| --- |
| title: "DOJ Epstein Files, Data Set 9 (EFTA00197171)" |
| source: "DOJ Epstein Files, Data Set 9" |
| sourceUrl: "https://huggingface.co/datasets/ishumilin/epstein-files-ocr-complete" |
| date: "2026-01-01" |
| category: "DOJ Data Set" |
| eftaNumber: "EFTA00197171" |
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| externalCredit: "ishumilin/epstein-files-ocr-complete (Hugging Face)" |
| externalUrl: "https://huggingface.co/datasets/ishumilin/epstein-files-ocr-complete" |
| --- |
| |
| ## Statements |
|
|
| EFTA00197171 |
|
|
| OFFICE SERVICING YOUR ACCOUNT |
|
|
| Bear, Stearns & Co. Inc. |
| 383 Madison Avenue |
| New York, New York 10179 |
|
|
| | | | |
|
|
| | :--- | :--- | |
|
|
| | ACCOUNT EXECUTIVE | GNMA GOVT BOND | |
|
|
| | VISIT OUR WEBSITE | www.bearstearns.com | |
|
|
| Important Message |
|
|
| If any information regarding 2003 interest, dividends, miscellaneous income, gross proceeds or original issue discount is required to be reported to the IRS for this account, a Consolidated Form 1099 will be mailed to you by February 2, 2004 or a 1042Sby March 15, 2004. |
|
|
| ## ```markdown |
|
|
| ``` |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
|
|
| WHOLLY OWNED SUBSIDIARY |
|
|
| ``` |
| |
| <table border="1"><tr><td>FINANCIAL TRUST CO INC</td></tr><tr><td>C/O JEFFREY EPSTEIN</td></tr><tr><td>6100 RED HOOK QUARTER</td></tr><tr><td>SUITE B3</td></tr><tr><td>ST THOMAS VI 00802</td></tr></table> |
| |
| ## Premise or Third Party Repurchase Agreements |
| |
| Bear, Steams Securities Corp. |
| |
| One Metrotech Center North |
| |
| Brooklyn, New York 11201-3859 |
| |
| with Bear, Stearnsand Co. Inc. outstanding as of date of statement |
| |
| <table border="1"><tr><td>PURCHASE/START DATE</td><td>REPURCHASE/END DATE</td><td>PURCHASE PRICE/PRINCIPAL</td><td>PRICINGRATE</td><td>REPO/ACCRUEDINTEREST*</td><td>NET AMOUNT</td></tr><tr><td>12/19/03</td><td>OPEN</td><td>980,000</td><td>0.990</td><td>384</td><td>980,384.65</td></tr><tr><td colspan="4">TOTAL REPURCHASE TRANSACTIONS</td><td>$384</td><td>$980,384.65</td></tr></table> |
| |
| TAXPAYER NUMBER Not Available |
| |
| | LAST STATEMENT | November 28, 2003 | |
| |
| | :--- | :--- | |
| |
| *As of statement date* |
| |
| The above positions do not appear in any other section of this statement. |
| |
| AGCOUNT NUMBER |
| |
| FINANCIAL TRUST CO INC |
| |
| THROUGH December 31, 2003 |
| |
| STATEMENT PERIOD November 29, 2003 |
| |
| Please report any difference or non-receipt of checks or stocks, indicated as delivered to you, to Client Services at 800-634-1428; or write to Client Services at Bear, Steams Securities Corp., One Metrotech Center North, Brooklyn, N.Y. 11201-3859. |
| |
| This summary is for informational purposes only. It is not intended as a tax document. |
| |
| This statement should be retained for your records. See reverse side for important information. |
| |
| 027 01/01/04:14:54 001 |
| |
| V818 |
| |
| EFTA00197172 |
| |
| ```markdown |
|
|
| BEAR |
| STEARNS |
| ``` |
| |
| OFFICE SERVICING YOUR ACCOUNT |
| |
| Bear, Stearns & Co. Inc. |
| 383 Madison Avenue |
| New York, New York 10179 |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
|
|
| WHOLLY OWNED SUBSIDIARY |
|
|
| ``` |
| |
| 2 of 3 |
| |
| ```markdown |
|
|
| Bear, Steams Securities Corp. |
|
|
| One Metrotech Center North |
|
|
| Brooklyn, New York 11201-3859 |
|
|
| ``` |
| |
