Epstein File EFTA00237111: Large_file_1mb_plus, Solicitation and Construction (DS9)

Epstein Index›Documents›EFTA00237111

💨IMPACT LEVEL 1 — MEH

Epstein File EFTA00237111: Large_file_1mb_plus, Solicitation and Construction (DS9)

Court FilingDate unavailableEFTA002371111 keyword hits

0

views

0

shares

0

reactions

0

persons

5

keywords

6

excerpts

The document excerpt references a 2009 violation of Sections 6(c) and 6(d) of the Commodities Exchange Act and Section 4.7(b)(3)(i), with a $50,000 penalty mentioned. The specific parties, detailed violations, and full context are not fully visible in the excerpt provided.

👤 Named in This Document

No named persons linked yet

🔑 Evidence Keywords

large_file_1mb_plus solicitation construction payroll arrangement

📋 Key Excerpts6

PersonKeyword

Excerpt 1

y: 2009 violated Sections 6(c) and from violating $50,000 6(d) of Commodities Regulation Exchange Act and did not 4.7(b)(3)(i) and file with the National Currently, our principal business, in terms of

Excerpt 2

Under those agreements, we share fees with, or receive fees from, our affiliates for the referral or **solicitation** of investors in our funds.

Excerpt 3

process, which begins with an analysis of: the manager's investment philosophy and strategy, investment process, quality and depth of research, portfolio **construction**