BEAR, STEARNS & CO.

BEAR, STEARNS & CO. PAYROLLCHANGE , t.c.:-- PERSONNEL DEPARTMENT AUTHORIZATION FROM: Ntr.cgRIL SALES Effective Date of Change August 14,1978 Today's Date / August 21,1978 Employee Name (Last-Middle-First) EPSTE/N Jeffrey ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1,6 Additions To Staff 3,6 1) Quit II Resigned 1,6 00 Salary 1,2,3,6 AMOUNT S ( I Replacement 3,4,6 (1 Discharged 1.6 1) Title or Position 1.2,3.6 Repayment Schedule II Rehire 2,3,6 I/ Released 1,6 II " orDep Br artment anch 1,2.3.6 ( I Per Pay Dsy With ()Reinstate From Leave 2,3.6 II Laid Off 1,6 Shift (Day/Night) 1.2.3.6 Balance From Any Bonus Full ()Permanent Time II Part (I Tempora II ry Time Re it to Schoolturned " II Deceased I) Retired 126 , , 1,2,6( ) Total Repayment From Bonus ( I Other I 'Summer Leave of Absence (I Military File Number 0 Maternity II Exit Interview (I Attached 1 PRESENT STATUS 2 SALARY HISTORY Grade 32E fide Associate [ Salary $32,000/Yr 0/T 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, OCT Status Name of Employee Replaced Date separated Department or Branch N.Y.Retail Sales Dept. Code No. V) "Y.Title 5 PART TIME EMPLOYMENT Salary Grade Rate Hours Needed Each Day S (Hour From AM To AM PM PM_ 6 REASON TO BE EXPLAINED IN ALL CASES Per: J.Cayne 41.. -•) fi4 . _._.....___.._ Employee ii.;"----.Department Head or Branch Manager Administrative Partner Director of Personnel" J.' .../ , /12- :;-.. ......Y7 / 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 i fiLW% Annual Salary 762 Clock Number 330 i407/1/4' a. 1 354 Rev. 10/75 (8/76) PERSONNEL COPY EFTA00187050 BEAR, STEARNS & CO. PAYROLL CHANGE AUTHORIZATION PERSONNEL DEPARTMENT /1 -r'. ,n f'; Dept. or Branch FROM: CUSTOMERS ROOM Effective Date of Change April 24,1978 Today s Date June 9,1978 Employee Name (La t•MiddleFirstl EPSTEIN Jeffrey ACCESSIONS r Complete Items —SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1,6 „ Additions " To Staff 3,6 (1 Quit 1I Resianed 1,6 (}[Salary 1,2,3,6 AMOUNT S 1i Replacement 3,4,6 I1 Discharged 1,6 11 Title or Position 1.2,3,6 Repayment Schedule 1 1 Per Pay Day With (I Rehire 2,3,6 II Released 1,6 Department ,i " or Branch 1,2,3,6 0 FRreo;nmstateve2,3,6 II Laid Off 1,6 Shift IDay/Night) 1.2,3.6 Balance From Any Bonus 11 Total Repayment From Bonus I / Other Full 0 I/ Permanent Time Part I/ Temporary 71me°1,2,6 f) Returned " to School II Deceased I) Retired 126 ,, Mummer Leave of Absence (I Military D Maternity 11 Exit Interview (1 Attached File Number 1 PRESENT STATUS I SALARY HISTORY Grade 24E Title Associate r Salary $21,OOO/Y.7.--- Cl/T Status Date of Employment 3/15/76 e Starting Salary $225.00 Departmen or Branch Customers Room Dept. Code No. I upg .ev 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.Aaram/1" On Status Name of Employee Replaced Date Separated Oepartmen or Branch N.Y.Retail Dept. Code No., 3)f 3 3 ...t. (11-S, Title 5 PART TIME EMPLOYMENT Salary Grade Rate S /Hour Hours Needed Each Day From AM To AM PM PM_ I 6 REASON TO BE EXPLAINED IN ALL CASES .11- \ Retro to 4/24/78 , . .... ( ' Employee Department Head or Branch Mannar Administratitw Partner Director of Personnel ..../7 .,-..2,/ 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 P.17,77 4 A Annual Salary 762 Clock Number 330 //2:0://7/41- 354 Rev. 10/75 (8/76) PERSONNEL COPY EFTA00187051 BEAR, STEARNS & CO. PAYROLL CHANGE PERSONNEL DEPARTMENT ;/:.6.:;;.- AUTHORIZATION Dept. or Branch FROM: N.Y.RETAIL SALES Effective Date of Change 3/12/81 Today's Date 3/19/81 Employee Name (La t-Middle-Firstl EPSTEIN Jeffrey ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1,6 ,, Additions " To Stiff 3.6 ...0 Quituit EL Resioned 1,6 II Salary . 1,2,3.6 AMOUNT S I I Replacement 3,4,6 I) Discharged 1.6 (I Title or Position 1,2,3.6 Repayment Schedule I) Rehire 2,3,6 II Released 1,6 0 Department or Branch 1.2,3,6 I 1 Per Pay Day With i i Reinstate I From Leave 2,3,6 0 Laid Off 1,6 Shift (Day/Night) 1,2,3.6 Balance From Any Bonus Full I) Permanent rime(l II Temporary Part Time II0 Returned to School II Deceased (I Retired 1,2,6 1,2,6I I Total Repayment From Bonus I Other I ISummer Leave of Absence I) Military File Number (I Maternity (I Exit Interview I1 Attached 1 PRESENT STATUS 2 SALARY HISTORY Grade 42E Title LtO.Part: Associate Salary $42,000/Yr. O/T Status Data of Employment 3/15/76 Starting Salary $225.00 Departmen or Branch N.Y.Ret;ail Sales Dept. Code No. Date Last Increase 4/30/79 Amount Last Increase S5200/Yr. 