| As part of the National Association of Securities Dealer's (NASD) Investor Education Program, you may obtain information on the NASD's Public Disclosure Program by contacting the NASD at telephone number (800) 289-9999 or via the internet address which is www.nasdr.com. In addition, a brochure explaining the Public Disclosure Program is available from the NASD upon request. |
| |
| FINANCIAL TRUST CO INC |
| |
| ## Your messages |
| |
| STATEMENT PERIOD November 29, 2003 |
| |
| |
| |
| Excess SIPC Account Protection Update |
| |
| Bear, Stearns Securities Corp. ("BSSC"), a member of the Securities Investor Protection Corporation ("SIPC"), provides account protection for the net equity of a customer's funds and securities positions. SIPC provides $500,000 of primary net equity protection, including $100,000 for claims for cash ("SIPC Coverage"). Visit www.sipc.org for more information about SIPC Coverage. |
| |
| BSSC provides the additional protection ("Excess SIPC") through a commercial insurer, Effective February 16, 2004, the commercial insurer for Excess SIPC will change to Customer Asset Protection Company ("CAPCO"), a licensed New York insurance company. Account protection applies when a SIPC member firm fails financially and is unable to meet its obligations to its securities customers, but does not apply to losses from the rise or fall in the market value of investments or to SIPC ineligible assets such as options, futures, foreign exchange transactions, or any investment contracts that are not registered as securities. |
| |
| ```markdown |
|
|
| ******* End of Statement******* |
| ``` |
| |
| 027 |
| |
| ```markdown |
|
|
| 01/01/04;14:54 001 |
| ``` |
| |
| EFTA00197173 |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
| WHOLLY OWNED SUBSIDIARY |
| ``` |
| |
| 3 of 3 |
| |
| Bear, Steams Securities Corp. |
| One Metrotech Center North |
| Brooklyn, New York 11201-3859 |
| |
| FINANCIAL TRUST CO INC |
| |
| STATEMENT BACKER IS PRINTED ON THIS PAGE |
| |
| 027 |
| |
| EFTA00197174 |
| |
| ```markdown |
|
|
| BEAR |
| STEARNS |
| ``` |
| |
| OFFICE SERVICING YOUR ACCOUNT |
| |
| Bear, Stearns & Co. Inc. |
| 383 Madison Avenue |
| New York, New York 10179 |
| |
| <table><tr><td>ACCOUNT EXECUTIVE</td><td>GNMA GOVT BOND</td></tr><tr><td>VISIT OUR WEBSITE</td><td>www.bearstearns.com</td></tr></table> |
| |
| ```markdown |
|
|
| ``` |
| |
| <table border="1"><tr><td>FINANCIAL TRUST CO INC</td></tr><tr><td>C/O JEFFREY EPSTEIN</td></tr><tr><td>6100 RED HOOK QUARTER</td></tr><tr><td>SUITE B3</td></tr><tr><td>ST THOMAS VI 00802</td></tr></table> |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
|
|
| CLEARLY WOUNDED SUBSIDIARY |
|
|
| ``` |
| |
| ## Premise or Third Party Repurchase Agreements with Bear, Stearnsand Co. Inc. outstanding as of date of statement |
| |
| Bear, Steams Securities Corp. |
| |
| One Metrotech Center North |
| |
| Brooklyn, New York 11201-3859 |
| |
| | LAST STATEMENT | October 31, 2003 | |
| |
| | :--- | :--- | |
| |
| TAXPAYER NUMBER Not Available |
| |
| <table border="1"><tr><td>PURCHASE/START DATE</td><td>REPURCHASE/END DATE</td><td>PURCHASE PRICE/PRINCIPAL</td><td>PRICINGRATE</td><td>REPO/ACCRUEDINTEREST*</td><td>NET AMOUNT</td></tr><tr><td>11/20/03</td><td>OPEN</td><td>3,989,000</td><td>1.070</td><td>1,267</td><td>3,990,267.62</td></tr><tr><td colspan="4">TOTAL REPURCHASE TRANSACTIONS</td><td>$1,267</td><td>$3,990,267.62</td></tr></table> |
