters sent etc.) Telephone Verification Put Special Record notice on locator card and appl ication (if appl icable) Fingerprints taken D0214 for Veterans Fi le Background check: Letters / T-) Other / EFTA01700802 COMIC VALUER: A 4•POINT. COURSE IN THE IKAOUAIE SCI•30I. OF ARTS AND SCIENCE IS ME ROK RESCANKO (Oft A CLASS NAT NUT, AT LUST TAO 'SOS CACK KU FOR MIMS IIEEILZ. A S-POINT • . COLAS( IS ME KM FRESCIIIIIE0 FOR A CLASS NAT MEETS AT LUST NO tOSURS A *UK fOR FIFTEEN LEAS. CERTAIN LACORATORY ~KS MAX *MIRE TM WAS TINIOLOOST 111E KM AS ME ENUIVTLIOTT OF CRIE NSUR OF A LECTURE KUBE. GIACCIt Alla<[u[etll IIIambi CCU?, ø[ nxlwd tt tl na OSA I11 fIni u tll I., ING4iwatiC tttttt AS sitimNNA, N., Ile Catol I <qef fatal*. ix.. II hi( Ona.• toel AR *K.. ye; 0 O • O ••••••. • awl§ 4 k tA^ at=H stmt./my: ••••••~941,41I APPTIN'' . • • R ISInO3 21213 f p Ti rO9 . • • . • • • : • ' • . 1 • • • . I • • •• • .* 1.;:. • • . • • • 2synoa '411;1 EFTA01700803 Print Clearly —ills. Bell-Point Pen I i Binh • l e i Date ID a attended under wry ode nom. indicate: 4- f wooaa w1 mtt ti. teat ••••••IVII4 otlt v 2. n space above print lull name and address to which transcript Is to be wan . This form will be Lend in a window envalopt. (Over) ./.1011.T WOO: I. tat Division of N.Y.U. enticed' U lindorgoate*Do a Graduate -.,Tama and yes of, lest etterdence• .•• tievenbar of transisipttidssitad: If nurrenily in attandiai do you went vacant** held for final grades? Yes 0 NO CI EFTA01700804 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 1212) 952.5000 WRITER'S DIRECT DIAL NUMBER To Whom It May Concern: BEAR STEARNS I hereby authorize the release of the information requested on the attached form to my employer, Bear, Stearns & Co. Thank you in advance for your cooperation. Sincerely, flAgLet I "ant' Signature New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Amsterdam/Genera/Paris EFTA01700805 TRANSFER/TE RMINATION NAME PRESENT DEPARTMENT DEPARTMENT TRANSFERRED TO DATE EFFECTIVE SALARY APPROVAL 949 (9/79) EFTA01700806 STATEMENT OF EARNINGS NO. 06187055 RETAIN THIS STATEMENT FOR YOUR RECORDS THE DALTON SCHOOLS INC PALNO. 108 EAST 89TH STREET 00431 NEW YORK NY 10028 LOCATION 825013000 THIS PAY • PERIOD YEAR TO DATE DEDUCTIONS EMP. NO. I EMPLOYEE NAME. 006257 EPSTEIN J GROSS . FEDERAL TAX 500;00 71;23 GROSS FEDERAL TAX 2500;00 356;15 AMOUNT DEDUCTIONS FICA 29 • REGULAR RATE 500!00 RCA 146 25 AMOUNT STATE TAX 15;97 STATE TAX 79I85 0/T RATEl l OR RATE2SH. EG HRS. .0I CITY TAX 6153 Owe TAX DEDUCTIONS 21 SW. Del ' ; AMOUNT ' PERICOEC.M.. 03;15;76 SOC. SE:. NO NET PAY 377 DEDUCTIONS EARNINGS MG PAY AMOUNT 5C0 EFTA01700807 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 12121 952-5000 WRITER'S DIRECT DIAL NUMBER To: From: Re: BUR STEARNS Personnel Department Benjamin Rhoades Fingerprinting 12---/c-5eer y 6e7" F2,e1 - Employee's Name fingerprinted by me today. Date: 31/4 1-n 6 was Date Signature 111 (2/76) New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Amsterdarn/Geneya/Paris EFTA01700808 soa.4,a. cm. ariz/41 "defivota..-`i, ivy° g.s.A..aeas _ 1442.1 --temLin tar • EFTA01700809 Michael E. Tannenbaum Ply $ZIS/w 4-0-44_ BEAR STDM2NS Date: 3ach,-644_ -ftz /1A-0-e-u /97 • A 6.0 nr y EFTA01700810 Nk!"- h.-.ME/OF COMPANY I 1ELEPHONE APPLICANT HELD POSITION OF / - - 111~3 _ • , j 1 p1/4) krt , CLAI ME D VERIFIED \„..4NL.STNEEJOSiTION HELD re- , LA, / 2,3 // DATES FROM TO CLAIMED EARNINGS WERE CAN YOU VERIFY /too, fa /•, • per YES NO ATTENDANCE AND TARDINESS BELOW AV. AVERAGE SUPERIOR WORK KNOWLEDGE BELOW AV. AVERAGE SUPERIOR WORK PERFORMANCE BELOW AV. AVERAGE SUPERIOR GENERAL COMMENTS REASON FOR LEAVING WAS CAN YOU VERIFY YES NO WOULD YOU RECOMMEND FOR A POSITION OF TRUST YES NO IF NO, WHY? WOULD YOU REHIRE THIS PERSON YES NO IF NO, WHY? PERSON GIVING INFORMATION TITLE OBTAINED BY // DATE COMMENTS: EFTA01700811 BEAR, STEARNS & CO. PAYROLL CHANGE .<1 f" eld PERSONNEL DEPARTMENT °tu/ AUTHORIZATION Dept. or Branch FROM: N.Y.RETAIL SALES Effective Date of Change August 14,1978 Today's Date 1 August 21,1978 Employ e Name (La I-Middle-First, EPSTEIN Jeffrey ACCESSIONS Complete Items . SEPARATIONS Complete Items CHANGES . Complete Items LOAN Complete Items 1,6 II Additions To Staff 3.6 Il Quit II Resigned 1,6 KI Salary 1,2,3,6 AMOUNT S (1RePlacement 3,4,6 II Discharged 1,6 (I Title or Position 1,2,3,6 Repayment Schedule I) Rehire 2,3,6 II Released 1 ti Department ,6 " or Branch 1,2,3,6 ( I Per Pay Day With IIReinstate From Leave 2,3,6 • (I Laid Off 1,6 Shift (Day/Night) 1.2.3,6 Balance From Any Bonus Full (I Permanent Time i 1 " Part f i II Temporary Time " Returned i I'i to School II Deceased il Retired 1,2,6 1,2,6 ( I Total Repayment From Bonus i I Other 1/Summer Leave of Absence II Military File Number II Maternity II Exit Interview (I Attached —a,- "I PRESENT STATUS 2 SALARY HISTORY Grade 32E Title Associate Salary $32,000/Yr. Oa Status Date of Employment 3/15/76 Starting Salary $225.00 Department or Branch N.Y.Retail Sales Dept. Code No. Date Last Increase 4/24/78 Amount Last Increase $8000/Yr. 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade 36E Title Associate Salary $36;800/Yr. OFT Status Name of Employee Replaced Doe Separated department or Branch N.Y.Retail Sales Dept. Code No. ( 7 ) ), Title 5 PART TIME EMPLOYMENT Salary Grade Rate S /Hour Hours Needed Each Day From AM To AM PM PM 6 REASON TO BE EXPLAINED IN ALL CASES Per: J.Cayne / - .... .............. . Employee .4-=>---. Department Head or Branch Manager Administrative Partner Director of Per ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 t Major Medical 402 Blue Cross 403 Type Employee 404 Birth Date 392 V ;Oi l / Annual Salary 762 Clock Number . 330 '',7 /Y/ 7/ 354 Rev. 1O/75 (8/7O PERSONNEL COPY EFTA01700812 BEAR, STEARNS & CO. PAYROLL CHANGE AUTHORIZATION PERSONNEL DEPARTMENT (1 C‘!/3 (3 Dept. or Branch FROM' CUSTOMERS ROOM Effective Date of Change April 24,1978 Today's Date . June 9,1978 ' Employee Name (la 1-Middle-First) EPSTEIN Jeffrey ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete Rem LOAN Complete Items 1,6 1) To 3,6 ia butt I) 1,6 IkSalery 1,2,3,6 AMOUNT S (I Replacement 3.4,6 I) Discharged 1,6 (I Title or Position 1.2.3'6 Repayment Schedule 1 ) Per Pay Day With ()Rehire 2,3.6 11 Released 1,6 „ Department " or Branch 1,2,3,6 II Reinstate " From Leave 2.3.6 II Laid Off 1,6 Shift Way/Night) 1,2,3,6 Balance From Any Bonus I J Total Repayment From Bonus f 1 Other Full n II Permanent Time " II Temporary Part n lime " n Returned " to School II Deceased (J Retired 1,2,6 1,2,6 I 'Summer Leave fl Military of Absence Interview File Number II Maternity fl Exit I) Attached 1 PRESENT STATUS - 2 SALARY HISTORY I Grade 24E lisle Associate Salary $2 .000/Y7...41,3 0/T Status Date of Employment 3/15/76 Starting Salary $225.00 —a7C7.-- Departmen or Branch Customers Room Dept. Code No. ( pop .pv Date Last Increase 4/25/77 Amount Last Increase $8400/Yr. 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade 32E Title Associate Salary $32,000/yx.-hr36-7:11- 0/T Status Name of Employee Replaced Date Separated 0epartmen or Branch N.Y.Retail. Dept. Code No.) 3.33 3 c)- L 0 la-. Title 5 PART TIME EMPLOYMENT Salary Grade Rate S /Hour Hours Needed Each Day From Am PM To APM 6 . REASON TO BE EXPLAINED IN ALL CASES -' 1 1. 1-‘1 13- Retro to 4/24/78 Employee Department Head or Branch Manager Administrati"e Partner Director of Personne ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 Major Medical 402 Blue Cross 403 Type Employee 404 Birth Date 392 e ,,,,y7 , h. Annual Salary 762 Pock Number 330 7///// / /W — 354 Rev. 10/75 (8/76) PERSONNEL COPY EFTA01700813 BEAR,STEARNS8tCO. PAYROLL CHANGE PERSONNEL DEPARTMENT 1.4;();i3 AUTHORIZATION Dept. or Branch FROM: N.Y.RETAIL SALES Effective Date of Change 3/12/81 Today's Dale 3/19/81 Employee Name (La t-Middle-First) EPSTEIN Jeffrey ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1,6 Additions " To Staff 3,6 (I Quit K Redened . 1,6 n Salary 1,2,3,6 AMOUNT S ()Replacement 3,4,6 II Discharged 1,6 I) Tide or Position 1.2.3.6 Repayment Schedule II Rehire 2,3,6 Il Released 1,6 (l Department " or Branch 1,2,3,6 I I Per Pay Day With IIIiFreoinsmtaLteeeve 2,3,6 0 Lald Off 1,6 Shift (Day/Night) • 1,2,3,6 Balance From Any Bonus Full I) II Permanent Time " Pert I) Temporary Time 11 Returned " to School (I Deceased (1 tI Retired t 1,2,6 1,2,6 I I I Total Repayment From Bonus II Other IlSummer Leave of Absence Il Military File Number II Maternity (I Exit Interview Il Attached 1 PRESENT STATUS 2 SALARY HISTORY Grade 42E Title Lta.wart. ASsociate . swim, $42,000/Yr. OR Status Date of Employment 3/15/76 Starting Salary $225.00 Department or Branch N.Y.Ret;ail Sales Dept. Code No. Date Last Increase 4/30/79 Amount Lest Increase $5200/Yr. 3 NEW EMPLOYEE AND STATUS CHANGE 4. FOR REPLACEMENT ONLY Grade Title Salary O/TStatus Name of Ernployee Replaced ' Date Separated Department or Branch Dept. Code No. Title 5 PART TIME EMPLOYMENT Salary Grade Rate S /Hour Hours Needed Each Day From AM To AM PM PM 6 REASON TO BE EXPLAINED IN ALL CASES Resigned . i Employee Department Head or Branch Manager Administrative Partner Director of Personnel • ADP CODES ' CATEGORY 0 1 2 3 4 5 6 7 8 r 9 Effective Date 401 Major Medical 402 Blue Cross 403 Type Employee 404 Birth Date 392 VAVW Annual Salary 762 Clock Number 330 izir/p/ 7/71/7,5, 354 Rev. 10/75 (8/76) PERSONNEL COPY EFTA01700814 BEAR,STEARNS&CO,INC PAYROLL CHANGE AUTHORIZATION PERSONNEL DEPARTMENT 3 1..: %... I Lt. Dept. or Branch FROM: FLOOR DEPT. (AMEX) Effective Date of Change Maryh 15, 1976 Today's Date March 16, 1976 Employee Name ILa t-Middle-First) ZPSTEIN Jeffrey ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1,6 0 tdditatis x To 1I 3,6 (I Quit Resigned 1,6 i) Salary 1,2,3.6 AMOUNT $ ()Replacement 3,4,6 13 Discharged 1,6 II Title or Position 1.2.3,6 Repayment Schedule (I Rehire 2,3,6 II Released 1,6 I I Per Pay Day With p n " or DeBranch artment 1,2,3,6 I I Reinstate From Leave 2,3,6 II Laid Off 1,6 Shift Way/Nigh° 1,2,3,6 Balance From Any Bonus [ I Total Repayment From Bonus H Other Full ( I il Permanent Time " Part (1 Temporary It Deceased Time " fi Returned • " to School t1 Retired 1 , 2,6 1,2,6 Mummer Leave il Military of Absonee Interview Ale Number OA 3 - 0 Maternity fl Exit 0 Attached 1 PRESENT STATUS 2 SALARY HISTORY Grade Title Salary O/T Status Date of Employment Starting Salary Department or Branch Dept. Code No. Dine Last Increase Amount Last increase 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade Title Trainee Salary $225.00 OFT Status Name of Employee Replaced Date Separated °specimen or Branch Floor Dept. - ,Dept. Cod Alo% `7 o Title 5 PART TIME EMPLOYMENT Salary Grade Rata $ /Hour Hours Needed Each Day From AM To PM AM PM 6 REASON TO BE EXPLAINED IN ALL CASES Administrative Partner ADP CODES' CATEGORY 0 1 2 3 4 6 6 7 8 9 1 Reath.° Date 401 l..."-. ajar Medical 402 a..-/' ue Cross 403 1.-.° rpe Employee 404 1-"" rth Date 392 F/7,7S974 - ' 0 / A 0 -5-0 must Salary 762 l I/ / 7 0 0 el O ock Number 330 V 7/ a . .7/7/2 4jtf v V IZ rm 364 Rev. 10/76 PERSONNEL. COPY EFTA01700815 BEAR,STEARNS&CO., . PAYROLL CHANGE AUTHORIZATION PERSONNEL . :. OtIlt-4"1 •fi Dept. or Branch TO FROM: FLOOR DEPT. (AMEX) Effective Date of Change 8/16/76 Today's Dale August 19, 1976 Employee Name ILa t-Middle-First) N.Y.OPT EPSTEIN Jeffrey ON8 ACCESSIONS Complete SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1.6 o Additions r=r 3,6 g quit U Fiquoned 1,6 k Salary 1,2,3.6 AMOUNT S ()Replacement 3,4,6 (I Discharged 1,6 kTitte or Position 1,2,3,6 Repayment Schedule ()Rehire 2,3.6 II Released 1,6 ( I Per Pay Day With A,..Department lAor Branch 1,2,3,6 ( jFIRreoinmstaLteeave 2,3,6 (I Laid Off 1,6 Shift IDay/Nightl 1,2.3,6 Balance From Any Bonus ( I Total Repayment From Bonus ( I Other Full IIPermanent Time (I 0 Temporary Part Time 0 (I Returned to School (I Deceased (I Retired 1,16 1,2,6 ()Summer Leave of Absence II Military I) Maternity a Exit Interview II Attached File Number 1 PRESENT STATUS 2 SALARY HISTORY - Grade Title Trainee Salary $225.00 O/1 Stews Date of Employment . 