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade Title Salary orr Status Name of Employee Replaced Date Separated Department or Branch Dept. Code No. Title 5 PART TIME EMPLOYMENT Salary Grade Rate Hours Needed Each Day S /Hour From AM To AM PM PM 6 REASON TO BE EXPLAINED IN ALL CASES Resigned Employee Department Head or Branch Manager Administrative Partner Director of Personnel 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 41/:?%.M Annual Salary 762 Clock Number 330 / /42/, 354 Rev. 10/75 (8/76) PERSONNEL COPY EFTA00187052 BEAR,STENRUS&CO,INC. PAYROLL CHANGE AUTHORIZATION ,._FROM; - , • PERSONNEL DEPARTMENT Dept. or Branch FLOOR DEPT. (AMEX) Effective Date of Change Margh 15, 1976 Today's Date March 16, 1976 Employee Name (la t-Middit•Firsti EPSTEIN Jeffrey ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete 'terns LOAN Complete Items 1.6 0 lioddttaiounsx3,6 I) Quit (I Resioned 1,6 () Salary 1,2,3,6 AMOUNT S (I Replacement 3,4,6 II Discharged 1,6 0 Title or Position 1,2,3,8 Repayment Schedule I ) Per Pay Day With II Rehire 2,3,6 I) Released 1,6 -..i D i i or Branchepartment 1,2,3,6 II Reinstate " From Leave 2,3,6 (I Laid Off 1,6 Shift (13aNNIght) 1.2,3,8 • Silence From Any Bonus I I Total Repayment From Bonus I ) Other Full (I Permanent Time (I Part I) Temporary II TimeReturned II to School I) Deceased Il Retired 1,2,8 1,2,6 °Summer Leave II Military of Absence Interview Fite Number ?,' \ A 11 Meternity I) Exit I) Attached r 1 PRESENT STATUS 2 SALARY HISTORY Grade Title Salary Oft Status Date of Employment Starting Salary Department or Branch 1 Dept. Code No. Date Last Increase Amount Last (wawa 3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade Title Trainee Salary $225.00 0/T Status Name of Employee Replaced Date Separated Depattmen or Stench Floor Dept. - Dept. Code Alig,. I70Title 5 PART TIME EMPLOYMENT Salary Grade Rate S /Hour Hours Needed Each Day From AM To Plil AM Pm 6 REASON TO BE EXPLAINED IN ALL CASES L 5 Employee Department Head or Branch Manager Administrative Partner Director of Peraonnel 4//k. ADP CODES CATEGORY 0 1 2 3 4 5 8 7 8 -.. 9 ...1 1 f (fictive One 401 L"". a)or Medical 402 t..." ue Cross 403 t../ rpe Employee 404 rth Date 392 f17/a(0 / , .;l O ..ire a mos' Salary 762 / / 7 0 0 0 0 ,ce Number 330 Yg& 2,77./,- V. 4? v a it a rm 354 Rev. 10/76 PERSONNEL COPY EFTA00187053 BEAR, STEARNS & CO., PAYROLLCHANGE AUTHORIZATION4. PERSONNEL DEPARTMENT Dept. or Branch TO PROW FLOOR DEPT. (AMEX) Effective Date of Change2": 8/16/76 Today's Date August 19, 1976 Employee Name ILast•Middle-First I N.Y.OPT EPSTEIN Jeffrey ON3 ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1'6 I i TAcdttaionns 3,6 II Quit 0 Resiened 1.6 t.t Sala ry 1,2,3,6 AMOUNT S ()Replacement 3,4,6 II Discharged 1,6 R Title or Position I.2,3,6 Repayment Schedule I I Per Pay Day With Rehire 2,3,6 II Released 1,6 rt II IX oprepBar Lir hen t1,2,3,6 IIMMTeeave 2,3,6 II Laid Off 1,6 Shift IDay/Night/ 1.2.3,6 Balance From Any Bonus I I Total Repayment From Bonus I Other II Permanent TimeFuIl ii 11 Temporary Part Time II " Returned to SchoolI II Deceased II Retired 1.2.6 1,2,6 I 'Summer Leave I/ Military of Absence Interview File Number II Maternity II Exit II Attached 1 PRESENT STATUS 2 SALARY HISTORY Grade Title Trainee Salary 0/7 Status $225.00 Date of Employment . 3/15/76 Starting Salary $225.00 Department or Branch Floor Dept. Dept. Code No.i/ K r°Date Last Increase Amount Last Increase 3 NEW EMPLOYEE AND STATUS CHANGE FOR REPLACEMENT ONLY Grade Title Associate Salary $300.00/Wk. OTT Status Off Name of Employee Replaced Date Separated Oepartmen or Branch N.Y.Options Dept. Code Nose?.Title 5 PART TIME EMPLOYMENT Salary Grade Rate S /Hour Hours Needed Each Day From PMTo AM PM 6 REASON TO BE EXPLAINED IN ALL CASES Transferred wlincrease OFF THE CLOCK Per: M.Tennenbaum Employee Department Head or Branch Manager Administrative Partner Director of Personnel') . / if • 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 'SM.,/ 4 Annual Salary 762 Clock Number 330 7,7,..//,/ 74, a , Form 354 Rev. 10/75 PERSONNEL COPY EFTA00187054 BEAR, STEARNS & CO. PAYROLL CHANGE AUTHORIZATION ........r,cit..' . 1 PERSONNEL DEPARTMENT FROM: NEWNVAAVETAIL E8evelgtle Sri 1979 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 , I Additions " To Staff 36,li Quit II Pinioned 1,6 II Salary 1,2,3,6 AMOUNTS 20,000.00 (I Replacement 3,4,6 (I Discharged 1,6 (I Title or Position 1,2,3,6 Repayment Schedule I I Per Pay Day With (I Rehire 2,3,6 II Released 1,6 Ii Department " or Branch 1.2,3.6 liFtMilaeave F' 2.3,6 I) Laid Off 1,6 Shift (Day/Night) 1,2,3.6 Balance From Any Bonus IC Total Repayment From Bonus May 80 1 1 Other Full [I Permanent il Time II Temporary Part " Time " "Returned to School 0 Deceased (I Retired 1,2,6 1,2,6 ()Summar Leave of Absence (1 Military (1 Maternity () Exit Interview (I Attached File Number 1 PRESENT STATUS 2 SALARY HISTORY