| |
| ACCOUNT NUMBER |
| |
| *As of statement date* |
| |
| THROUGH November 28, 2003 |
| |
| FINANCIAL TRUST CO INC |
| |
| STATEMENT PERIOD November 1, 2003 |
| |
| The above positions do not appear in any other section of this statement. |
| |
| |
| |
| ```markdown |
|
|
| ******* End of Statement******* |
|
|
| ``` |
| |
| Please report any difference or non-receipt of checks or stocks, indicated as delivered to you, to Client Services at 800-634-1428; or write to Client Services at Bear, Steams Securities Corp., One Metrotech Center North, Brooklyn, N.Y. 11201-3859. |
| |
| This summary is for informational purposes only. It is not intended as a tax document. |
| |
| This statement should be retained for your records. See reverse side for important information. |
| |
| 027 11/29/03:10:54 001 |
| |
| V818 |
| |
| EFTA00197175 |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
| WHOLLY OWNED SUBSIDIARY |
| ``` |
| |
| ```markdown |
|
|
| 2 of 2 |
| ``` |
| |
| Bear, Steams Securities Corp. |
| One Metrotech Center North |
| Brooklyn, New York 11201-3859 |
| |
| FINANCIAL TRUST CO INC |
| |
| STATEMENT BACKER IS PRINTED ON THIS PAGE |
| |
| 027 |
| |
| EFTA00197176 |
| |
| ```markdown |
|
|
| BEAR |
| STEARNS |
| ``` |
| |
| OFFICE SERVICING YOUR ACCOUNT |
| |
| Bear, Stearns & Co. Inc. |
| 383 Madison Avenue |
| New York, New York 10179 |
| |
| <table><tr><td>ACCOUNT EXECUTIVE</td><td>GNMA GOVT BOND</td></tr><tr><td>VISIT OUR WEBSITE</td><td>www.bearstearns.com</td></tr></table> |
| |
| ```markdown |
|
|
| ``` |
| |
| <table border="1"><tr><td>FINANCIAL TRUST CO INC</td></tr><tr><td>C/O JEFFREY EPSTEIN</td></tr><tr><td>6100 RED HOOK QUARTER</td></tr><tr><td>SUITE B3</td></tr><tr><td>ST THOMAS VI 00802</td></tr></table> |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
|
|
| WHOLLED NUBSDIARY |
|
|
| ``` |
| |
| ## Premise or Third Party Repurchase Agreements with Bear, Stearnsand Co. Inc. outstanding as of date of statement |
| |
| ```markdown |
|
|
| Bear, Steams Securities Corp. |
|
|
| One Metrotech Center North |
|
|
| Brooklyn, New York 11201-3859 |
|
|
| ``` |
| |
| | LAST STATEMENT | September 30, 2003 | |
| |
| | :--- | :--- | |
| |
| TAXPAYER NUMBER Not Available |
| |
| <table><thead><tr><th>PURCHASE/ START DATE</th><th>REPURCHASE/ END DATE</th><th>PURCHASE PRICE/ PRINCIPAL</th><th>PRICING RATE</th><th>REPO/ ACCRUED INTEREST*</th><th>NET AMOUNT</th></tr></thead><tbody><tr><td>10/20/03</td><td>OPEN</td><td>3,000,000</td><td>0.700</td><td>798</td><td>3,000,798.33</td></tr><tr><td colspan="4">TOTAL REPURCHASE TRANSACTIONS</td><td>$798</td><td>$3,000,798.33</td></tr></tbody></table> |
| |
| *As of statement date* |
| |
| ACCOUNT NUMBER |
| |
| The above positions do not appear in any other section of this statement. |
| |
| FINANCIAL TRUST CO INC |
| |
| THROUGH October 31, 2003 |
| |
| STATEMENT PERIOD October 1, 2003 |
| |
| |
| |
| ```markdown |
|
|
| ******* End of Statement******* |
|
|
| ``` |
| |
| Please report any difference or non-receipt of checks or stocks, indicated as delivered to you, to Client Services at 800-634-1428; or write to Client Services at Bear, Steams Securities Corp., One Metrotech Center North, Brooklyn, N.Y. 11201-3859. |
| |
| This summary is for informational purposes only. It is not intended as a tax document. |
| |