3/15/76 Starting Salary $225.00 Department or Branch Floor Dept. Dept. Code No 4 K l° Date Last Increase Amount Last Increase 3 NEW EMPLOYEE AND.STATUS CHANGE .4 FOR REPLACEMENT ONLY Grade Title Associate Salary $300.00/Wk. O/T Status Off Name of Employee Replaced Date Separated Departmen or Branch N.Y.Options Dept. Code No. g llo3i. Title 5 PART TIME EMPLOYMENT Salary Grade Rate S /Hour Hours Needed Each Day From PM AM To AM PM 6 REASON TO BE EXPLAINED IN ALL CASES r. Transferred w/increase 0 O OFF THE CLOCK Per: M.Tennenbaujl iiiii a i i 3. Employee Department Head or Branch Manager Administrative Partner Director of Pe ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 Major Medical 402 Blue Cross 403 Type Employee 404 r Birth Date • 392 'SA/WA Annual Salary 762 Clock Number 330 W e(///47//// Form 354 Rev. 10/75 PERSONNEL COPY EFTA01700816 BEAR, STEARNS & CO. PAYROLL CHANGE AUTHORIZATION ........v 613,53 PERSONNEL DEPARTMENT Dept_ ot Bran_chE FROM: NEW YORK R TAIL Eliti.vogriegt171979 Today's Date OCTOBER 30, 1979 Employee Name (Last-Middle-First) EPSTEIN, Jeffrey ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1,6 0 Additions To 3,6 II Quit Piaggioned 1,6 II Salary 1,2,3,6 AMOUNT'S 2 0 f 00 0. 00 (I Replacement 3,4,6 II Discharged 1,6 ll Title or Position 1.2.3.8 • Repayment Schedule II Per Pay Day With 0 II Rehire 2,3.6 I) Released I,6 ti Department or Branch 1,2,3,6 (I Reinstate " F eave 2,3,6 )1 Laid Off 1,6 Shift (Day/Night) 1,2,36 Balance From Any Bonus K Total Repayment From Bonus May ' 8 ( I Other Full II Permanent I) lime Part fl I/ Temporary Time " 0 Returned . to School I) Deceased II Retired 1,2 , 6 1,2,6 I ISummer Leave of Absence I) Military (I Maternity I) Exit Interview II Attached File Number 1 PRESENT STATUS 2 SALARY HISTORY Grade Title Salary $42,000/Yr. OTT Status Date of Employment 3/15/76 Starting Salary Department or Branch Dept. Code No. Date Last Increase Amount Last Increase 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade Title Salary. O/T Status Name of Employee Replaced Date Separated Department or Branch Dept. Code No. Title 5 PART TIME EMPLOYMENT Salary Grade Rate $ /Hour Hours Needed Each Day From AM To PM AM PM 6 REASON TO BE EXPLAINED IN ALL CASES Empl Admit artment H ctor of Per CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 Major Medical 402 Blue Cross 403 Type Employee 404 3irth Date 302 WciM / Z annual Salary 762 Nock Number 330 r 7A-7 / , Rev. 10/75 (8/76) PERSONNEL COPY EFTA01700817 BEAR,STEARNS8(Co, PAYROLL CHANGE AUTHORIZATION PERSONNEL DEPARTMENT - ritSk '(r' Dept. or Branch FROM; N.Y. OPTIONS Effective Date of Change APRIL 25, 1977 Today's Date JUNE 2, 1977 Employee Name (La t•Middle•First) EPSTEIN Jeffrey ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1,6 , , Additions " To Staff 3,6 (I Quit il Pinioned 1,6 Moiety 1,2,3,6 AMOUNTS ()Replacement 3,4,6 II Discharged 1,6 II Title or Position 12,3,6 Repayment Schedule ( ) Per Pay Day With II Rehire 2,3,6 II Released 1,6 I or Branch 1,2,3,6 .,Reinstate From Leave 2,3,6 Ii Laid Off 1,6 Shift (Day/Night) 1,2,3,6 Balance From Any Bonus I I Total Repayment From Bonus ( I Other Full II Permanent I/ lime 11 Temporary Part 11 Time " Returned ll to School I) Deceased II Retired 1,2,6 1,2,6 IlSummer Leave II Military of Absence Interview I File Number II Maternity II Exit II Attached 1 PRESENT STATUS 2 SALARY HISTORY Grade Title Associate Salary $300.00 OR Status Off Date of Employment 3/15/76 Starting Salary $225.00 Department or Branch N.Y. Options Dept. Code No. t ee.0-0 Date Last Increase 8/16/76 Amount Last Increase $75.00 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade 24E Title Associate Salary $24,000/Yr, O/T Status Name of Employee Replaced Date Separated Departmen or Branch NY Options Dept. Code, No. ei ;61-- Title 5 PART TIME EMPLOYMENT Salary Grade Rate $ /Hour Hours Needed Each Day From AM To AM PM PM 6 REASON TO BE EXPLAINED IN ALL CASES Per ° d' RETRO TO APRIL 25, 1977 .2• 6 i A ,a.:3 •-sa . Ac • Employee Department Head or Branch Manager Administrative Partner Director of Pe ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 Major Medical 402 flue Cross 403 type Employee 404 firth Date 392 r71. 7/77 4 ',nous) Salary 762 lock Number 330 mt a///7 orm 354 (4/76) PERSONNEL COPY EFTA01700818 t BEAR, STEARNS & CO. PAYROLL CHANGE AUTHORIZATION A s÷,,,,i, I- -r 1.4 • / PERSONNEL DEPAR t O S "I'd , 6 MENT •-• Dept. or Branch TV FROM' a_ It nwrrnms CUSTOMERS R004 Effective Date of Change June 27, 1977 • Today's Date June 24, 1977 Employee Name (La t-Middle-Firstl EPSTEIN Jeffrey ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1,6 ll Additions To 4W 3,6 H Quit (1 Resigned 1.6 II Salary 1,2,3,6 AMOUNTS (I Replacement • 3,4,6 (I Discharged 1,6 (I Title or Position 1.2,3,6 Repayment Schedule I 1 Per Pay Day With I/ Rehire 2,3,6 (I Released 1,6 ,,i Department N or Branch 1,2,3,6 ri Reinstate ' From Leave 2,3,6 (1 Laid Off 1,6 Shift (Day/Night) 1,2,3,6 Balance From Any Bonus I I Total Repayment From Bonus ( / Other Full IlPermanent Time II I) Temporary Pert l] Time " Returned (1 to School 0 Deceased (I Refired 1,2,6 1,2,6 I/Summer Leave of Absence () Military El Maternity I) Exit Interview II Attached File Number f ) 4 741 1 PRESENT STATUS 2 . SALARY HISTORY Grade 24€ Title Associate Salary 3?4,0 .0/Yr. On Status Date of Employment 3/15/76 Starting Salary $225.00 Department or Branch NY Options Dept. Code No. 847' Date Last Increase 4/25/77 Amount Last Increase $Q,400/Yr. 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade 24E Title Associate Salary $24,000/Yr OfT Status Name of Employee Replaced Date Separated Departmen or Branch Customers Room Deo/Code No. Rs3)•••\ Ofd Title 5 PART TIME EMPLOYMENT Salary Geode Rate $ /Hour Hours Needed Each Day From A" To AM PM PM 6 REASON TO BE EXPLAINED IN ALL CASES C 0 ,1 14 =VI 0A. 1,1(03, -= "' Transferred Per: mployee Department Head or Branch Manager Director of 1dministlative Part ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 'teethes Date 401 ajar Medical 402 lie Cross 403 Ise Employee 404 'th Date 392 W7/ (17 4 1 mai Salary 762 salt Number 330 / //V/77 ae®e 54 Rev. 10/75 (8/76) PERSONNEL COPY EFTA01700819 8EAR,STEARN54kCO. PAYROLLCHANGE AUTHORIZATION PERSONNEL DEPARTMENT , 4 I. • •..r-. Dept. or Branch FROM: N.Y.RETAIL SALES Effective Date of Change April 30,1979 Today's Date June 20,1979 Employee Name (Last-Middle-First) EPSTEIN Jeffrey ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1,6 ,, " To Staff Additions 3 . 6 (IQuit II Resigned 1,6 ' Salary 1,2,3,6 AMOUNT S ()Replacement 3,4,6 (I Discharged 1,6 II Title or Position 1,2.3.6 Repayment Schedule II Rehire 2.3.6 II Released I 1,6 I 1 Per Pay Day With Department ri or Branch 1,2,3.6 , , Reinstate ' From Leave 2,3,6 . II Laid Off 1,6 Shift (Day/Night) 1,2,3,6 Balance From Any Bonus I I Total Repayment From Bonus I I Other II Permanent Full I , Time ' 1 II Temporar Part f) y Time " ,, Returned " to School II Deceased II Retired 1,2,6 12,6 , ()Summer Leave (I Military of Absence Interview File Number (I Maternity II Exit (I Attached 1 PRESENT STATUS 2 SALARY HISTORY Grade 36E Title Associate Salary k36,800/Yr. OR Status . , AS:93,11f Date of Employment 3/15/76 Starting Salary $225.00 Department or Branch Dept. Code No. N.Y.Retail Sales Date Last increase 8/14/78 Amount Last Increase $4800/Yr. 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade 42E Title Associate Salary $42,000/Yr. OR Status Name of Employee Replaced Date Separated Depertmen or Branch N.Y.Retail Sales Dept. Cod No. WY Title 5 PART TIME EMPLOYMENT Salary Grade Rate S /Hour Hours Needed Each Day From AM PM To PM AM 6 REASON TO BE EXPLAINED IN ALL CASES -( .1 Retro to 4/30/79 Per: •Ci V \ 6a W. i •,,, .... I ge ;r....- .- .6n 1,>I Employee Administrative Partner ADP CODES Department Head or Branch Manager CATEGORY 0 1 2 3 4 5 6 7 8 9 • Effective Date 401 Major Medical 402 Blue Cross 403 Type Employee 404 Birth Date 392 r 2,/, A Annual Salary 762 :lock Number 330 7/7/41,/ # /7/ 7%, 354 Rev. 10/75 (8/76) PERSONNEL COPY EFTA01700820 BEAR STEARNS VIA OVERNIGHT MAIL U.S. Department of Justice 500 S. Australian Avenue, 4th Floor West Palm Beach, FL 33401 Attn: Re: FGJ 07-103(WPB)-Tues./No. OLY-71 Dear Ms. BEAR, STEARNS & CO. INC. SHARON D. CERES 320 PARK AVENUE NEW YORK, NEW YORK 10022 Phone (212) 272-6552 Fax (212) 272-5680 sceresebear.com September 7, 2007 In response to the Grand Jury Subpoena dated August 15, 2007 with regard to the above￾referenced matter, enclosed please find the personnel file for Jeffrey Epstein as well as CD containing account statements for Jeffrey Epstein as well as the following accounts in which Mr. Epstein has some relationship: Epstein Interests Financial Trust Co. Inc. Institutional Interests Heritage Interests International Charitable Interests Health & Science Interests If I find any other accounts that are responsive to your subpoena, as I continue my search, I will forward the statements to you under separate cover. Should you have any questions or I can be of further assistance to you, please contact me at the number listed above. End. Sincerely, BEAR, STEARNS & CO. INC. Legal Assistant ARANTA I BELING I BOSTON I BUENOS AIRES I rule Arco I DALLAS I DUBLIN I HONG KONG I LONOON LOS ANGELES I LUGANO I NEW YORK I PUERTO RICO I SAN FRANCISCO I SAO PAULO I SEOUL I SHANGHAI I SINGAPORE I TOKYO EFTA01700821 1L.Y. 11224 pc: 373-2262 ADDRESS Ph•Mi UST EMPLOYER FROM 9/74 Dalton Schools To 3/76 pownehvs.Dept. mum $1500 Mo . EDUCATION N.Y.C. OaOKIKT NOT:FifaHON NAME TELEPHONE • Above auL:TART STATUS AGGRESS Above RELATICNSMIP GROUP HOSPITALIZATION REG! STRATI 0 II OATES tiAOLLMEAT DATE EPSTEIN, J. O INDIVIDUAL O FAMILY O NONE .. ,-2bl&ii.LAJa2±4.4 . --"--- k4Aul I nW, NASD I-2n*If OIPL A DATE KEY POSITION TITLE CERARTMENT A 420 DI INDIC PSI SALARY SALRY COMMENT 3/15/76 E Trainee Floor Dept.-AMEX $225.00 4 F-ier • 74, PM (21.4 ro,_ta— —n.a/ icr.,O.4.., 7,,--...., :sec. cc 65;,•,) .1-a.f-n til I )4 or; rig 6 0 0 ''' /.. 7/ r If I elatra 34/ 4 'fent.. die-ay-Tr m ,, Pore 34, nr , sly- .P /1 4 fioo .34 too KEY E - FULL TIME T - PART TIME V SUMMER HELP M • MERIT INCREASE S • SALARY ADJUSTMENT P • PROMOTION T • TRANSFER X RELEASED R- RESIGNED L LEAVE OF AO S - RETIRED D DEATH H REHIRED $ DATE EMPLOYED 3/15/76 BIRTH DATE 1/20/50 Sn Male MAIDEN NAME LAST NAMI FIRST INITIAL EPSTEIN Jeffrey E. CIO MARITAL STATUS Single EEOC h- "(mi l l ! ' SE* COCCI t4 JAN FEE "Ow i a • tanw KNCOKE A m I I A P • U N II 7 NI L EFTA01700822 . • ' n 'DATE KEY POSITION tTLE DEPARTMENT AMOUNT Cit INCREASE taint vT SALAre COMMENT $A -Se 79 /72 (24-d-ete F -/-9O I , s14.0,c27-ed /91 4.) 31_1212L1—±_lasi KEY: E - FULL TIME T - PART TIME V • SUMMER HELP M• MERIT INCREASE S • SALARY ADJUSTMENT P - PROMOTION T • TRANSFER X • RELEASED R • RESIGNED L • LEAVE 6F ABS. I • RETIRED D • DEATH H- REHIRED S. S. A DATE EMPLOYED MAIDEN NAME LIST NAM! 3/35/76 BIRTH DATE 1/20/50 MARITAL STATUS Married SEX CEDE itviCW MOIRA Male MPH MUM ME EPSTEIN Jeffrey 'A N I rg O I S4A R I AP VA I jto j U I AU I SE I% I MO T Il t C P T , v EFTA01700823 Inatr ,=E VatcONLY( . r igil..:- 7 1) D6-- --....... BEAR9EARNS & CO. • 55 WATER STREET • NEW YORK, N.Y.10041 USE A BALL POINT PEN' PLEASE PRINT PLOYMENT Ani:RPERSONAL HISTORY FORM Ir"A" DATE .e . , .. PM :Oun ESPONSEI •SIL fOR A SUPPLOREATAL I CAM NAME II. jiao. N oes. analm /--- P str-e-/-11 - , deT- -7--72c) & . mt AO. 313 -a a(.2. " nit CI' ) (72 Y Cs CORE L YINnL ML. ND. //2,7.,y POSITION A LIED, ,OR an AAAAAA Ro 5 5 SAMS youth CAN IOU MAO 2:$ ;2140 IF - Mr NAME HINT IT os R LAT TO "0 ti” litMONIC: Igr•ISSIMITIM ATTITI AViLT TES 0 MAR WHO! i. RELATIONSHIP Al EnAPAII4-; POSITION I. Or tlISTADUystRAc I.I NIAL U.S.A. ON A LOCATION u.As.CLTIIZEN COMPANY I. ir? POSITION r4-4,4, L. ..pM C YOU EVER SUN NO YES EXPLANI CONVICTED Or A CRIME DT CIVIL OR MILITARY MOTTIORITIESI DATE OF GIRTH /— k).- 5?. EDUCATION (Begin with High School(s). Include Correspondence Schoo s. etc. TYPE OF SCHOOL NAME AND LOCATION INDICATE : V ill. MAJOR DEGREE OR DIP RECEIVED FROM NO. ATTENDED y p . mo. TO , R. OID YOU GRADUATE? 109. 4175JRIPI tr-rk a l it l4r . 54-. t AA • /kayo, L7 n, , Z ',O., -......„ _ .. 0 dict_ (.4 •• K • /I fl y IF2 k. • .• 9 . sres (11)610L---- • 1 No 7 1 a . 1Y, 0 14,Alt ‘ .4• ( CM cf.lo4 TEE 0 • A). A.I ct , PIT-LI oAi C, 7/ 72% NO 9,--- EMPLOYMENT ' ill in below a complete, consecutive statement of your busin s his cry for the pa ten years. All time. including periods o unemployment. must ounce If self employed, show nanie and address under which business was conducted. PRESENT OR LAST POSITION COMM. TrAltrP.