Grade Title Salary S42 ,000/Yr. OFT 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 OtT Status Name of Employee Replaced Date Separated Department or Branch Dept. Code No. Title 5 PART TIME EMPLOYMENT Salary Grade Rate S /Hour Hours Needed Each Day From T AM PM o AM PM 6 REASON TO BE EXPLAINED IN ALL CASES Employ fertile Administrat Department Reid or Ba.,b.Manager Director of Per ADP CODES CATEGORY 0 1 2 3 4 6 6 7 8 9 Effective Date 401 Major Medical 402 Blue Cross 403 Type Employee 404 lirth Date 392 "AV0., f,./Z annual Salary 762 Sock Number 330 07 74, (77, 7 — - - ev. (8/76 PERSONNEL COPY EFTA00187055 Employee BEAR, STEARNS & CO., PAYROLL CHANGE AUTHORIZATION PERSONNEL DEPARTMENT sit ii.. L ;C. 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-Firsil EPSTEIN Jeffrey ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1.6 „ Additions " To Staff 3,6 0, Quit Li Resioned 1,6 PCSalary 1,2,3,6 AMOUNT S ()Replacement 3,4,6 II Discharged 1,6 il Title or Position 1,2,3,6Repayment Schedule I ) Per Pay Day With II Rehire 2,3,6 II Released 1,6 0 Departmentor Branch 1,2,3,6 I1 Reinstate From Leave 2,3,6 Il Laid OH 1,6 Shift (Day/Night) 1,2,3,6 Balance From Any Bonus i 1 Total Repayment From Bonus I I Other Full ,) ()Permanent Time 4 Part 11 Temporary Il Time „ Returned " to School II Deceased 0 Retired 1,2,6 1,2,6 1 ()Summer Leave (I Military of Absence Interview File Number Il Maternity 17 Exit (I Attached 1 PRESENT STATUS 2 SALARY HISTORY Grade Title Salary i Orr Status $3OO.OO Off Date of Employment 3/15/76 Starting Salary $225.00 Departmen or Branch N.Y. Options Dept. Code No. 6. ea •O-4, 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 WT Status Name of Employee Replaced A Date Separated Departmen or Branch NY Options Dept. Code No. it, )---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 Per: L.Rabinowitz b-c)'7. RETRO TO APRIL 25, 1977 C) 44.--&1;‘) 6 96 Yal Department Head or Branch Manager Administrative Partner Director of Personnel 7 AOP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 Ylejor Medical 402 Slue Cross 403 Elio. Employee 404 firth Date 392 ri<747a knnual Salary 762 lock Number 330W./AY:// Zi 9/) orm 354 (4/76) PERSONNEL COPY EFTA00187056 Ulf I BEAR, STEARNS & CO. PAYROLL CHANGE AUTHORIZATION 04(It S ' ' • O,41;. S'S • . .. Si 0 I PERSONNEL DEPARTMENT ' Dept. or Branch 'EU FROM: N t nnerTnms CUSTOMERS R0044 Effective Date of Change June 27, 1977 • Today's Date June 24, 1977 Employee Name (La t-MiddlrFirst) EPSTEIN Jeffrey ACCESSIONS Complete Items SEPARATIONS Complete Items CHANGES Complete Items LOAN Complete Items 1,6 ii Additions To Staff 3.6 (1 Quit 11 Resigned 1.6 1) Salary 1,2,3,6 AMOUNT S (I Replacement 3.4,6 (I Discharged 1,6 (1 Title or Position 1,2.3,6 Repayment Schedule 11 Per Pay Day With ()Rehire 2,3,6 a Released 1.6 id ,C))regiartnemirt 1.2.3,6 11 Reinstate from Leave 2,3,6 D Laid Off 1,6 Shift IDay/Night) 1,2.3,6 Balance From Any Bonus 1 1 Total Repayment From Bonus 11 Other Full 11Permanent Time (1 Pa II Temporary Tlmrte II Returned 0 to School (I ased Dec (1 Retired 1,2,6 1,2,6 — 11Summer Leave of Absence 11 Military 11 Maternity Il Exit Interview (1 Attached Fite Number Af- -16 7(P L 1 PRESENT STATUS 2 SALARY HISTORY Grade 24E Title Associate Salary 824, 00/Yr. OTT Status Date of Employment 3/15/76 Starting Salary $225.00 Department or Branch NY Options Dept. Code Ng, 81417 Date Last Increase 4/25/77 Amount Last Increase $R, 400/Yr. ,3 NEW EMPLOYEE AND STATUS CHANGE 4 FOR REPLACEMENT ONLY Grade 24E Title Associate Salary $24,000/Yr 0/T Status Name of Employee Replaced Date Separated DEiartrnen or Branch Customers Room Depy-Code NO. 2)•. Oi , Title 5 PART TIME EMPLOYMENT Salary Grade Rate S /Hour Hours Needed Each Day From AM PM To AM PM 6 REASON TO RE EXPLAINED IN ALL CARES v..) 11 0 10' ,cy_711, Transferred Per: L. Rabinowitz rnployee Department Head or Branch Manager tdministrative Par Director of Pessary ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 teethe Date 401 sior Medical 402 ue Cross 403 ipe Employee 404 .th Date 392 '/ tA S.ra inual Salary 762 sck Number 330 17/ 7///47/477/ I 54 Rev. 10/75 (8/76) PERSONNEL COPY EFTA00187057 BEAR,STEARN5B(CO. PAYROLL CHANGE AUTHORIZATION PERSONNEL DEPARTMENT ‘, Dept. or Branch FROM: N.Y.RETAIL SALES Effective Date of Change April 30.1979 Today's DateJune 20,1979 Employee Name (Last-Middle-First) EPSTEIN Jeffre ACCESSIONS' Complete Items SEPARATIONS Complete Items CHANGES ComPiste Items LOAN Complete Items 1,6 ' i co Staff Additions 3.6 II Quit II Rationed 1,6 $1 Salary 1,2,3,6 AMOUNT S (J Replacement 3.4,6 II Discharged 1.6 II Title or Position 1.2,3.6 Repayment Schedule I I Per Pay Day With II Rehire 2.3.6 II Released 1,6 (I " or Branch 1,2.3.6 II Reinstate Prom leave 2.3.6 II Laid Off 1.6 Shift IDay/Nightl 1.2.3,6 Balance From Any Bonus I1 Total Repayment From Bonus 1 1 Other Full II Permanent Time II Part II Temporary Time II (I Returned to School II Deceased II Retired 1 ,2,6 1,2,6 I Isummer Leave of Absence 0 Military I/ Maternity (I Exit Interview II Attached File Number 1 PRESENT STATUS 2 SALARY HISTORY Grade 36E Title Associate Salary $ 36,800/Yr . OTT Status H. 0..