| This statement should be retained for your records. See reverse side for important information. |
| |
| 027 11/01/03;15:56 001 |
| |
| V818 |
| |
| EFTA00197177 |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
| WHOLLY OWNED SUBSIDIARY |
| ``` |
| |
| ```markdown |
|
|
| 2 of 2 |
| ``` |
| |
| Bear, Steams Securities Corp. |
| One Metrotech Center North |
| Brooklyn, New York 11201-3859 |
| |
| FINANCIAL TRUST CO INC |
| |
| STATEMENT BACKER IS PRINTED ON THIS PAGE |
| |
| 027 |
| |
| EFTA00197178 |
| |
| OFFICE SERVICING YOUR ACCOUNT |
| |
| Bear, Stearns & Co. Inc. |
| 383 Madison Avenue |
| New York, New York 10179 |
| |
| | | | |
| |
| | :--- | :--- | |
| |
| | ACCOUNT EXECUTIVE | GNMA GOVT BOND | |
| |
| | VISIT OUR WEBSITE | www.bearstearns.com | |
| |
| Important Message |
| |
| Bear Stearns is pleased to announce our conversion to a calendar month-end statement. Effective this month, your account statement reflects all activity and account valuation up to and including the last business day of the month. |
| |
| ## ```markdown |
|
|
| ``` |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
|
|
| WHOLLY OWNED SUBSIDIARY |
|
|
| ``` |
| |
| <table border="1"><tr><td>FINANCIAL TRUST CO INC</td></tr><tr><td>C/O JEFFREY EPSTEIN</td></tr><tr><td>6100 RED HOOK QUARTER</td></tr><tr><td>SUITE B3</td></tr><tr><td>ST THOMAS VI 00802</td></tr></table> |
| |
| ```markdown |
|
|
| Bear, Steams Securities Corp. |
|
|
| One Metrotech Center North |
|
|
| Brooklyn, New York 11201-3859 |
|
|
| ``` |
| |
| ## Premise or Third Party Repurchase Agreements with Bear, Stearnsand Co. Inc. outstanding as of date of statement |
| |
| <table><thead><tr><th>PURCHASE/ START DATE</th><th>REPURCHASE/ END DATE</th><th>PURCHASE PRICE/ PRINCIPAL</th><th>PRICING RATE</th><th>REPO/ ACCRUED INTEREST*</th><th>NET AMOUNT</th></tr></thead><tbody><tr><td>09/29/03</td><td>OPEN</td><td>4,396,000</td><td>0.660</td><td>169</td><td>4,396,169.73</td></tr><tr><td colspan="4">TOTAL REPURCHASE TRANSACTIONS</td><td>$169</td><td>$4,396,169.73</td></tr></tbody></table> |
| |
| TAXPAYER NUMBER Not Available |
| |
| FINANCIAL TRUST CO INC |
| |
| AGCOUNT NUMBER |
| |
| | LAST STATEMENT | August 29, 2003 | |
| |
| | :--- | :--- | |
| |
| *As of statement date* |
| |
| STATEMENT PERIOD August 30, 2003 |
| |
| THROUGH September 30, 2003 |
| |
| The above positions do not appear in any other section of this statement. |
| |
| Please report any difference or non-receipt of checks or stocks, indicated as delivered to you, to Client Services at 800-634-1428; or write to Client Services at Bear, Steams Securities Corp., One Metrotech Center North, Brooklyn, N.Y. 11201-3859. |
| |
| This summary is for informational purposes only. It is not intended as a tax document. |
| |
| This statement should be retained for your records. See reverse side for important information. |
| |
| 027 10/01/03;13:52 001 |
| |
| V813 |
| |
| EFTA00197179 |
| |
| ```markdown |
|
|
| BEAR |
| STEARNS |
| ``` |
| |
| OFFICE SERVICING YOUR ACCOUNT |
| |
| Bear, Stearns & Co. Inc. |
| 383 Madison Avenue |
| New York, New York 10179 |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
| WHOLLY OWNED SUBSIDIARY |
| ``` |
| |
| 2 of 5 |
| |
| Bear, Steams Securities Corp. |
| |
| One Metrotech Center North |
| |
| Brooklyn, New York 11201-3859 |
| |
| Your next statement will be December 2003 and will reflect all activity from October, November and December. |
| |