--/ cc-tit-qt.-3 POSITION HE,. .. lfrAcif e ..A STARTINGSALARY Mb 6 ,, IRON TO EXACT ADDRESS I-06 i-14•`(` P ., AL 7 A). 1. OCPE AND SUPERVISOR FINAL SALARY MO TR MO YR. TYPE Of IROINESS Dunes at POSITION ca•Api Tins TIME 0 /Went* 0 LAIO Orr 0 AA NTI RELEASED 0 DISCHARGED 0 AAA AON OF REASON FOR LEAVING chi\ J.4. PART WACO 7 7 1 TTEMP. 0 elf • EVIOUS POSITION CORP: Ili e d . e...„ XD. f.* POSITEPI HELD -rt.—. PARTING SAL • FROM As" ), o EXACT ADDRESS f • 1 b 7 1 A1/4„,".; ij I Ls c DEPT AND SUPERVISOR FINAL CALAR NO. TIT MO TR 7 12 , r-V FULL 7 y' ' :n( OF Ler eLe Dona or POSITION r0Rein-• . .-- TINE 0 RESIGNED LAID Off " 0 RELEASED 0 DISCHARGED 0 AAA CREATION Of REASON Fell Le VING PART .IME 0 TEMP 0 NEXT P LVIGUS POSITION COMPANY POSITION .0.0 STARTING SALARY FROM TO ORO AGGRESS " GOT MO SVIERVISGII FINAL X AAAAA PO. M. MO TR TYPE Or ROSINESS DUTIES OF POSITION Puss TINE 0 VES.GNIO g ,As0 Oft 0 RE'.EASEO 3.5COARCCO 0 EXPLAN•VON Of REASON FOR I.0 VAC PR T.E0 TEMP 0 NEAT P POS MOUS T e• COMPANY POSITION MAO S•ASITING SALARY FROM 'O COACT ADDRESS OEPT AND SUPERVISOR F:NAL SALARY MC •• MO :A TT It OF BUSINESS I DUTIES Or POS1T•ON ..., 504:X(00 .A.0 Off 0 SOLANA:4N OF REASON TOR LTA,: NO Ar• (an> n Zile AAAAA 0 O 0 AT T. C L,, 'EMS n PEI: • C., 0:5 POS.- :h :D FAIT F0).7.0A NEED 5 •APTOM SALMI MEM '0 :me AtC•CtS tEP. ARO i4•I•u•SGR ?nal AAAAA I MC IP .0 "R r•pc OF OUS.NESS "MOM Cr POSITION ERAL 71ME S el PCI.GMO OFI 0 RELEASE: I C I''11 D.E.:NAACO. 0 ETPL•ATiCn N Cf REASON 50RLEAVING PART II .1 TOO C AS AN EQUAL OPPORTUNITY EMPLOY'S P.M" Syr Roma a en EFTA01700824 • .. . UNEMPLOYMENT Account for your time dur.ng any periods or unemptoyment. sell empioyment or fanny employment. •••, other than (hose when you were attending SCnOCI These periods of time must be verified by someone other than a relative or an employee of Bear. Stearns & CO I FAIN : O inumogAL CX AAAAAA ION fo "oxen •thEmPtatmENT SELF 0.1.0T.ICHI 0* (NIL,/ impLOTMENT. MO TR No I. Yil NAM( AOCIIESS NAME AGORCSS a ---.- RESIDENCE . RESIDENCE RECORD FOR PAST TEN YEARS- UNITED STATES ONLY /nom TO •OORESS CITY STATE APE • ov.k *ENT ITN PARENTS NO in MO. TR ... i, e.. Y it -2. 7.. g/ 7 1 /"." 1 Z. 7 r I . . a °RAI STATu / Pr BRANCO Or SERVICE YEARS of ACTIVE M AAAAA RT IERVIC /ROM i TYPE Or MILITANT DISC MTGE O HONORABLE r -I GENERAL. UNDER ITONOR•BLE I--I CONDITIONS. 'EXPLAIN ON PAGE II HAVE O OTHER I IN on PAGE 3) TON EVER BEEN (MPtrITE0 AT MAR. STEARNS • CO.' ....,... r , bible UTES Ir TEE. TROY TO DO you NAVE ANT PHYSICAL %IMITATIONS! TES O NOW IF ••'IZS". DESCRIBE I HAVE YOU HAD A MAJOR ILLNESS IN TESO NOD THE PAST S TEARS? IF "ICS." OrscRieri NOW OID YOU To TO *CAR. STEARNS • CO.) O NEWSPAPER AD O RE AAAAAA O AGENCY Q. OTHER IN CASE NAY RELATIONSNI ADORES TEL. No. • I Do you or spouse have any YES N additional income? O di "Yesr explain on Pg 3) 5 Have you ever been refused a YES NO bond or had a e revoked? O O 8. Have yoo over been a MY YES No to an arbitration proceeding O a by a Governmental Admen. i I. Are you a Director or Omer YES „fir of any Corporation? O O (II "Yes:' explain on Pg.]) Wien illative Agency or Sagunto's 2. Oo you have any outstanding YES tee" debts Coicionlion, Where regulatory agency? tit —lies: explain on Pg.3) It Do you trade in the YES NO Securities Market? N —erg what Brokerage Nun? O 0 to any Loan O YES ig • Company. Bank. etc. Are O 9. Has Mechanic's lien era YES YES rip, (Including Mortgage. Auto. Int Malawi and Charge Account) you bondable? a Ta• live ever been Ned O g Do you gave aCCOOnr O 0 In - Tes:' =plan on Pg. 3) 6. MU any iudgotest or enamel YES a against you? (II "Yes:' explain on Pg. 3) 17. Have you had any industrial YES NO accidents conned by Norio Conviction DWI been WEIS O O O 3 What is your apprOxisnate monthly OtaleiliOn on debts> , a . against you? men's COMDensahon, .2 IO. Have nu ever laded tee busk YES 18:ly , " III "Tesr explain on Pt 3) 1. Mai your salary eve, been YES NO garnisheed? O (De tIl "Yes.' explain on Pg. 3) 7. Have you ever been sued or YES NO Party to a lawsuit? O 0, III - Yes; explain on Pg. 3) amis. made a compromise with O , creditors. or taken advantage 14 Do you receive any pension YES NO al a bankruptcy act? tor a past disabikly7 O O III —fesr explain on Pg 31 III "In:' explain on Pg. 3) PRE-EMPLOYMENT STATEMENT I understand and agree hat Bear, Stearns & Co., and/or its agents will make a thorough investigation of my past employ￾ment and activities, and I agree to cooperate in such an investigation. I also understand that under the - Fair Credit Reporting Act:' Public Law :91.508. I. as an employee, have the right upon written request to know the name of the investigative service employed and the scope of their report should one be used. I further understand that any falsification or misstatement on this application or in connection with the above investiga￾tion will be grounds for immediate discharge. I consent to take any pre-employment physical examination nd such tut re physical examinations as may be r uired by Bear. Stearns Si Co. . I alSO understand t a the fir three months/4 d• 4W that, be consid a probationary period. and tha should Bear. S ea s S. Co. or I decide. duii fi n this p nod. t t a la Of suita ither party, my employment may be t mr ated by myself or the F r • it ut n ic and:ithout p eiu Ce Applicant's Signature I Cate i FOR CII:CE uSE ONLY . ILCS:TION ( CEPAnTmE tie oN Itt :RACE STAIIT:Ite SAL Ai START.NG WE TYRE or enr.aemEn7 — L., PERMANENT L SUMMER • • TEMPORARY —I 7:.,.. T:ME •• liCuRLY T.ME IS THIS A fifohnti r — D yes _ no — . ADD TO STAFF .-- REPLACEMENT •F REPLACEMENT Vont:YEE REPLACED REP. ACED ENILCTEI WAS O PROMOTED SEPARATED On , 0 LEAVE OF ABSENCE n TRANSFERRED TO GRADE SALARY .71) O RETIREMENT Lt OTHER O DEATH .47rnvateans COMMENTS I INTErlyirinD oi EFTA01700825 . USE SE ONLY 4 0. ' ' BEAR, STEARNS & CO. • 55 WATER STREET • NEW YORK, N.Y. 10041 USE A BALL POINT PEN PLEASE PRINT EMPLOYMENT 314/110t0 IOUNEED NONE AND SPACE FOR PERSONAL lout/ OSPONNES ASS FOR HISTORY A SuPPLENENTAL TORN FORM ( xl., i at, tj-, ldr `L;/. HAH>,„ ,..FY srotrit. +.,o1.1 I ...----- ' ste:. fAJ J 67.72e-} fr.- NONE OROS 50. meo /NM 3 P y SeT61*-- kikr• A.T. NO. CITY AND STATE 04 stmt_ rally -1OK( /fur. tir CON il l' Z' POSITION APPLIED 4OR T (A 'sr? • Roy saint 00 IOU cccccc / I WREN CAN TOO /tan ANT ;ULM "' T wIP " L" TO US NO O taLtrilO MIEN" li l l eroitTettuARGIWATi "I" TE s O NO,ES IF "TES' VINO! I. R.) / NAME I RELATIONSHIP Al. 4 . • POSITION I. spE42%ALCLiptil IVEISTA0Uwtia &TV U.S A ON • LOCATION I. COMPANY I YE: 5. r POSITION I / 7 ----\\ NAVE YOU EVER DON CONVICTED Of A CRIME RV CIVIL OR MILITARY AUTHORITIES, r aM NO TES. EXPLAIN ATC OF BI TM ' • A; EDUCATION (Begin with High SchoOl(S). Include Correspondence Schools. etc. ....,& TYPE OF SCHOOL NAME AND LOCATION INDICATE :girl MAJOR DEGREE OR DIPLOMA RECEIVED !ROM MO. An Ol. NDED,.......... •• T NO. TR. 010 YOU GRADUATE/ IA? C 4 A EC -S4 30 I tk-A- 43 f. TES ff .... SVC./ IRs/HLY _ I'V e It A V D et 7 ( 4 NO a copy. . te.),- ,D` TY,7 ,,e 3 I pi .19 , v. 7 0 eirce'rel• 12.. S. • S `G i 70 . O --e 6,-4 _ . • • .4).9.. J. FEr cs al S to ta v ..,,, --1 # p frifickE P.' S.' '1 70 71- so 0 EMPLOYMENT Fill in below a complete. consecutive statement of c your business his ory for the past ten years. All time, including periods 0 unemployment, must be accounted for. If self employed, show name and address under which business was conducted. PRESENT OR LAST POSITION COMPANY DALT" ' c cc ,v. ° L- 5 POSITION HELD 4 40' 1 '4 " lift */,' - He. .1 . STARTING 3 AAAAA p...) 1...A FROM TO (TACT ADDRESS iv t c . OA ; T. DEPT. AND SUPERNIOR .. b., DL .(E........ VIOL S AAAAA ref "el"( ,, MO. TN. MO. vs 4 TYPE Of BUSINESS ta., i OLIAX:f .POSITIONe e 0/h fP e^t fs 7s- c • Full TIME Ir AMOCO II LAID Off 0 AAAAA SECI U DOCHOOD Q. / 7-CelZer".. EXPLANATION Of REASON OR LEAVING 5 PANT run O TOP O 7y NEST A POSITION EVIOU COMPArSiA id. ce. (..).T.,....;\ POSITIO, MI , LD mit. - . STARTING SALARY HD 0 p. ve..1 FROM TO ESACT ADDRESS'". DOE OD SUPERVISOR FINAL SPORT .• i-e.4.‹ Pc Llilf MO TR. NO. enu ‘..1RESIGNED D. PART TIME ❑ NEXT A POSITION ENO COraPAmy i qinto S d 4. - 1 74. 3 POSITION Mao r4 e ea . STARTING SALARY, 1 Z.3 /HAI( FROM '0 EXACT ADDRESS )&e y 5r7h./.11-p- Att.'. OW ARO SUPERVISOR FINAL SALARY MO. TR. MO TR 7?-' 72, • TYPE OF BUSINESS r r..0S. • • CUTiES of Tge. we • >4, TRU TIME 'KOCK° U LAID Off O RELEASED OcDscRARDED Q ([PLANATION Or REASON TOR LEAVING POT . I O 701P O NOP in I ,LOON VON if CO/PANT •': ,LP Ill elit 'cosi, /".) rositiCj. NE-0 1.- won..., STARTING' no.P T0 EXACT ACORESS 40 co Afffr,k L Po-. im() ""1" DEN' AND S•PERV•SOR r.N•L r.s-r.dsi vcr TR .NO YR 3 opa r tI4SIRESS DUTX tYI41.p. S?;44 Ai/VC, lit FULL " IC 2....- _, ROIC.VO C.:7 5 . , Ar^ orr O OPLANAX:r or REASON ..1. ,,tivz.L.... L . //LEASED --I c.sconsto D .(mfr PART T. E _ I Teo Cl. • EV/Crl AOS.7.0/1 C.I/IPANT POSITION //ILO • I >OAT NG SA•AR" ,NOM TO AOCIIESS OPT AND ONION r MAL S.A.ARY NO rot 00 NI .Ir T TO Of BUSINESS .....‘ tordS Of POMO r P...L pat 3 RESIGNED O RELEASED O LAID ON O OISCHARGEO O EXPLANAT:ON CF REASON FOR •EAVoNG it,......,,,,t,....1 _Ir cti P °I I C O NMI/ O 96-57-355 AS AN EQUAL OPPORTUNITY EMPLOYER. BEAR. STEARNS & CO. DOES NOT DISCRIMINATE BECAUSE OF AGE. COLOR. CREED. SEX. RELIGION. OR NATIONAL ORIGIN. EFTA01700826 'UNEMPLOYMENT Account for your time during any periods of unemployment. sell employment or family employment. other than those when you were attending school. These periods of time must be verified by SOmeone other than a relative or an employee of Bear. Stearns & CO. mon TO E AAAAAA form DIrlivIDUAL TO Yellin, unceroincity MA ryirsoinCtif Of Amiga rime .... y MO ' II NO YR • .AMC ADO/MS Nat ACMITESS RESIDENCE RESIDENCE RECORD FOR PAST TEN YEARS— UNITED STATES ONLY I— TROY 70 STREET ADDRESS CITY STATE APT • *von RING WITH PARENTS NO. TR. MO. T . 772_ , e fr; 4. --s ›e ) ORAL 'TATO ki DR•toCP Or SERVICE / TEARS Or ACTIVE MILITARY SERVICE FROM TO TYPE Or MILITARY OiSCNARGE O HOMO .... . UNDER HONORABLE El coNDITIONS. I AAAAAA N ON PACK II HAVE YOU EVER O OTNER (EXPLAIN ON PAGE II • sum EMPLOYED AT SEAR. S AAAAA S • CO./ V a__, LITES I TES . FROM TO 00 TOR NAVE ANT porTsICAL LIMITATIONS, TES❑ NO IF "TES". (IMPUTE NAVE TON MAO A MAJOR ILLNESS IN "O NOD THE PAST I DEARS! IF -TES." <ASCRIBE, NOW Ole YOU HAPPEN TO APPLY TO DEAR. S AAAAAA • CO., IN O NEWS 0 8,01PAL 1. O AGENCY COUR i., CASE NAME IOMSMIP • ADORE TEL. NO. I. Do you Of spouse have any YES lig . additional Income O (II -Yes." eiplain on Pg 3) 5. Have bond you ever been reined a YES N or had cot revoked? CI J When 8. Here you ever been a party YES eh i lo an arbitration proceeding O by a Governmenlel Admin• Wolin Agency or SectwilieS rtgulalay Wag' (II `Yes: explain on Pg. 3) I 11. Ate you a Director Or Officer YES fi( ii of any CoMOrali011? O oi Of '*YeS:. explain Oil Pg. 3) • — R. Do you trade in the YES IN/ i SeCutilms Markel? • il 'TO: weal Brokerage ram? YES 2. Do you have any our:landing TES NO/ debts to any Corporation. Loan O Comae/h.. Bankee (Including Mortgage. Aulo. In. Segment and Charge Recant) (II "Yes:.rain on Pg. 3) Moe Yee Are you bondable? O 9. HIS a /4echanies ben Ora YES i Tax lien ever beeNIS O ,. aeons: ou? tll "Yes:' explain On Ft. 3) Do you have an account? 0 W 6 Has any pudgment or criminal YES fy conweliOn ever been entered against you? CI rte, U 13 Have you bad any mdectrul YES :Ill ' accidents covered by Work' O men's Compensation? III - Yes: totem on Pg. 3/ 3 What IS your approximate monthly obigahon on debts? 