-.43. a H. 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 Silia:12 $ ,000/Yr. 0/7 Status Name of Employee Replaced Date Separated Department or Branch N.Y.Retail Sales Dept. Code No. of/ Title 5 PART TIME EMPLOYMENT Salary Grade Rate S /Hour Hours Needed Each Day From AM AM To PM PM 6 REASON TO BE EXPLAINED IN ALL CASES •(.1 Retro to 4/30/79 Per: J.Cayne . . t' 6- ft. c, ifl. '1 r Adfc-1- I INA./ r; Ise - O. O ;.? 1-- Employee Department Head or Branch Manager Administrative Partner Orof PM 8-7 ADP CODES CATEGORY 0 1 2 3 4 5 6 7 8 9 Effective Date 401 Maiur Medical 402 Blue Cross 403 Type Employee 404 Birth Date 392 7,://et7472 Annual Salary 762 • Dock Number 330 0/7,1/47 / Y4 354 Rev. 10/75 (8/76) PERSONNEL COPY EFTA00187058 Jeffrey E. Epstein • I Bear, Stearns & Co. 55 Water Street New York 10041 March 12, 1981 70 7HE EXECUTIVE COtWaliks.: With this letter and accompanying statement, I hereby resign as a Limited Partner of Bear, Stearns & Co., effective irtmediately. 1 Sincerely, / P'Sar ey E& Epstein EFTA00187059 Bear, Stearns & Co. 55 Water Street New lila. 10041 WRITER'S DIRECT DIAL NUMBER Dear Jeffrey: BEAR 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 & CO. New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Franricen EFTA00187060 Bear, Stearns & Co. 55 Water Street New York, N.Y. 10041 WRITER'S DIRECT DIAL NUMBER TO ALL NEW EMPLOYEES: BEAR STMRNS 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 that we intend to conduct, through a service agency and through our own inquiries, an investigation as to your character, reputation, mode of living, educational experience, litigations, previous employments, and any public records etc... Upon written request, you, as an employee, now have the right to know the name of the investigative service employed by Bear, Stearns & Co. and the scope of their report should one be used in your particular case. Signature Date New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Amsterdam/Geneva/Pans EFTA00187061 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 termination of employment in accordance with Rules 17a-3 and 17a-4 of the Securities and Exchange Commission and Rule 345.19 of the New York Stock Exchange. 1. 15-vre1/2 St Name4st 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 regulatory body or by any such exchange or association; or ever been denied membership 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 expelled from any such exchange or registered association, or was denied membership 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? 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 M No! Yes No I hereby certify that I have read and understand the foregoing statements and that each of my responses thereto is true and complete. I authorize my prior employers to make available to any prospective employer, or to any Federal, State or Municipal agency, any information it may have concerning me, and I hereby release my employers frHn any and all liability of whatsoever nature by reason of furnishing such information. (Date) A.14/..Ci yrr Signatur of Employee 110 (12/75) EFTA00187062 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) ." frj b /v(, alex (N- 1,1; (DATE) EFTA00187063 EXECUTIVE HEALTH EXAMINERS 777 THIRD *PESKIN • NNW YORK CIIT UM 2.¢i-ff. 1i7 i9 7/ Name MAHU - 975-27 Company We have examined above-named applicant for employment. We find him ( er ( ): Wriuitable for employment. ( ) Suitable for limited employment. Limitations: Remarks: , R N. EFTA00187064 Memo BEAR STEARNS To John Duggan awe June 3, 1377 From Lewis Rabinowitz subject Jeff Epstein Please r se Jeff Epstein CC annual salary to $24,000 per year. \'‘) EFTA00187065 Memo BEAR ST EARNS To efi‘ve Lakoff Seymour Dashow From Elliot K. !Volk Subject Dale August 4, 1977 CC ease chari 11 expenses including salary for ff Epstein to New York Retail and delete from Opt ent. This should have been done some time ago. Please make sure this is done retroactively to May 1, 197.7 • and is included in the July figures. =.