| FINANCIAL TRUST CO INC |
| |
| ## Your messages |
| |
| Effective October 2003, you will receive account statements on a quarterly basis only. Statements will generate at the end of March, June, September and December. The statements will reflect all activity throughout the quarter since the last statement date. |
| |
| Please contact your account executive with any questions. |
| |
| |
| |
| ## INTRODUCING QUARTERLY STATEMENTS |
| |
| |
| |
| Bear, Stearns Securities Corp, Net Capital and Net Capital Requirements: |
| |
| At May 31, 2003 and July 31, 2003, the Company's net capital of approximately $2.4 billion and $3.0 billion was approximately 6% and 7% of aggregate debit items and exceeded the minimum regulatory net capital requirement of approximately $799.5 million and $904.4 million by approximately $1.6 billion and $2.1 billion, all respectively. |
| |
| A complete copy of the Bear, Stearns Securities Corp. Statement of Financial Condition is available on the web site www.bearstearns.com. Alternatively, to request a free printed copy please call - toll free 1-866-299-9331. |
| |
| 027 |
| |
| ```markdown |
|
|
| 10/01/03;13:52 001 |
| ``` |
| |
| V813 |
| |
| EFTA00197180 |
| |
| ```markdown |
|
|
| BEAR |
| STEARNS |
| ``` |
| |
| OFFICE SERVICING YOUR ACCOUNT |
| |
| Bear, Stearns & Co. Inc. |
| 383 Madison Avenue |
| New York, New York 10179 |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
|
|
| WHOLLY OWNED SUBSIDIARY |
|
|
| ``` |
| |
| 3 of 5 |
| |
| Bear, Steams Securities Corp. |
| |
| One Mebrotech Center North |
| |
| Brooklyn, New York 11201-3859 |
| |
| - You can lose more funds than you deposit in the margin account. |
| |
| - The firm can sell your securities or other assets without contacting you. |
| |
| - The firm can force the sale of securities or other assets in you account(s). |
| |
| - You are not entitled to choose which securities or other assets in your account(s) are liquidated or sold to meet a margin call, |
| |
| - The firm can increase its "house" maintenance margin requirements at any time and is not required to provide you advance written notice, |
| |
| - You are not entitled to an extension of time on a margin call. |
| |
| Securities and other assets in your account are the firm's collateral for any margin loan made to you. If the securities and other assets in your account decline in value, so does the value of the collateral supporting your loan, and, as a result, the firm can take action, such as issue a margin call and/or sell securities or other assets in any of your accounts held with the member, in order to maintain the required equity in the account. It is important that you fully understand the risks involved in trading securities on margin. These risks include the following: |
| |
| FINANCIAL TRUST CO INC |
| |
| |
| |
| STATEMENT PERIOD August 30, 2003 |
| |
| THROUGH September 30, 2003 |
| |
| TAXPAYER NUMBER Not Available |
| |
| | LAST STATEMENT | August 29, 2003 | |
| |
| | :--- | :--- | |
| |
| |
| |
| This statement is provided to explain Bear, Stearns & Co., Inc.'s ("BSC") payment for order flow practices. |
| |
| BSC routes a majority of orders for customer securities transactions to the primary market for such securities. Orders may also be routed to other market service vendors that assure executions pursuant to complex mathematical formulas at better than the national best bid or best offer (NBBO). BSC receives no cash payment or other consideration for such order routing other than favorable executions or executions of limit orders at no additional charge. |