0 10 Have yOu ever laded to IMO. YES N nem IRICIt a Compoltaile with O Creditors. or Ian advantage a bankruptcy act' (II "Tits: Dolma on PS 3} 7 Have you ever been sued or YES N party to a lawsuit? pl "YRS." explain on Pg. 3) O I of 14. Do you receive any pensiOn YES N garnisheed, fora pasl Oisabilitya O HI -res:' explain on Pg 3) 4 Has your salary ever been YES re (II "Yes.' explain on Pg 3) O PRE-EMPLOYMENT STATEMENT I understand and agree hat Bear. Stearns & Co.. and/or its agents will make a thorough investigation of my past employ mont and activities. and I agree to cooperate in such an investigation. I also understand that under the "Fair Credit Reporting Ac' Public Law 891.508. I. as an employee. have the right upon written request to know the name of the investigative service employed and the scope of their report should one be used. I further understand that any falsification or misstatement on this application or in connection with the above investiga￾tion will be grounds for immediate discharge. I consent to take any pre-employment physical examination and such future physical examinations as may be required by Bear, Stearns & Co. I also understand that the first three months will be considered a probationary period and that. should Bear, Stearns & Co. or I decide. ring his period. that a lack of suit ith either party, my employment may be terminated by myself or th it /Mout e.::.... , el and with Ice. • Oate n,A bc--,n. Applicant's Signature I 77 1 IOR OFT.Ct tat ONLY POSI, CH ) _--- I e- ri r I (Ct... ..., E PARTMENT/DRANCM -t---- AIM q r -1.0 2- 1 GRADE t. 57ASITiNG SAL OA ) -SLb IA. I je...A• START: C DATE % /r/ 76 TTPE or °leen:newt ._, PERMANENT I Scr4ER TEMPORARY r FULL THE C HOURLY TIME .s THIS A REHIRE C YES l • NO — A00 TO STAFF — REPLACEMENT or REPLACCIAEN7 . EMPLOYEE REPLACE° IltIy•CED IMP‘Ortt WAS — . L. PROMOTED _)SEPARATED ON 'LEAVE Or ABSENCE r TRANSFERRED TO GRADE SALARY C RETIREMENT Li OTHER r —•—.1 DEATH wIE•infv•CAS COMMENTS . soITERViCWE0 TIT EFTA01700827 l• • • • • • •.•%n a iv:, run rtuci.1 I I INSURANCE • (This form to to be completed by the Employee.) CONITINENTAL INSURANCE COMPANY KANSAS CITY FIRE AND MARINE INSURANCE COMPANY FIREMEN'S INSURANCE COMPANY OF NEWARK. NEW JERSEY BOSTON OLD COLONY INSURANCE COMPANY COMMERCIAL INSURANCE COMPANY OF NEWARK. N. A PHOENIX ASSURANCE COMPANY OF NEW YORK NIAGARA FIRE INSURANCE COMPANY SEABOARD FIRE AND MARINE INSURANCE COMPANY THE FIDELITY AND CASUALTY COMPANY OF NEW YORK NATIONAL-BEN FRANKLIN INSURANCE COMPANY OF ILLINOIS THE BUCKEYE UNION INSURANCE COMPANY PACIFIC INSURANCE COMPANY THE GLENS FALLS INSURANCE COMPANY Branch Office DOOMS, DEPARTMENT Bond No the Employer. Application is hereby made to one of the above named Companies thereinafter called "the Company") Selected by Att., (Mrs. or Iliss) Employee gannets of Bond S (Applicant) Positron Traiapc at Payable ...Etear., atea;aka fic C9 (Full name or oral` itLyZif Employer) ..... . 55 Water St. New York,N.Y.00 (Address of Employer in full. by Number. Street, City) The Nature of the Employer's Business is Stoelc. BrOkezA FULL NAME OF APPLICANT (Pleas. Print) I ..fgr.(41 ( SOCIAL SEICURITY NUMBER Date of Birth Are you an American citizen? VC.S. Single? Present residence address: How long have you lived there? State previous addresses in Rtll and length of time you lived at each yfldress, durin No. (St Slate From C to No. (St. or Ave.) • City . Stole From to Married? Separated? Divorced? Who constant your family? Husband? Wife? :No. of Children? Others? Do they reside with you? How long have you been in the continuous service of this employer? In what position? Trainee Employed at New York Daegnaking p6sont Akita' r thi5yruance 5 19 76 Do you receive any income beyond that of this employment? If so, please state amount and sources? Do you receive goods, merchandise or other property on consignment or otherwise? .I/ V0 Have you ever failed in business or compromised with creditors? A.1..., • .. . If so. when: . 19 • Where* • Business • Name of firm • Assets: s ' • Liabilities $ What were your banking connections at that time? Do you own your home or hold interest in other real estate? An Location of such realty I . Description • ..1 In whose name is the title?' Value Incumbrance Have you any debtior liabilities other than for current expenses? f .4.. II' so, please give amounts and sta e how they were incurred. If paid by salary, state annual amount and when payable. Have you ever applied to any company for a bond? What If so, when? Was the bond issued" company issued the 'bond? Who was your employer? Has any company ever refused to issue or to continue a bond for you? If so, when? 19 .Name of the Company: on what ground was the bond refused? Have you ever been in arrears or in default in your present or previous employment? If So, please give particulars $ ..................e in —we ex .i.y APPLICANT S PARENTS, IF LIVING, OR OTHER NEAREST RELATIVES NAME RELATIONSHIP OCCUPATION ADDRESS (Street and No. in cities) EFTA01700828 t" YOUR OCCUPATIONS THROUGHOUT THE LAST TEN YEARS Kurnish, below full particulars of your past occupations or employments during the last ten years. as called for under the coltunn headings. If you were at school within this period. give accurate identification and attendance at each school. Begin in the top space with your most recent activity. If the spaces here are insufficient, please complete • the record on a separate sheet and join together. PLEASE TYPE OR PRINT INFORMATION BELOW From To Full name or exact style (if firm or co:potation) of your employer and his business and address. . Town and street address of place where you worked. Name and present address of your Superintendent. Nature of your position or occupation. I'hy did you leave? A .nib 1..- T. .... lin Month /.1.1.11-d 19 .0"4-77-• . ro g c. 95 ". S. c brioc. s . $7 . i s Al / . t eyr sr . 'VA • .... ... - • • 12-7401Z4 . TH Cs J￾Month 2 • . - • 19 Month ... ..... • 19 • • • . -- ....... ' • -- ...... ------- Mr- • • ...... — " ' .. . Month t - •••• 19 Month 19 • . .. . - • • • - Month i ........ ...... 19---- Month ........... --- 19 ..... -- • ... ' -- — •••"" •-• • . . .... .. ... — . ..... ....... . Mona; ....... —..... Month ........— .... .-.. • Month Month ...... . ..... . - ... — -. — • -- ... .... . • -- .. . - . .. —. - ... .... -- - . REFERENCES Give as references the names and post-office addresses in full of three or four persona well acquainted with you during the past few years and not related to you. They should be persons of good standing in their respective commu￾nities. Please do not refer to any officer or fellow-employee in the service in which you are engaged, nor to any former employer. NAME PROFESSION OR BUSI[yESS 4 ,007. Aff• ..146 Ph-e.2L. • _ ••••• ..... •• r • . ... . ....... .... an. •••• RESIDENCE ADDRESS IN FULL Street No. and Cit ) 7 I hereby declare shut the foregoing statemen s ;Ica true, and I hereby apply to the Company fur a bond in my behalf of such kind and in such amount as the employer to be named as beneficiary in the said bond may now or hereafter require. I also hereby agree for myself, my heirs, executors, and adminis rators, to indemnify the Company against any losses, damages, costs, charges and expenses it may sustain, incur, or become liable fur in consequence of my acts while under the said bond or any renewals thereof, or any now bond issued in continuation thereof or as a substitute therefor; and any proper evidence of the payment by the Company of any such losses, damages costs, charges, or expenses shall, in the absence of fraud on the part of the Company in making such payment. be conclusive evidence against ate, my heirs, executors, and administrators, of the fact and extent of my liability to the Company under this agreement. I hereby further agree that the company shall have the right to decline to grant the bond applied for; that, in case the bond is granted, the Company. shall have the right to withdraw or cancel the bond at any time; that the Company shall not be required to disclose the reasons or grounds upon which any action on its part in connection oith the said hand may be based; and that the Company shall not be responsible fur any loss or damage that I may suffer by reason of any such action, any statutory provisions to the contrary being hereby expressly waived by me. This agreement may not be changed or modified orally. No change or modification shall be effective unless made by written endorsement hereon signed by an authorised representative of, this isCompany Dated and signed at .//e4 (Town fad Mono) day of .6 11"4 co' 19-:“ EFTA01700829 ORIENTATION FOR NEW EMPLOYEES The basic policies of Bear, Stearns & Co. are contained in the attached orientation outline. After you finish read￾ing the outline, the instructor will verbally go over the policies in detail, and answer any questions you may have concerning them. I have read and understand the orientation outline which explains the following policies: 1. History of the Firm 2. Trial Period A. Probationary Agreement B. Background Check 3. Employee Benefits A. Bonus Payments B. Vacations & Holidays C. Medical Coverage D. Life insurance E. Profit Sharing F. Pensions G. Salary Advances & Loans 4. Workweek: Pay & Overtime 5. Payday 6. Identification Cards EFTA01700830 • 7. Open Securities Trading Accounts 8. Jury Duty 9. Accidents or Illnesses 10. Medical Department 11. Disability 12. Cafeteria 13. Evacuation Procedures 14. Performance Reviews 15. Absenteeism j (PERSONNEL DEPT. REPRESENTATIVE) EFTA01700831 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 (212) 952-5000 WRITER'S DlIttCT DIAL NUMER University ot California Berkeley, California JEFFREY E. EPSTEIN BEAR STEARNS March 16, 1976 (Applicant's Nome) (Social Security No.) has applied to us for employment. As a previous employer, we would appreciate your comments. We have obtained a signed authorization and indemnification agreement from the applicant to conduct reference checks, a copy of which is enclosed. Should you prefer to respond by telephone, please call our reference section at 212/952-5263. Dates of Employment: Supervisor; Claimed from 1973 to 1974 Lecturer, Dr. Wolf Verified from to Above Average &ELT Below Average Attendance 0 . I= Punctuality I= Work CI 0 CI Performance 0 l= ED Overall Rating 0 CI C To the best of your knowledge, did this applicant have a Securities brokerage account? 0 Yes 0 No Would you recommend the applicant for a position of trust involving negotiable securities? El Yes la No If your present policy permitted, would you rehire this applicant? ED Yes =No Is there anything we should know about this applicant which would help make our relationship a successful one? GENERAL REMARKS: Name: Title: Signature: Date: Form 267 (10/75) tc 94720 New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Amsterdam/flensiv, /p3vic EFTA01700832 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 12121 952.5000 WRITER'S DIRECT DIAL NUMBER BEAR STEARNS To Whom It May Concern: I hereby authorize the release of the information requested on the attached form to my employer, Bear, Stearns & Co. Thank you in advance for your cooperation. Sincerely, 134, r7L(er p2 -31 Applic ' s Sqldnature New York/Atlanta/Boston/Chicago Dallas/los Angeles/San Francisco Amsterdam/Geneva/Paris EFTA01700833 Mr. 1. A'PPLICANT'S NAME Ms. 4/ a 4. NASD FIRM NUMBER 6. FIRM ADDRESS 615:" )(•r. $j 7. OFFICE OF EMPLOYMENT OF APPLICANT IC i....= t)?E‘____ezteert' 8. NASD DISTRICT IN WHICH OFFICE IS LOCATED._ R. — TO BE REGISTERED WITH THE FOLLOWING:_ (Check Alf Applicable) NATIONAL ASSOCIATION OF SECURITIES BEALERS (NASD) ° [ American Stock Exchange 0 Chicago Mercantile Exchange 0 Boston Stock Exchange 0 Cincinnati Stock Exchange Chicago Board of Trade 0 J Detroit Stock Exchange DE or— IN 0 ---- MAO ---- NV 0 DC 0 IA0 FL 0 KS 0 GAO L KY 0 HI 0 LAO ID MED CT O.__ IL MO 0 11. TYPE OF APPROVAL REQUESTED: ilATIITAR1/.1iiil lFIATIONTR;gistered Representative) FULL REGISTRATION/GENERAL SECURITIES LIMITED REGISTRATION REGISTERED COMMODITY REPRESENTATIVE AGENT OF ISSUER INV. CO. & VARIABLE CONTRACTS PRODUCTS SECURITIES TRADER RCAL ESTATE SECURITIES DIRECT PARTICIPATION PROGRAMS OTHER (Specify) PART TIME (NASD or SECO) FULL TIME (NASD or SECO) INTERMEDIATE REGISTRATION BRANCH OFFICE MANAGER SUPERVISORY ANALYST OFFICER (Title) OTHER (Specify) MI 0 MN 0 MS 0 MO 0 MT.D NE ❑ NH 0 NJ 0 NM 0 _ NY 0 NC 0 0 O J 0 Chicago Board Options Intermountain Stock Exchange 0 Exchange 0 j Midwest Stock Exchange 10. TO BE REGISTERED WITH THE FOLLOWING JURISDICTIONS: (Check all applicable) AL 0 AK 0 AZ D AR 0 CA 0 CO 0 NO 0 OH 0 OK 0 OR 0 PA ❑ RI 0 Lit../IYIIVIULJI _---- itb INUUSINY REPRESENTATIVE and/or AGENT —1 LAST Id (i.e.. • FIRST / Middle (II None, so intent/ b E• . .. . S 0 I \ r ----- 1 3. DATE OF EMPLOYMENT /414/(Lh 76 I 4— J I__L_J I j 5. FIRM NAME Loci. _ _STfrci!"