• EFTA00187066 Memo BEAR STEARNS Steve 1am66 From lamed E. Coyne Subject 3 (1/77) Date CC lune 13, 1919 E66ective today, and Aetaoactive to May Z./Lease the zataity ocle!tey Epst_e_t)to $4,000./yeaa EFTA00187067 Sear, Stearns & Co. 55 Wafer Street 10041 WRITER'S DIRECT DIAL NUMBER BEAR STEARNS March 18, 1976 Nier Roofing 4050 Atlantic Avenue, Brookl n t JEFFREY E. EPSTEIN (Applicant's Name) ity 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 Dates of Employment: Claimed from 1971 to 1973 Verified from /// to Above Aver ge Average Below Average Attendance C C] --- Punctuality La 0 0 Work Performance LY7 ED EDED C:1 Overall Rating To the best of yo knowledge, did this applicant have a Securities brokerage rcount? 0 Yes No Would you Recommend the applicant for a position of trust involving negotiable securities? ff7 Yes 0 No If your present policy permitted, would you rehire this applicant? s LJNo Is there anything we should know about this applicant which would help make our relationship a successful one? 6-4 (--OZZA*1 ,41.461se/ GENERAL REMARKS: Name: /• ae2-2, Signature: Form 267 (10/75) Title: / • Date: 1/4c/7 7 New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Amsterdam/Genova/en:. EFTA00187068 FIDELIFACTS 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 MS. BLACKBURN, Administrative Assistant, furnished the following information from records and personal knowledge: The applicant holds SSW lived at: 3814 Seagate Avenue, Brooklyn, (confirmed). He said he was a college graduate, but no furhter details were indicated. He was employed as a Physics and Math teacher. He did a good Job; had a good attendance and punctuality record and was dependable, cooperative and honest. He has leadership and supervisory ability. He was supervised by Dick Grossman who was not in the school at this time. The applicant was laid off due to a personnel cutback, but is eligible for rehire. 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 CONFInFNTIA I - EFTA00187069 MIL IL 8EAR ST:-..ARNS & CO. PROFIT SHAP.ING PLAN RUN OA It 04/30/5 I 04/30/5 )1Sn/80710N REASON: DISMISSAL ellTH CAUSE EFFECTIVE DATE 04/01/81 DATE OF E'NTRY 05/01/76 NAME • ADDRESS EPS TE IN JEFFREY I I CHECK AMOUNT PAYMENT SUMMARY S 3,214.81 RESCNIF IZICIN* 're( ';':.,t:INECIRMAT1VE • 4;... • cast . . VALUE ...••• , • • PAYABLE )IVERSIFI ED FUND :OMPA NY ACCOUNT :OMPA NY ACCOUNT :UND TOTALS *F FE ITED* TOTAL VALUE LESS: $ 725.75 S 3,214.87 S 3,214.8' S 725.73 S 3,214.86 1,451.48 S .4,429.13 S 3,214.8' FORFEITURE • ...... S 6,429.13 3,214.86 5 3,214.86 - CASH PAYASLE. S 3,214.87 7*(3.70) 3-31 _M(1 A..4 IC 1 -ann• . EFTA00187070 NAME EPSTEIN, JEFFREY BORN: 1/20/53 DATE OF REPORT 5/3/76 This will supplement our report of 4/28/76. At the New York University Bursar's Office, MR. BISOTNA advised the following regarding applicant: Initially a check in the amount of $1,080 was received by the University but it was returned with a notice that there was insufficient funds to cover the amount. The applicant then 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 that satisfaction papers had been filed. It was suggested we contact CURTIS ETTINGER, the school attorney for further details. MR. CURTIS ETTINGER advised the matter had been settled. The initial payment check, marked as having insufficient funds was not in the applicant's name but in the name of Paula Epstein. When the check did not clear, Mr. Ettinger contacted applicant's brother, Mark Epstein who advised that applicant was in Europe. Further action was delayed and subsequently Mark Epstein made a partial payment of $345. The matter, however, was still not resolved and legal proceedings were instituted in New York County Civil Court in December 197S. The matter was finally resolved in December 1975 when satisfaction paper was filed. cp The information contained in this report is for the SOLE AND CONFIDENTIAL use c tka tiekceva,a, - :........... • EFTA00187071 Memo BEAR 51MRNS To Steve Lacoff Personnel Department From Subject James E. Cayne Dote Effective immediately, Jeffrey Epstein is to receive a $400./mo salary increase. p 7? ,/ 24 V& -o EFTA00187072 --•4•••• 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 EFTA00187073 Hoar, Slearns & Co. 55 Water Street N.Y. 10041 WRITER'S DIRM! OMAl. NUMBER Dalton Schools 108 East 89th Street, JEFFREY E. EPSTDIN (Applicant's camel \ has applied to us for employmenAs a previous employer, we would appreciate your comments. t\lhWe have obtained a signed autho 'zation and indemnification agreement from the applicant to conduct reference checks, a copy of ich is enclosed. BEAR STEARNS March 16, 1976 flew York, New York Should you prefer to respond, by telephone, please call our reference section at Dates of Employment: Claimed from Verified from Above Avera Attendance Punctuality Work Performance aRating C:1 To the best of your knowledge, account? Q Yes 0 No to to Average Below Average IZn did this applicant awe a Securities brokerage Would you recommend the applicant for a position of trust involving negotiable securities? 0 Yes 0 No If your present policy permitted, would you rehire this applicant? ED \s ON° Is there anything we should know about this applicant which would help ntake our relationship a successful one? t\1/4 GENERAL REMARKS: Name: Signature: Form 267 (10/75) Title: Date: New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Amsterciam/Geneva/Paris EFTA00187074 Bear, Stearns & Co. 55 Water Street 10041 WRITER'S 1 NUMBER Cooper Union 4th Avenue & 8th Street New York, New York Attn; Registrar 33C-AR STU\RNS March 16, 1976 RE: JEFFREY F. N Date of Birth 1/20/50 To Whom It May Concern: Jeffrey has applied to us for a position claiming attendance at your school from 9/66-6/70 BS degree We shall appreciate your giving us any information you can as to scholastic standing, personality, background, etc., of this applicant. For your convenience in replying, we are enclosing a self-addressed stamped envelope. Thank you in advance for your cooperation. Sincerely, SAL/keh e`41/ tephen A. Lacoff Personnel Director The above Jeffrey E. Epstein did not graduate Dates of Attendance: Sept. 1969 to Jan 1972 Date of Birth: fan ;y 20, 1953 /41 1• I / 4j:, .., Dean of Admi sions 6 Records New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Anistswins refl..- I O.a. EFTA00187075 New York University Graduate School of Arts and Science Recording Office 6 Washington Square North. Room 3 New York. N.Y. 10003 Telephone: March 23, 1976 Mr. Stephen A. Lacoff Bear, Stearns & Company 55 Water Street New York, New York 10041 To Whom It May Concern, This is to certify that Jeffrey E. Epstein whose date of birth is January 20, 1950 was registered as a non-degree student in the Graduate School of Arts and Science, Department of Music from September 1971 to May 1974. Mr. Epstein did not receive a degree from New York University. In the Spring 1974 semester, Mr. Epstein had issued an invalid check to our Bursar's Office. Yours truly, ML/ks (Mrs.) Mavis Lewis Recorder EFTA00187076 **PLEASE CHECK EACH WHEN COMPLETED** NAME ,c"? DATE OF EMPLOYMENT APPLICATION /c' Type "PCA" (one for Payrol l, one dupl icate SENT 416 RECD /if Bonding Application /Or Stock Exchange Form Security Accounts form Fair Credit form Locator Card Benefits Enrol lment Card SENT 3Ilto Hospital ization Cards SENT —3—Illo C .Waiver Card (if appl icable) , A.,. 4 -I. '1 W 4 form SENT to Payrol l .3‘16 , Card for Mail Room SENT i,j5` ,Card for Telephone Department 'SENT 3116 F . LI-YAW Card for Security Working Papers for Minors (If appl icable) Enter new employee on Salary Sheet Add new employee to Board - Index file Time card (if appl icable) l, Background Letters SEN (14 SENT ni Welcome Letter. S Benefits Book l4 pkii School Reference SENT tte /Li Introduction Letter to Sup rvisor SENT .."-- /—i— Announcements (if appl icable) SENT Send in Bonding Appl ications SENT _ -5IEK / Send in Fingerprint Cards (get chec from Cashiers Dept. first) id,,./ SENT W Newspaper Ads (if appl icable) ENT / Orientation /1/ Medical /CY' Enter in Job Log Book (Blue Book) ¢—/- Index Card (Contains DOE, Dept. Agency, Letters sent etc.) /L.,/' Telephone Verification t-7 Put Special Record notice on locator card and appl ication H- (if appl icable) Fingerprints taken /I-4 DD2I4 for Veterans 1---1 File c:74 4/Y ran Background check: \ ) ir_ Letters Other EFTA00187077 CREEK PALM: A 4.IPOINT COWS( IN TNt C.RAOUATE SO•Xl Of ARTS /WO SCIENCE IS 114( *OAR PALIOHINID a A CLASS THAT KITS AT LEAST 00 SAS Era NU MN NUM MECO:. A S-POINT COURSE IS TR lotaS PROICNIOCO fa A CLASS THAT WELTS At LUST TM WARS A ME% fa Firsts NOM. CERTAIN LAIORATONT MAIMS WAY RIMINI MO Ian 1110.00JT TIC ISM AS 11•E (OwVALOR Of CPC IOUS Of P. 11C1INIE COORSt. SIAM AI 1RENUl11 Ill000••• CI aaaaaaa toor.ba Atoms. • gums ro• ...tt I I. tie". If tom. • mesas. N.. PIO aaaaaa ruin aaaaa . Mill IS la twit Si /Mel as 0 0 • 1 k AZ. CCi T S- I J14$ ats —SRI .4. • I • I 1 Aott22 0 0 to • AC Et I 614/4,61 L-I No. ••••• NO •10 t % Iu i‘k Attie A IIIANTH* 'r' Arryety•A:•orsow-A--,••••••-onoto, I IlI .... • — . !wra. • a : . ... Iht • . i C 1 ■ EFTA00187078 Pritit Clearly -?Jse Ball-Point Pen Binh ION • • I I r r e l l Date :1 attended wider any otter name, indicate: g .1? with LAST V ae GATT CIA COOL tItATIPRC OAT' n space above print full name and address to which transcript Is to be san This (win will be used in a window envelop*. (Over ;.. 