_.a __ I 7 .71 . . SECURITIES AND EXCHANGE COMMISSION ONLY (SECO) New York Stock Exchange Pacific Stock Exchange PBW Stock Exchange Spokane Stock Exchange Other (Specify) SC 0 SO TN 0 TX 0 UT 0 VT 0 PRINCIPAL REGISTRATION WA 0 wv WI 0 WY n PR Member (Eadhange) Regular Oa r — R Associate Approved Person (Exchange). ❑ Holder of Voting Stock Holder of Non Voting Stock 0 Subordinated Lender Holder of Debentures Director General Partner limited Partner Officer (Title) Allied Member/Gen. Securities Principal Sole Proprietor Manager Office of Supv. Jurisdiction Financial and Operations Principal Direct Participation Programs O L_ _ Products 0 Investment Co. & Variable Contracts 0 Underwriter Principal O Other (Specify) 0 ❑ n 3 ❑ 12. To the best of my knowledge and belief the applicant al the lime of approval will be familiar with the statute(s). conslitution(s) and floret ol the agency: jurisdiction or organization with which this application is being filed. and the rules governing registered persons. and will be fully qualified for hit position fir which application is being made herein. I agree that notwithstanding the approval of such agency. itnistlienon or organizatiois•which hereby Is (*quested. I will net employ the applicant In the capacity stated without first receiving the approval of any authority which may be icquised by law. This firm has communicated with all the previous employers or the applicanl during the past three years. as set bath below: EMPLOYER NAME PERSON AND— CONTACTED POSITION. of — EMPLOYED ••-• • CONTACTED CY 'PHONE. I FROM/TO I LETTER On INITItieltW n addition. I have taken appropriate steps to verily the statements contained in this applicatio ipplicant. Date Print Nm.of App opiTa-te (See Instruction 12) DO NOT WRITE IN THIS SPACE :xperience lather Training Required Lam Required_ _ ssue ram Grade OK CitatJtICt fain Taken: Dale . Grade_— . Dale Approved: Cond.-_, EFTA01700834 PERSONAL HISTORY r Prise 2 of 4 ea • •- zury •••• 18. ire o Plaie Gina 3. S li p, .: 2 A1._ j EiraTtim L ;,. t ri none, Wieser' 2. = 23 M of $ line a hiaiegcnimitlf AmForialifr 4. RAePa Fu-llfffame IF MORE SPACE IS NEEDED FOR ANY OF THE FOLLOWING QUESTIONS, ATTACH A SEPARATE SHEET 25. EDUCATION "docational Institutions Attended: HIGH SCHOOL Id L. COLLEGE ;pacify Highest Year Completed: 90 100 11 0 12 in 10 20 3do 40 (STREET. CITY. STATE. ZIP COOD fAROC.114 YR. YR.- COURSE FieStrirt r tkid > ;-..ale st 1 I ' C-Vcrkt A .10.4 UM' , -7 • /V 4/ • ,<••• e -4 • -11:: Iii .( (4 3A fie "rit.."(17 r 'Ns( r aden (II AppITEIM Pity, //Ur 16. iro-r-ri,r _Net., Qv< t•Ar /AZ Y._ State Zip 19. Citizen Yes of US? No 0 If no. state country of citizenship I — f [ ADDRESS (Street City. State. Zip Code) „≥,Si i SI _ __,SHeettt c. Mkt:4_ alk ter_fret 7 ...21_12.. y _ _ _ ____ 212.Y L —Irlit‘ ri.V. - #W.Z.: ,!K 17:.. /".`. a titt:c...._, _:_,. . . -unme- AfiflobRess'or'INSTiTUTION GRADUATE cSCHOOL a{ 1n 2 30 4 0 'DAY OR DIO—YOU DEGREE EVENING GRApATE Ty 17/vy 6 26. EMPLOYMENT HISTORY The following is a complete, consecutive statement of my business history for the past ten years starting with my current position. (All time must be accounted for including self-employment, unemployment. parttime Securities, commodities, insurance and real estate industries or related positions and all military service.) .-- tmme Or EMPLOYER-ANOCOMPLETEADDarradar (STREET. CITY. STATt ZIP CODE) MO. YR. (Tr. to MO. YR. - To()MtION MELO REA{OWFOR LEAVING FULCOR PAFtT.IIME 1 "t er.. ii,J4 44.3,..0 4 S 11\ At' .. 1.1. q lit A....7Cfa zt - FJ-- 7 ,_ ..I i . I 4.. . I I I • I I j i 27. RESIDENTIAL HISTORY (Give all home addresses starting with present address.for the past 10 years.) FROM - 4 2 0 — Mo. YR. MO. YR. (7 4- -_2I 71 . - 28. The following is a complete list of all brokers, dealers or banks with which I am carrying accounts insecurities or commodities or with which I have carried such during the past ten years. (If "none", so state.) ------.-- ------ - ____... .._ —. _- ..- • — - -.----- atiecin oPEN olt— NAME AND ADDRESS OF FIRM OR BANK ACCOUNT NUMBER MARGIN FROWTOT CLOSED •- - - •- -- --- 1.-?:•-•••••----- —• • •--•-•---- • • • • • - • authorize and request any and all of my former employers and ony other person to furnish to the agency, jurisdiction or organization with which this application is being filed, or any agent acting on Is behalf, any information they may have concerning my credit worthiness, character, ability, business activities, educational background, general repu ation, together with, in the case of former employers, a history of my employment by them and the reasons for the termination thereof. Moreover, I hereby release each such employer and each such other person from any and all liability of whatever nature by reason of furnishing such information to the agency, jurisdiction or organization or any agent acting on its behalf. Further. I recognize that l may be the subject of an investigative consumer report ordered by the agency. jurisdiction, or organization with which this application is being tiled, and that I have tire right to request complete and accurate disclosure by such agency, juristlictjon, or organization of the nature and scope of lite investigation requested. ' I 10 I t • • EFTA01700835 YEAR LIIAIT DOES NOT APPLY TO QUESTIONS 30 THROUGH 54. 4 J. A. Have you• ever taken end passed a qualifying examination fof registration in any capacity with the NASD; a national securities or commodities exchange Or SECO? If yes, state below the type of yes__ examination, the approximate date taken and with what regulatory body application was made. Type of Exam Approximate Date Taken 8. Have you ever been rratry egt Body granted a waiver of qualifying examination with an agency or organization? If yes, state below the type of examination, the approximate date and by what agency or organiza￾tion. Yes— No.- Page. 3 of 4 orl -iypt r-1—zrThell Approximate bare C. Have you ever Reggulatory Body taken a qualifying examination for any jurisdiction? If yes, state below the type of examination, the approximate date taken and the name of the jurisdiction administering Type of Exam it. Yes_, No_. AporrourThr0ale D. Hive you ever been taken Regulatory body exempted or excluded from taking a qualifying examination by any jurisdiction? If yes, stale below the type of examination, the approximate date and the name of the jurisdiction issuing the exemption or exclusion. . Type of Cirn Appmx mole Dale Regulatenay IF THE ANSWER TO ANY OF THE FOLLOWING QUESTIONS IS YES, ATTACH COMPLETE DETAILS: 31. Have you ever been registered or licensed by any agency or jurisdiction to sell or to deal in securities or commodities as a principal or employee with any registered broker•dealer or to function as an invest• ment adviser? If yes, specify the name of the brokeodealer or investment adviser, dates registered and agency or jurisdiction with which you were registered. 32. Are you currently engaged. In any other business either as a proprietor, partner, officer, direCtor, trustee, employee or otherwise? 33. Do you or any member of your immediate family have any beneficial Interest in any investment part￾nership or corporation (including hedge funds, investment clubs. etc.) or any other domestic or foreign accounts whose primary function is investing in securities or commodities (excluding companies regis￾tered under the Investment Company Act of 1940)? 34. Are you now or have you ever been licensed Type of to sell insurance? licensers) and jurisdklion(s) where 35. Are licensed you now or have you ever been licensed Type of LIcense(s) to sell real estate? and furisdktion(s) where 36. licensed Are you currently bonded? (If yes, specify insurance company and amount.) c.let"-•? 38. Has any surety company paid out any funds on your coverage or cancelled your bond? . 37. Have you ever been refused a fidelity bond? 39. Are you now or have you ever been a regular or associate member of any stock exchange or commodity exchange/contract market? 40. Nave you ever been an officer, director, general partner, owner of ten (10) percentum or more of the voting securities, or controlling person of, or otherwise engaged In any other managerial or supervisory capacity with any broker or dealer for which a trustee has been appointed pursuant to the provisions of the Securities Investor Protection Act of 1970, or that has been liquidated under any other circum￾stances? . 41. To your knowledge, are you now or have you ever been the subject of any Investigation or proceeding by any securities, commodities or insurance agency, jurisdiction or organization? 42. Are you now or have you ever been a defendant in any litigation alleging the violation of any agree￾ment with or provision of a securities or commodities industry self.regulatory organization's constitu￾tion, by-laws or rules, or any securities, commodities or insurance law or regulation? .... ... ...... ...... 43. Are you now or have you ever been a director, controlling stockholder, partner, officer, sole proprietor. or associated person with a broker-dealer or insurer which during the time of such association was suspended, expelled, or had its registration denied or revoked by any agency, jurisdiction or organiza￾tion? 44. Are you now or hove you ever been subject to an order of the NASD. a securities or commodities exchange. an agency or any jurisdiction which revokes, suspends or denies membership or registra￾tion? 45. Has any permanent or temporary injunction ever been entered against you or any broker.dealer, insurer, investment adviser or commodities firm with which you were associated in any capacity at the time such injunction was entered? 46. Are you now or . • have you ever been (whether or not publicly disclosed) suspended, expelled, fined. hand. tenured or otherwise disciplined, or found to have violated any securities or commodities law or rule by any securities or commodities agency, jurisdiction or organization: or been refused member￾ship therein or withdrawn your application for such membership: or been refused a license to sell insurance or had one suspended or revoked for cause by any jurisdiction or agency? ... ... .. .. 47. Are you now or have you ever been named as an eider, abettor, or a co-conspirator in, or cause of, any action mentioned in questions 40, 41, 42, 43, 44, 45 and 46, taken with respect to a brokeortopia., or insurer? _I • I . . . Yes— No—j Yes._ No Yes— No_ Yes_ No Yes.___ Noi Yes— Yes— No Yes— N Yes.— No Yes— No_ Yes— No— Yes— Ir/ No r--- Yes— No • — 1 Yes_ No_ F1 . Yes 0 EFTA01700836 I • • plined Are ynu by now an or employer have you ever been suspended, expelled, fined, barred, censured or otherwise disci- in the securities, commodities or insurance- industry? 49. Have . you ever had denied, suspended or revoked a ship license, permit, certificate, registration or member- required to engage in securities, commodities, insurance or other business or profession? 5O. In your previous business connections or employment, have you ever been: a. a subject of a major complaint or legal proceeding? or, b. discharged alleged or requested to resign by an employer because of dishonest or unethical acts to have been committed by you? 5/. Have failed you in business, or any firm. made corporation or association of which you have been a principal or officer ever any bankruptcy acts? 'a compromise with creditors or ever filed or been declared bankrupt under 52. Have you ever been: a. of Arrested any or indicted for any felony or misdemeanor involving the purchase, sale, or delivery security. or arising out of the conduct of the business of a broker, dealer, fiduciary. investment company, investment adviser. underwriter, bank, trust company, pany or other insurance corn violence against financial any institution, or involving any crime in which violence or threats of of person, dishonesty, the wrongful taking of any property, or any manner fraud was a factor, Or involving conspiracy to commit any of the foregoing? Or, b. Convicted of. or pleaded nob contendere to, any felony or any misdemeanor, except minor traffic offenses? 53. were Have you associated ever been with a principal or employee of any firm, corporation or association which, while you meanor? it, was convicted of, or pleaded nob contendere to, any felony or misde￾54. Are you currently the subject of an unsatisfied judgement or lien? THE FOLLOWING SHOULD BE READ VERY CAREFULLY BY THE APPLICANT 4 of 4 Yes_. No_ Yes._ No_. Yes_ No_ Yes No Yes_ No— i Yes No Yes_ No E1 Yes_ No__ • Yes No 1. I hereby certify that I have read and understand the foregoing statements and that my responses are true and complete to the best of my knowledge. 