1..A•1 VOWS Division of N.Y.U. attended' 0 Undergraduate 0 Graduate , yens and year ol, last attendance: Number of trenedripts desired' • • ' If currently in attentions do you vent transcript held for final grades? Yeeo No aci•Ol EFTA00187079 I :rt.. -07;,:f.:I's are or.:cer...r) •i.): lett 310.,:i per ;-arvicr Ar:Si ,h, tinO: c..?rir ''•:—::••:•-• •:' • :de ; &e to 1%e :•i.:^10 ;,.;',iC t..1.7 ;(.> e; • ;'n tifor..19 •;C: EFTA00187080 BUkRNSR STM VIA OVERNIGIIT MAIL U.S. Department of Justice 500 S. Australian Avenue, 41h Floor West Palm Beach, FL 33401 Re: FGJ 07-103(WPB)-Tues./No. OLY-71 Deaf BEAR, STEARNS & CO. INC. SHARON D. CERES 320 PARK AVENUE NEW YORK, NEW YORK 10022 Phone Fax scores eaccom 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. Encl. Sincerely, BEAR, STEARNS & CO. INC. Cep Sharon D. Ceres Legal Assistant ATLANTA I KUNG I BOSTON I BUENOS AIRES I CHICAGO I DALLAS I OUBLN I MONO 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 EFTA00187081 AN a ADaRESS al.Lq..uoig_u eve., iirooKAytt PLY• 11224 0-4.c.J 373-2262 'NOEL tA91 EMPL0YER Dalton Schools EDUCATION N.Y.C. FROM 9/74 To 3/76 MILITARY STATUS POSin 04Phys.De_pt. nun, $1500 omAGEKT Room<Anon mmeMark Epstein AGGRESS Above Mo. Tti.ErNONE • Above RELADONSIRP Brother GROUP NOSINTALIZATION NTS( " • ATE 4 • 1--)C • REGISTRATION OATES DIROLLVICIT OAT! 'mania EPSTEIN, J. LI INDIVIDUAL U rAmILY U NONE 011it Pk!DATE KEY POSITION TITLE DEPARTMENT I or INCIEASC Gomm COMMENT 3/15/76 E Trainee Floor De•t. -AMEX 225.00 - ./ • P 0 .z ei --..e. .540.0.0 45-4" f -any 49 ,, - • d d 0 _ __ /_,. I-- 0, ...I-- I, ,, Part 0•0 41 „ 1. r so• 4Q a KEY: E • FULL TIME T • PART TIME • l• SUMMER Nap M- MERIT INCR ASE S • SALARY ADJUSTMENT P • PROMOTION T - TRANSFER X • RELEAStO R. RESIGNED L LEAVE OF ARE. I • RETIRED O DEATH H REHIRED S. S. DATE EMPLOYED 3/15/76 NEIN DATE 1/20/50 SEE Male MAIDEN NAME EAST NAME MU MARITAL STATUS Single NOG BRIM] NE I R VIEW SPROULE EPSTEIN Jeffrey E. I I -tsa 41, Ir. N im I U II R IA A IS P 10 Cl • in Al. E OI NE NYNI.S EFTA00187082 DATE KEY PCSMON tr..z cEpAananT AMOUNT 01,e C.11411T --d»..;,‘ _ CCNITACIT -n in --n.y. ,01.4_,I la 34 _11-5e F -1-4O 437ern..aa ) gr.,.. .4.) _. 3/12/8 - Feligned • .. KEY. E - PULL WAIF T- PART TIME E• SUMMER HELP IN- MERIT INCREASE S. SALARY ADJUSTMENT P PROMOTION T• TRANSFER X - RELEASED R• RESIGNED L- LEAVE dorms& RETIRED Cc• DEATH H• ROARED S. L MAIDEN NAME LAST NAME /MST DATE EMPLOYED 3/15/76 SIR N DATE MARITAL STATUS 1/20/50 Married SEC EEOC MRCP SENtOuLE Male mum. OMMI gip 1 g 1 me EPSTEIN Jeffrey Ill At 141 AP NA AU I Ill AI I AC AC I Neitarcite•Ir EFTA00187083 • •• • L.A..% • ills I ram rit.orti I T IThes fort it In be completed by the Employee.) Mr., (Mrs. or Miss) Ill€ CONTINENTAL 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. 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 NATIONAL•BEN FRANKLIN INSURANCE COMPANY OF ILLINOIS THE BUCKEYE UNION INSURANCE COMPANY PACIFIC INSURANCE COMPANY • THE GLENS FALLS INSURANCE COMPANY Branch Office IIONDINO Offletti EMT Bond No Application is hereby made to one of the above named Companies (hereinafter called "the Company") selected by the Employer. i qk,:. E Amount of Rigid S Employee (Applleant) JE id., Position Trainee Payable .... Bear, StearnS CO,al (nit: nein er nest tlyig ErriplerlF) 55 Water St. New york,N.Y.1OO4i (Address Of Employer in NW by Number. Street, City) The Nature of the Employer's Business is Stock...Brokers FULL NAME OF APPLICANT (Please Prinr) Age 1.Ock, SOCIAL SECURITY NUMBER ... Date of Birth . Are you an American citizen? veSPresent residence address: How long have you lived there? State previous addresses in full and length of time you lived at each tt, during last five (5) years. Nu. VrV5/r*Si:raKi2%i-P-(St. or Ave.) Oily Front Rrt 7vt°10.11-41,„ Softy (St. or Ave.) • City State From to Single? Married? Separated? Divorced? Who constitue 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 Dar: raking present pu-sitron wiring MI5 'astir/ince (I.) 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 ter otherwise? .4,0/0 Have )ou ever failed in business or compromised with creditors? •4_j_ If so, when: 19 • %here: • 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? Ng In whose name is the title? Location or such realtyDescription Value Incumbranee Have you any debts or liabilities other than for current expenses? If so, please give amounts and std chow they were incurred. If paid by salary, state annual amount and when payable. Hove you ever applied to any company for a bond? If so, when? What company issued the 'bond? $ ILA MO payable oi—weetly 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? 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? SUI please gm paTLICUlatS APPLICANT S PARENTS, IF LIVING, OR OTHER NEAREST RELATIVESNAME ADDRESS (Street and No. in cities) RELATIONSHIP 'OCCUPATION ... • ..... ..... EFTA00187084 YOUR OCCUPATIONS THROUGHOUT THE LAST TEN YEARS runtish below full particulars of your past occupations or employments during the last ten years, as called for outer the column 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 couplet.. the record on a separate sheet and join together. PLEASE TYPE OR PRINT INFORMATION BELOW From ..._ .._-......=--... iyAntb 1. ......_../.111. ./. 1911. ---- To Full name or exact style (if firm or corporation) 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.-- __ a hy did you leave? Month . tt" 19 ..rattn-' / ,p V Cz. .#5 ' Stert 0C- S. 5- . p .-/ err" Se . .1. ---• • 1-O3O716-1(f. -- — --- TH Cs 1= Month ? 19.— ...... Month 19 • • Month I 19 Month 19 . .. — _ - Month Month Month 19 Month 19 ..... ------ .............. Month 19 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 comutu- aides. Please do not refer to any officer or fellow employee in the service in which you are engaged, nor to any former employer. NAME .............. e'Sa's 2 .. ,cjt-. PROFESSION OR BUSINESS / 1/471÷Ple ecad .tate'• Pe, Plot. 42-1 er1-7DX RESIDENCE ADDRESS IN FULL Street No. and Cit I hereby declare that the foregoing maternal a are 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 hind may now or hereafter require. I also hereby agree for myself, my heirs, executors, and adminis rotors, 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 new bond issued in continuation thereto ut 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 me, my heirs, toccatas, 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 hood applied kw; 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 shalt not be required to disclose the reasons or grounds upon which any action on its part in connection nith Intsaid bond mawbe based; and that the Company shall nut be responsiMe fur any loss of damage that I may suffer by reason of am, 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 he effective unless made by written endorsement hereon signed by on authorised representative of this /p Dated and signed at •,14, 3....1,1:.......,. / day of it (9.15:d I9..:: (Town and Male) n N e) In the presence of i , 17--.1„_"—.......,—....c.„. "-I ---...,.., EFTA00187085 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 EFTA00187086 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 SIGNATURE) (DATE) (PERSONNEL DEPT. REPRESENTATIVE) EFTA00187087 Near. Stearns & Co. SS Water Street N •W York . 10041 DIRECT OIAL NUMBER University of California Berkeley, California JEFFREY E. EPSTEIN BEAR STBINRNS March 16, 1976 (Applicant's Name/ 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 Dates of Employment: Claimed from 1973 to Verified from to Supervisor; 1974 Lecturer Dr. Wolf Above Average Average Below Average Attendance C] I= CI Punctuality CI CI I=I Work Performance 0 CI CI Overall Rating 0 C CI 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 securities? 0 Yes CI No If your present policy Permitted, would you rehire this applicant? 0 Yes L]No Position of trust involving negotiable Is there anything we should know about this applicant which would help make our relationship a successful one? GENERAL REMARKS: Name: Signature: Form 267 (10/75) Title: Date: A• New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Amsterdam/Geneva 7Pan. EFTA00187088 Bear, Stearns & Co. SS Water Street New York N.Y. 10041 MEM WRITER'S DIRECT DIAL NUMBER To Whom It May Concern: BEAR STMRNS 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. n'/l- or -4-L Sincerely, New York/Atlanta/Boston/Chicago Dallas/Los Angeles/San Francisco Amsterdam/Geneva/Paris EFTA00187089 NAME BORN: 1/20/50 EPSTEIN, JEFFREY E. 1/20/53 Note:Date of birth developed was-1/20/53;application # An OF WOO. 1/44/28/76) listed 1/20/50. EDUCATION COOPER UNION Appl. Dates: 9/66 to 6/70 NEW YORK, NEW YORK 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, Brookr7n, 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 & Payroll records, checked all available computer tapes from 1973 to current and nothing identifiable with the applicant 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 £or4er 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. Bath Wolf's mentioned were connected with the Mathematics Department and there are no other Wolf's employed by U.C. BERKELEY. lg ie information contained in this report is for the SOLE AND CONFIDENTIAL 'Ica EFTA00187090 EPSTEIN, JEFFREY E. IZMO INC. 3814 SEAGATE AVENUE BROOKLYN, NEW YORK Appl. Dates: 1972 to 1973 Reported: 1972 to 1973 Mrs. Rita Goodman, Owner, 3814 Seagate Ave., was contacted; she would only speak t