2. To induce the agency, jurisdiction or organization with or to which I am filing or submitting this application to receive and consider it: A. I agree that any decision of the agency, jurisdiction or organization as to the results of any examinations) that I may be required to pass will' be accepted by me as final; B. (1) I tion understand certificate that or an I am official not authorized notification to sell, or offer for sale, any securities until I have received my license or registra- of its effective date; C. (2) I understand that I am to sell only those securities authorized by my employer. I of agree to abide by the Statute(s), Constitution(s), Rules and By-laws as any of the foregoing are amended from time to time D. If I the shall agency, jurisdiction or organization with or to which I am filing or submitting this application; violate or be charged with the violation or possible violation of any Statute, Rule. Constitution or Bylaw of any agency, jurisdiction or organization with or to which I am filing or submitting this application, I agree to be subject to and abide 3. Further, by the and penalties of the Statute(s), Constitution(s), Rules and By-Laws of such agency, jurisdiction or organization. in consideration of the securities or commodities self•regulatory organization receiving and considering this applica• lion, I submit myself to the jurisdiction of such organization(s). 4, I „Is Fite cy ecri...r.: gyps-rm./ the undersigned applicant do solemnly swear that which the answers to the above questions and the statements herein made are true, and that I have not herein made any statement, 5. I. the undersigned, is at this time and in the light of the circumstances under which it is made, false or misleading in any material respect. for the purpose of complying with the laws of the State of T•k-Li 1 eIZIC relating to either the registration or sale of securities or commodities, hereby irrevocably appoint the administrator, or such other person desig- nated by law, and the successors in such office, my attorney in said State upon whom may be served any notice. process or pleading in any action or proceeding against me arising out of or in connection with the offer or sale of securities or commodities. or out of the violation or alleged violation of the aforesaid laws of said State; and I do hereby consent that any such action or proceeding against me may be commented in any court of competent jurisdiction and proper venue within said State by service of process upon said appointee with the same effect as if I was a resident in said State and had lawfully been served with process in said tate It is requested that a copy of an otice, process plead' d hereunder be mailed to me at my residence. S Cf . ( 2 MG Data Siena Date Siena lyre of Witness (Witness must be either a partner of the firm, officer of the corporation, branch office manager, or authorized employee. Please indicate which). (NOTARIZATION OF APPLICANT'S SIGNATURE) STATE OF County SS: EFTA01700837 vvroniutn itb muus NV REPRESENTATIVE and/or AGENT APPIRICANn NA1AE Ad ire Middle fral Nt onite. 1:o—rIspecIth LI FT Mt. ) FIRST 3. DATE OF EMPLOYMENT 014/CLA it I J 4. NASD FIRM NUMBER I L— 7 6. FIRM ADDRESS " ce L j 5. FIRM NAME . fr et._ t 7. OFFICE OF EMPLOYMENT OF Aura ZE D413:Ci -q..? r ri/." - ANT ittet di = 8. NASD DISTRICT IN WHICH OFFICE IS LOCATED. I , j 9. TO BE REGISTERED WITH THE FOLLOWING: (Check All Applicable) NATIONAL ASSOCIATION OF SECURITIES DEALERS (NASD) 9L , American Stock Exchange Q Boston Stock Exchange Chicago Board of Trade Chicago Board Options Exchange Intermountain Stock Exchange 0 _ Q 1- 1 Midwest Stock Exchange 10. TO BE REGISTERED WITH THE FOLLOWING JURISDICTIONS: (Check &I applicable) AL 0 AK AZ 0 AR 0 CA 0 CO CT O ` ILO MD 0 11. TYPE OF APPROVAL REQUESTED: STANDARD REGISTRATION (Registered Representative) &.— FULL REGISTRATION/GENERAL SECURITIES LIMITED REGISTRATION REGISTERED COMMODITY REPRESENTATIVE AGENT OF ISSUER INV. CO. & VARIABLE CONTRACTS PRODUCTS SECURITIES TRADER REAL ESTATE SECURITIES DIRECT PARTICIPATION PROGRAMS OTHER (Specify) Chicago Mercantile Exchange Cincinnati Stock Exchange 0 Detroit Stock Exchange O DEC OCO FLO GAO HI Q wri IN O IA KS 0 KY LAD !Am PART, TIME (NASD or SECO) FULL TIME (NASD or SECO) INTERMEDIATE REGISTRATION BRANCH OFFICE MANAGER SUPERVISORY ANALYST OFFICER (Title) OTHER (Specify) • SECURITIES AND EXCHANGE COMMISSION ONLY (SECO) 1 MA 0 NV NOQ MI 0 MN MS 0 MO 0 MT.0 NE 0 O O ❑ O 9 NH 0 NJ 0 NM NY 0 NC 0 O O ono OK 0 OR Q PA 0 RI Pacific Stock Exchange P8W Stock Exchange Spokane Stock Exchange Other (Specify) sco SD IO TN 0 TX 0 tap . PRINCIPAL REGISTRATION Member (Eicihange)• • — • Regular Associate • Approved Person (Exchange) . Holder of Voting Stock Holder of Non•Voting Stock Subdrdinated Lender Holder of Debentures Director General Partner Limited Partner Officer (Title) Allied Member/Gen. -Securities Principal Sole 'Proprietor Manager Office of Supv. Jurisdiction Financial and Operations Principal Direct Participation Programs Investment Co. & Variable Contracts Products New York Stock Exchange D I -- -1 C . . • I VA WA o WV tai 0 WY n PR 0 _ ❑ O O _ O 12 ❑ Underwriter Principal 0 Other (Specify) MIM mmoofR —••• • ...•••••••=, 12. To the best of my Knowledge and belief the applicant at the time of approval will be familiar with the staltate(s), cOnstituirords) and clef of the agency. jurisdiction or organization with which this application Is being tiled. and the rules governing regi SSSSS d persons, and will be Italy qualified ter the sedition for which application is being made herein. I agree that notwithstanding the soproval of such agency. jurisdiction or oigannation.•villich hereby s ftersesred. I will not employ the applicant in the capacity stated herein without first receiving the approval Or any authority which may be required by aw. This brrn has communicated with all the previous employers of trie applicant during Ina past three yoga. as set lurth below: EMPLOYER NAhle PERSON *AND— CONTACTED POSITION. OF-- *— EMPLOYEEr FROM/TO — CONTACTED' TIT -PHONE. LETTER OR INTERVIEW addition, I have taken appropriate steps to verify the statements contained in this application a iplicant. Date Print Name of App opriate Signatory (See Instruction 12) one into t thiiaturo of AlsisroliialairiCari 1 reputation ( the DO NOT WRITE IN THIS SPACE Clearance Gain Token: Date. Giotto. patient' -••• — /the, Tie:nine Required am Required, . . sm Grade OK Date Approved: . . Final . EFTA01700838 P.+ec 2 of 4 PERSONAL HISTORY I a lma 7 iti z •-• 1 i 18. juc' t_.. .1 ego< 19. Citizen Yes fa'''.... ;.. itrialliiili-- Place of Okth ;: ttil L, rililfliat s — — — Aiiircif None. indkiti If no. state country of Si 2. tar Ilanrue IJM. IF MORE SPACE IS NEEDED FOR ANY OF THE FOLLOWING QUESTIONS. 25. EDUCATION ' mast Na — i,isi . 1.4c. C 31( IL, LI orytt7 • Mr. Kieft — Wader, TirKPlerbIeT -1/( /11 //2Z `f 16. 4-/ VC' NLZ r . Y: City state ,_ 'ducationat Institutions Attended: HIGH SCHOOL d ipecify Highest Year Completed: 9 0 100 11 12 NAMriFitrAbbacss inStetUTIONI (STREET. CITY. STATE. ZIP CODE) L of UST No 0 ATTACH A SEPARATE SHEET COLLEGE 10 20 3-6 40 mom" - MO. COURSE YR. MO. YR. f_pea :OW tit 6(I > cis t"ale •••• <-.1Alt A vat, V•-• ea. -7 eur .1 7vy.J. (,.Gs." ry GRADUATE SCHOOL ti in 2d1 30 4 0 DAY OR DID YOU DEGREE EVENING GRADUATE eVC) ¢t-1 any 26. EMPLOYMENT HISTORY The following is a complete, consecutive statement of my business history for the past ten years starting with .my current position. (All time must be accounted for including self•emptoyment. unemployment, part•time securities, commodities, insurance and real estate industries or related positions and all military service.) ' — itAine of EmPtordri—Aigrcompan'ozoass (STREET. CITY. STATE. ZIP CODE) Mom MO. YR. ( in TO — ' MO. YR. _Lai_ I —06Sitiole — _tfaur"-54° tTsc--0.T. i nesiorFori LEAVING tortoR PART.IIME 7 Tat-' 4.1_45;1 Ct ti Pst A, ' . I:L. i ____ Fn., lia i i i --I.-- J - 27. RESIDENTIAL HISTORY (Give all home addresses starting with present address.for the past 10 years.) ADDRESS (Street. City. Sate. Zip Cede) ••••••• • i MO. YR. MO. YR. T FROM fo . 31,c:..'- ____c_-_7:r. i;,...ev: y_ Ae- ii____ / c.-v 3 ___• ' . __.__ __ __L__fl: ._..-174" ,,,VE Y1c1..- - 54.-Iter.tte..fAl-1/... actAr.-"±: 47 _/0-1:Y-- -..—. . -- . —.......i.......1b. 4 _._.?! Z. ?:. ..?.?•"/ t •••••17: 114 1. r t i e 41: : t I "( i' l...... / Yr. ..? S•••••• • /12..,. ..t.-- • --..-- .• ••••••••=oMM•• M .••••• • oid. ••••••16o 4 . • ok. __.22-2.. - •••• • aims •••••• •••• . 28. The following is a complete list of all brokers. dealers or banks with which I am carrying accounts in' securities or commodities or with which I have carried such during the past ten years. (If "none", so state.) ''. • . . • ••=•••• ••• + 40+.4.+••••• 4 •• NAME AND ADDRESS Of FIRM OR BANK ACCOUNT NUMBER MAG —CASH N R FROM/TO CLOSED OPEN OR I .... b. ••• • • s. m 0 0. I ••• on •• m.. ••• ••. 4+ •• .4 +6 4+ + m•bm.s. .•.•....•••••.• MONA., • DM *se mr ig.• to...mammon •••••••• • .• ••••• .. •• • • •••••.•m.. • • • • ... • • .• • . .• • • •••••• • ••••• .• .• •.. • • • •• • .• • ••••• • tr i c' --__ — _.. -4 - -_- • • " • • — - • " • • '• -- • • •-- -- — authorize and request any and all of my former employers and any other person to furn sh tc the agency, jurisdiction or organization with which this application is being filed, or any agent acting on Its behalf, any Information they may have concerning my credit worthiness. character, ability, business activities, educational background, general reputation, together with, in the case of former employers, a history of my employment by them and the reasons for the termination thereof. Moreover. I hereby release each such employer and each such other person from any and all liability of whatever nature by reason of furnishing such information to the agency. jurisdiction or organization or any agent acting on its behalf. Further, I recognize that I may be the subjett of an investigative consumer report ordered by the agency, jurisdiction, or Organization with which this application is being filed, and that I have the right to request complete and accurate disclosure by such agency, jurisdiction, or organization of the nature and scope of reinvestigation requested. ' ' , / r • - i. *r• r￾EFTA01700839 ,EN YEAR LIMIT DOES NOT APPLY TO QUESTIONS 30 THROUGH 54. Page 3 of 4 • .1. A. Have you• ever taken and passed a qualifying examination lot registration in any capacity with the NASD; a national securities or commodities exchange nr SECO? If yes, state below the type of examination, the approximate date taken and with what regulatory body application,was made. Yes-- No— i- 1 Type of Exam Ames ma a Dale far nry wp Bixly tion. If yes, stale below the type of examination, the approximate date and by what agency or organize￾Yes-- ./1/1 B. Have you ever been granted a waiver of qualifying examination with an agency or organization? Nom Ir~ • • Type of teem Atoregleviete Sete C. Have you ever &Ovary avai taken a qualifying examination for any jurisdiction? If yes, state below the type of examination, the approximate date taken and the name of the jurisdiction administering it. Yes Ho t type of Exam Aar. ralialsi-Osialskan rtigtaateiy /3.30y D. Hive you ever been exempted or excluded from taking a qualifying examination by any jurisdiction? If yes. state below the type of examination, the approximate date and the name of the jurisdiction issuing the exemption or exclusion. Type insane Yes-- No_ 1 ,./..mml•Er V -AaarMIZWbata stegvieirry"Wey IF THE ANSWER TO ANY OF THE FOLLOWING QUESTIONS IS YES. ATTACH COMPLETE DETAILS: 31. Have you ever been registered or licensed by any agency or jurisdiction to sell or to deal in securities ment • adviser? If yes, specify the name of the broker-dealer or investment adviser, dates registered and ..// or commodities as a principal or employee with any registered broker•dealer or to function as an invest agency or jurisdiction with which you.were registered. Yes—... No-71= 32. Are you currently engaged. in any other business either as a proprietor, partner, officer, director trustee, employee or otherwise? , Yes_ No__ 33. Do you or any member of your immediate family have any beneficial Interest in any investment 4. 1 _ part￾nership or corporation (including hedge funds, investment clubs, etc.) or any other domestic or foreign 11 accounts whose primary function is investing in securities or commodities (excluding companies regis• lead under the Investment Company Act of 1940)7 Yes— No 34. Are you now or have you ever been licensed to sell insurance? *** * -• - Yes-- No..i I I Type of Utensils) and jurisdiction(:) where licensed • / 35. Are you now or have you ever been licensed to sell real estate? ............... • • • Yes— --- il---- 1 Type of Licenstfs) and jerisdielion(s) where licensed CAA -/14 1;=---11 36. Are you currently bonded? (If yes, specify insurance company and amount.) itief, “ ,• CAA i... Yes,_ No Yes No_LZ t___ s 37. Have you ever been refused a fidelity bond? 38. Has any surety ......... company paid out any funds on your coverage or cancelled your bond? Yes No 1 ---1 39. Are you now or have you ever bean a regular or associate member of any stock exchange or commodity exchange/contract market? Yea-- No-- L 40. Have Sou ever been an officer, director, general partner, owner of ten (10) percentum or more of the voting securities, or controlling person of, or otherwise engaged in any other managerial or supervisory capacity with any broker or dealer for which a trustee has been appointed pursuant to the provisions of the Securities Investor Protection Act of 1970, or that has been liquidated under any other circum￾stances? a 41. To your knowledge, are you .now or have you ever been the subject of any investigation or proceeding by any securities. commodities or insurance agency, jurisdiction or organization? . Yes.— No —;___I 42. Are you now or have you ever been a defendant in any litigation alleging the violation of any agree￾ment with or provision of a securities or commodities industry self•regulatory organization's constitu• If tan, by-laws or rules, or any securities, commodities or insurance law or regulation? .... ... .. ... ...... . Yes__.... No,. 43. Are you now or have you ever been a director, controlling stockholder, partner, officer, sole proprietor. or associated person with a broker-dealer or insurer which during the time of such association was suspended, expelled, or had its registration denied or revoked by any agency, jurisdiction or organiza￾tion? . . •• • • Yes 44. Are ybu now or have you ever been subject to an order of the NASD, a securities or commodities exchange, an agency or any jurisdiction which revokes, suspends or denies membership or registra￾tion? ... ....... ......... ...... Yes.-- No 45. Has any permanent or temporary Injunction ever been entered against you or any brokendealer, insurer, investment adviser or commodities firm with which you were associated in any capacity et the time such injunction was entered' . • • .• .. . • d • •••• . 46. Ace you now or have you ever been (whether or not publicly disclosed) suspended, expelled, lined. Wild. censured or otherwise disciplined, or found to have violated any securities or commodities liw or rule by any securities or commodities agency, jurisdiction or organization; or been refused member￾ship therein or withdrawn your application for such membership; Or been refused a license to sell Insurance or had one suspended or revoked for cause by any jurisdiction or agency? • Yes._— NO . 47. Are you now or have you ever been named as an aider, abettor, or a co-conspirator in, or cause of, any action mentioned in questions 40, 41. 42. 43, 44, 45 and 46. taken with respect to a brokebrina... or insurer? •, f. ,/ _.... . , . a Yes— No—I— I - 1 0 I Yes___ No r------1 EFTA01700840 Are you now or have you ever been suspended, expelled, 4 of 4 fined, barred, censured or othe.rwise. . .. plined by an employer disci- in the securities, commodities or inswance•industry? 49. Have you ever had Yes_-_ No._ ship denied, suspended or revoked a license, permit, certificate, registration or member￾50. In your required previous to business engage in securities. commodities, insurance or other business or profession? Yes No￾connections or employment, have you ever been: a. a subject of a major complaint or legal proceeding? Or, Yes_ No._ b. alleged discharged or requested .to resign by an employer because 'of dishonest or unethical acts to have been committed by you? 51. Have you or any Yes_ No failed in business, firm, made'a corporation or association of which you have been a principal or officer ever any bankruptcy acts? compromise with creditors or ever .filed or been declared bankrupt under 52. Have you ever been: a. Arrested or indicted for any felony or misdemeanor involving the purchase, sale, or delivery • of any securily, or arising out of the conduct of the business of a broker, dealer, fiduciary. investment company, investment adviser• underwriter, bank, trust companY, pany or insurance com￾violence against other financial institution, or involving any crime in which violence or threats of of any person, dishonesty. the wrongful taking of any property, or any manner fraud was a factor, 'or involving conspiracy to commit any of the foregoing? or, b. Convicted of, or pleaded nolo contendere to, any felony or any misdemeanor, except minor traffic offenses? 53. were Have associated you ever been with a principal or employee of any firm, corporation or association which, while you meanor? it. was convicted of,. or pleaded nofo contendere to, any felony or misde￾Yes_ No I Yes_ No Yes— Yes_ No_ L 54. Are you currently the subject of an unsatisfied judgement or lien? Yes No THE FOLLOWING SHOULD BE READ VERY CAREFULLY BY THE APPLICANT 1. I hereby certify that I have read and understand the foregoing statements and that my responses are true and complete to the best of my knowledge. 2. To induce the agency, jurisdiction or organization with or to which I am filing or submitting this application to receive and consider It: A. I agree that any decision of the agency, jurisdiction or organization as to the results of any examination(s) that I may be required to pass will' be accepted by me as final; B. (1) I understand that I am not authorized to sell, or offer for sale, any securities until I have received my license or registra- . • tion certificate or an official notification of its effective date; (2) I understand that I am to sell only those securities authorized by my employer. C. • of I agree to abide by the Statute(s), Constitution(s), Rules and Ely-Laws as any of the foregoing are amended from time to time D. If I the shall.violate agency, jurisdiction or organization with or to which I am filing or submitting this application; or be charged with the violation or possible violation of any Statute. Rule, Constitution or Bylaw of any agency, jurisdiction or organization with or to which I am filing or submitting this application. I agree to be subject to and abide 3. Further, by the and penalties of the Statute(s). Constitution(s), Rules and By-Laws.of such agency, jurisdiction or organization. in consideration of the securities or commodities self-regulatory organization receiving and considering this apPlica• !ion, 1submit myself to the jurisdiction of such organization(s). 4. I, ..., /ccii.e. V—-_ --- ennt•PO) fitabSeJ the undersigned applicant do solemnly swear that which the answers to the above questions and the statements herein made are true, and that I have not herein made any statement. 5. I. the undersigned, is at this time for and in the light of the circumstances under which it is made, false or misleading in any material respect. the purpose of complying with the laws of the State of TUe-,-) -1 t:WIC.,____ relating to either the registration or sale of securities or commodities. hereby irrevocably appoint the administrator, or such other person desig- nated by law, and the successors in such office, my attorney in said State upon whom may be served any notice, process or pleading in ally action or proceeding against me arising out of or in connection with the offer or sale of securities or commodities. or out of the violation or alleged violation of the aforesaid laws of said State; and I do hereby consent that any such action or proceeding against me may be commenced in any court of competent jurisdiction and proper venue within said State by service of process upon said appointee with the same effect as if I was a resident in said State and had lawfully been served with process in said tate I It is requested that a copy of an oti e, process plead' e ed hereunder be mailed to me at my residence. Sign; Dale Slenet re of Wanes* :Maness must be either a partner of the firm, officer of the corporation, branch office manager, or authorized employee. Please ndicate which), (NOTARIZATION OF APPLICANT'S SIGNATURE) ;TATE OF :ounty t ss: EFTA01700841 7DEETP,CI NAME BORN: 1/20/50 EPSTEIN, JEFFREY E. 1/20/53 t!ATE OF REPORT; 1365-15-8891 4/28/76) Note:Date of birth-developed.was:-1/20/53;appliCation listed 1/20/50. EDUCATION COOPER UNION NEW YORK, NEW YORK Appl. Dates: 9/66 to 6/70 Reported: 9/69 to 1/72 Herbert majored in Liebeskind, Physics Dean of Admissions & Records said applicant 1/20/53 and his residence and did not graduate. His birthdate was Brooklyn, New York. while a student was 3742 Maple Avenue, NEW YORK UNIVERSITY NEW YORK, NEW YORK Appl. Dates: 9/70 to 6/72 Reported: 9/71 to 2/74 and Mavis did Lewis, not Recorder, said applicant majored in Mathematics residence while graduate. a His date of birth was 1/20/53, and his student was 3814 Seagate Ave., Brooklyn, N.Y. during effrey the E. 1973-74 Epstein issued an invalid check to New York University academic year. (Note credit, suit by N.Y.U.) EMPLOYMENT UNIVERSITY OF CALIFORNIA BERKELEY, CALIFORNIA Appl. Dates: 1973 to 1974 Reported: See Below available Mrs. Julia computer Sills, Personnel & Payroll records, checked all identifiable tapes from 1973 to current and nothing Accounting records with the applicant was developed. Payroll￾no record of U.C. were also thoroughly checked and there is E. Epstein during Berkeley issuing a payroll check to a Jeffrey 1973, 1974 or 1975. Mrs. checked Helen current La Sota, Business Officer, Mathematics Department, and found nothing and foiller employee records of this department identifiable with applicant. Mr. application. Epstein indicated University that his supervisor was a Dr. Wolf on his Wolf, is a Professor records list two Wolfs, one a Joseph reach him at home proved Emeritus (retired) and many attempts to a sabbatical in Israel. negative. Joseph Wolf, Ph.D. is on Dinh Department Wolf's mentioned were connected with the Mathematics and there are no other Wolf's employed by U.C. BERKELEY. lg he information contained in this report is for the SOLE AND CONFIDENTIAL [Ica r. _ • EFTA01700842 EPSTEIN, JEFFREY E. KLYN, NEW YORK Appl. Dates: 1972 to 1973 Reported: 1972 to 1973 was contacted; learnedmis spea t rough a closed window. When she called ing inquiries ffrey Epstein she , applicant's second floor o , who lives. on the meeting, a brief this private house. As this was an inadvertent conversation followed. It was .learned from were in business forlimse that he and , Jeffrey, paintings. (On his ves, making and se screen applicationsbject self employment described his as tutoring.) painter and Jeffrey was the designer and about two years, handled sales. They were in business folded, Jeffrey from 1972 to 1973. After the business at the University Epstein went to California where he lectured of California. City, Recently, where Jeffrey he taught. Epstein was at the Dalton School, New York work for Bear, Stearns In mid-March 1976 subject went to & Co. bored Note: and Conversation restless. was terminated as was becoming There was an as he seemed and to resent this inquiry. hesitant about o releasing information about applicant residence (See report.) JEFF NIER ROOFING 4050 ATLANTIC AVENUE BROOKLYN, NEW YORK ME la Appl. Dates: 1971 to 1973 Reported: 1975 , stated substantially the following: I associate, have known Jeffrey E. Epstein for ten years as a friend, for six months and employee. Jeffrey worked for me as a foreman he worked in the first part of 1975. Weather permitting, on a steady basis, supervising and was earning two or three workers, know the reason he $62 per day. He did a good job for me and I don't left the job. is Jeffrey the athletic Epstein does not use alcohol or drugs, in fact he riding, punch type, likes to work out by swimming, bike e lo m nt bag, etc. I am not familiar with his past record t I do know that he worked with his nis brother , in the silk screen painting business; is an artist. -2- EFTA01700843 • ;a EPSTEIN, JEFFREY E. I have never known Jeff to be in any type of trouble with Law enforcement awhile, I do not agencies. know He was out of the state for where he went or what he was doing. family Jeff is at able his years old; he lives with his .; his family has lived in this community for many years, I am not familiar with their exact know address. nothing I have adverse nothing about but admiration for Epstein and I him. Yes, I recommend him for a position of trust. Note: Source d that was applicant very hesitant did in answering questions, but shied away from questions work for him, six months in 1975. about education and previous employers of the applicant. RESIDENCE 11!klyn, New York with This white is a large aluminum two siding. family house, it is in good condition valued at approximately It is about 40 years old and residential community. $60,000. It is located in a !!!known the Epstein IIIIII family and resident at IIII IIIIIII II., for more than twenty years; she reluctantly gave the following information about applicant. IIII Milli described Jeffrey Epstein as a bright, well behaved young man of good character. She said that until March, 1976 a he Wall taught Street at:.the firm. Daltbn For School•and is now employed by aboutaa year and a half subject taught at a university in California. Source that they described have a good applicant's family as honest and sincere, reputation. RECORDS may Usually be identifiable reliable credit with sources report the following which subject in NEW YORK CITY: of There IIIII is a r rd in file on Jeffrey E. Epstein file re ects the Brooklyn, N.Y. SS I verified. ollowing: -3- EFTA01700844 EPSTEIN, JEFFREY E. SUIT suit On January for $500 28, 1975, New York University filed Docket # 13994 in New York County Civil Court, We will supplement when we get the disposition. or No bankruptcies record of judgments, tax liens, wage assignments, identifiable with subject. Records of the KINGS COUNTY CRIMINAL COURT were checked for felonies, misdemeanors and youthful offender cases and no record was found identifiable with subject. MISCELLANEOUS .A confidential identifiable with source the provided the, following information applicant: Brooklyn, born 1/20/53, engaged to !Ili! born On or about April 1, 1976 Jeffrey E. Epstei applied for rental of apartment 15 at 17 . St., ew York City. Monthly rental is $435 and employment is shown as: "two years to present, Dalton Schools, New York City, teacher and administrator. Occupants of ■ to be Mr. Epstein, and III - -4- EFTA01700845 e ..mip , ...... w EFTA01700846 952-5262 wgust 10, 1976 New York University Graduate School of Arts and Sciences Recording Office 6 Washington Square North, Room 3 New Yor}, New:York 10003 Attn; Mrs. Mavis Lewis Dear Mrs. Lewis, Thank you for your response to our inquiry (copy attached). We would now like to request a copy of Mr. gpstein's transcript. Please bill us for whatever the transcript fee will be. Thank you very much for your help. Sincerely, Karen Messemer Personnel nt EFTA01700847 1 Jeffrey E. Epstein March 16, 1976 Karen Messemer, Personnel Previous employment verifications Since your employment from 1972 - 1973 was self-emoloymentetwe need some sort of income tax form or ¶9-2 form for that period of time.. Thank you. EFTA01700848 Jeffrey E. Epstein Sear, Stearns & Co. 55 Water Street New York, N. Y, 10041 (21.21 952-5847 March 12, 1981 70 THE EXECUTIVE 03MMILLE..b: With this letter and accompanying statement, Bear, I hereby resign as a Limited Partner of Stearns & Co., effective immediately. n Sincerely, ./ EFTA01700849 Bear, Steams & Co. 55 Water Street New York, N.Y. 10041 1212) 952.5000 WRITER'S DIRECT DIAL NUMBER Mr. Bear tearns Co. 55 Water Street New York, NY 10041 Dear Jeffrey: B&W STEARNS March 12, 1981 The Executive Committee has fully reviewed the matter referred to herein and after extensive deliberation has decided the following: 1. You have advised us that you made a loan to a customer for the purpose of his buying securities. This constitutes a violation of Regulation T. Taking into consideration your voluntary disclosure and the fact that it was a single in￾stance, we find you $2,500.00. 2. For failing to comply with the spirit of the NASD Regulations with respect to new issue distribution, we suspend you from active employment at Bear Stearns for a period of 60 days, effective immediately. Yours very truly, EXECUTIVE COMMITTEE BEAR, STEARNS S CO. I New York/Atlanta/Boston/Chicago •• Dallas/los Angeles/San Frant-km EFTA01700850 Bear, Steams & Co. 55 Water Street New York, N.Y. 10041 (212) 952-5000 WRITER'S DIRECT' DIM. NUMBER TO ALL NEW EMPLOYEES: BEAR STERNS April 8, 1971 Under public law #91-508, "Fair Credit Reporting Act", we are now required to inform you at the time of your hiring through that we our intend own to inquiries, conduct, through a service agency and an investigation character, reputation, as to your litigations, previous mode of living, educational experience, employments, etc... and any publ ic records Upon written request, you, as an employee, now have the right to know the name of the investigative employed by Bear, Stearns service report should one be 6 Co. and the scope of their used in your particular case. Signature Date New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Amsterdam/Geneva/Paris EFTA01700851 STOCK EXCHANGE FIRM EMPLOYEE INFORMATION RECORD ITo be completed upon acceptance of employment) Please answer all questions listed below as completely and accurately as possible. Information disclosed on this form will be held in strictest confidence and will be preserved for three years after Exchange termination Commission of employment in accordance with Rules 17a-3 and 17a-4 of the Securities and and Rule 345.19 of the New York Stock Exchange. 1. et g-eci , • as,U4411 at[ Name Plfirst Name Middle Name 2. (a) Have you ever been bonded? Yes (b) Have you ever been refused a bond by a surety company? Yes (c) Has such a bond ever been denied or revoked? Yes (d) Has any surety company paid out any funds on your coverage? Yes If answer to either (b), (c) or (d) is 'yes,' attach details including name of surety company. 3. Have you ever been a member of any stock exchange, commodity exchange, or registered association of security or commodity brokers, dealers, investment bankers or investment advisors? If 'yes,' give name (s) and dates. 4. (a) Have you ever been suspended, expelled or otherwise disciplined by any membership regulatory body or by any such exchange or association; or ever been denied therein; or ever withdrawn your application for such membership? Yes (b) Have you ever been associated with any organization, as a director, controlling stockholder, partner, officer, employee or other representative of a broker-dealer which has been, or a principal of which has been, suspended or membership expelled from any such exchange or registered association, or was denied therein, or withdrew an application for membership; or whose registration as a broker-dealer with the S E C or any State or agency has been denied, suspended or revoked? Yes (c) Has any permanent or temporary injunction ever been entered against you? (d) Has any corporation, firm, or association, with which you were associated, been enjoined during the period of your association? Yes (e) If answer to question 4 (a), (b), (c) or (d) is 'yes; attach details including any finding that you were a cause of any disciplinary action or had violated any law. 5. In your previous business connections or employment in any capacity, have transactions under your attention ever been the subject of complaint or legal proceedings? Yes If 'yes,' give names and details. 6. Have you ever been arrested, summoned, arraigned, indicted or convicted of a felony of any kind, or of a misdemeanor except minor traffic offenses? Yes If 'yes,' attach details. 7. Have you ever been known personally by any other name, used an alias, or have you ever conducted business or carried brokerage or bank accounts in any other name than that shown above? If 'yes,' give details and dates of use. Yes CNIi)) Yes No I hereby certify that I have read and understand the foregoing statements and that each of my prospective responses thereto employer, is true and complete. I authorize my prior employers to make available to any or to any Federal, State or Municipal agency, any information it may have concerning by me, and I hereby release my employers fr5n any and all liability of whatsoever nature reason of f uL7rnishing such information. (Date) 4cl e. 11.1 )"( ,— ' 1 .t, Signets of Employee 110 (12/75) EFTA01700852 EMPLOYEE SECURITIES TRANSACTIONS It is the policy of this firm, in compliance with the New York Stock Exchange and Federal Regulations, that no employee may maintain an account with another firm, effect securities transactions through a bank or obtain a loan from a bank collateralized by securities without the permission of the firm. Such permission should be requested in writing directed to the Compliance Department. This restriction applies to the employee, his spouse and minor children and any account in which the employee places orders. PLEASE ATTEST TO THE FOLLOWING; "I have no brokerage accounts other than at Bear, Stearns & Co. and I have no bank loans collateralized by securities except: (if none, state NONE, indicate accounts of your spouse, minor children and any account in which you place orders)." jj a kJ(' itim(et- 6 (DATE) EFTA01700853 EXECUTIVE HEALTH EXAMINERS 777 THIRD AVENUE • NEW YORK CITY 10017 • 1212) 421-3131 22(./a•pr 19_ 77, We have examined e above-named applicant for employment. We find him ( her ( ): (/...11SUitable for employment. ( ) Suitable for limited employment. Limitations: Remarks: 1/119. , R . N . MAHU - 975-27 EFTA01700854 Memo BEAR STEARNS To John Duggan Date June 3, 1977 CC From Lewis Rabinowitz Subject Jeff Epstein Please rt 0 0' se Jeff Epstein s annual salary to $24, 000 per year. EFTA01700855 Memo BEAR SIDIRNS To ‘8‘ve Lakoff Seymour Dashow From Elliot K. Wolk Subject Date August 4, 1977 . CC 11 expenses including salary for New York Retail and delete from ent. make This sure should have been done some time ago. Please. and is included this is done retroactively to May 1, 197,7 ' in the July. figures. EFTA01700856 Memo BEAR STEARNS 1377FeM :itiplcilepattment From Jamez E. Cayne Subject Date CC June 13, 1979 ES6eati.ve today, and netuactive to May L221LgegAL___-------ije inekecae the 4ataity o Je46Aey. Epstein to $42,000./yeah 4e e r- -? 6 3 (1/77) EFTA01700857 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 1214 952-5000 WRITER'S DIRECT DIAL NUMBER Nier Rocifing 4050 Atlantic Avenue, JEFFREY E. EPSTEIN BEAR STEARNS March 18, 1976 Brooklyn, New York 11224 In In (Applicant's Name) has applied (Social Security No.) We have obtained to us for employment. As a previous employer, we would appreciate your comments. a signed authorization and indemnification agreement conduct reference checks, from the applicant to a copy of which is enclosed. 212/952.5263. Should you prefer to respond by telephone, please call our reference section at Dates of Employment: Claimed from 1971 to 1973 Verified from Attendance Punctuality Work Performance Overall Rating to Aboveorge Average Below Average EZ1 account? To the 0 best Yes of yo knowledge, did this applicant have a Securities brokerage No Would you recommend the applicant securities? EA for a position of trust involving negotiable Yes CI No If your present policy permitted, would you rehire this applicant? Yes ED No successful Is there anything we should know about this applicant which would help make our relationship a one? e -Z4 GENERAL REMARKS: Name: Signature: Fenn 267 Title: / Date: j77,/7 7 6" New York/Atlanta/Boston/Chicago Dallas/los Angeles/San Francisco Amsterdam/Cenpv,/pliAi. EFTA01700858