| |
| 027 |
| |
| ```markdown |
|
|
| 10/01/03;13:52 001 |
| ``` |
| |
| EFTA00197181 |
| |
| ```markdown |
|
|
| BEAR |
| STEARNS |
| ``` |
| |
| OFFICE SERVICING YOUR ACCOUNT |
| |
| Bear, Stearns & Co. Inc. |
| 383 Madison Avenue |
| New York, New York 10179 |
| |
| 4 of 5 |
| |
| |
| |
| suant to SEC Rule 11Ac1-6, please note the following |
| |
| Bear, Stearns & Co. Inc. will post its quarterly routing statistics at the following web link: http://www.bearstearns.com/, Click on Individual Investor, Click on Equities, Click on Order Routing Practices. |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
|
|
| WHOLLY OWNED SUBSIDIARY |
|
|
| ``` |
| |
| Bear, Steams Securities Corp. |
| |
| One Metrotech Center North |
| |
| Brooklyn, New York 11201-3859 |
| |
| Customers of Bear, Stearns & Co. Inc. may request information on any order executed within the prior six months from the time of the request. Specifically, you may request the identity of the venue to which the identified orders were routed for execution, whether the order was directed by you to that venue, and the time of the executions, if any, that resulted from such orders. |
| |
| ```markdown |
|
|
| ******* End of Statement******* |
|
|
| ``` |
| |
| ACCOUNT NUMBER |
| |
| FINANCIAL TRUST CO INC |
| |
| STATEMENT PERIOD August 30, 2003 |
| |
| THROUGH September 30, 2003 |
| |
| TAXPAYER NUMBER Not Available |
| |
| | LAST STATEMENT | August 29, 2003 | |
| |
| | :--- | :--- | |
| |
| 027 |
| |
| ```markdown |
|
|
| 10/01/03;13:52 001 |
| ``` |
| |
| V813 |
| |
| EFTA00197182 |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
| WHOLLY OWNED SUBSIDIARY |
| ``` |
| |
| **5 of 5** |
| |
| Bear, Steams Securities Corp. |
| One Metrotech Center North |
| Brooklyn, New York 11201-3859 |
| |
| FINANCIAL TRUST CO INC |
| |
| STATEMENT BACKER IS PRINTED ON THIS PAGE |
| |
| 027 |
| |
| EFTA00197183 |
| |
| ## ```markdown |
|
|
| BEAR |
| STEARNS |
| ``` |
| |
| OFFICE SERVICING YOUR ACCOUNT |
| |
| Bear, Stearns & Co. Inc. |
| 383 Madison Avenue |
| New York, New York 10179 |
| |
| | | | |
| |
| | :--- | :--- | |
| |
| | ACCOUNT EXECUTIVE | GNMA GOVT BOND | |
| |
| | VISIT OUR WEBSITE | www.bearstearns.com | |
| |
| Important Message |
| |
| Bear Stearns is pleased to announce our conversion to a calendar month-end statement. Effective September 2003, your account statement will reflect all activity and account valuation up to and including the last business day of the month. |
| |
| ## ```markdown |
|
|
| ``` |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
|
|
| CLEARLY WOUNDED SUBSIDIARY |
|
|
| ``` |
| |
| <table border="1"><tr><td>FINANCIAL TRUST CO INC</td></tr><tr><td>C/O JEFFREY EPSTEIN</td></tr><tr><td>6100 RED HOOK QUARTER</td></tr><tr><td>SUITE B3</td></tr><tr><td>ST THOMAS VI 00802</td></tr></table> |
| |
| ```markdown |
|
|
| Bear, Steams Securities Corp. |
|
|
| One Metrotech Center North |
|
|
| Brooklyn, New York 11201-3859 |
|
|
| ``` |
| |
| ## Premise or Third Party Repurchase Agreements with Bear, Stearnsand Co. Inc. outstanding as of date of statement |
| |
| AGCOUNT NUMBER |
| |
| TAXPAYER NUMBER Not Available |
| |
| <table><thead><tr><th>PURCHASE/ START DATE</th><th>REPURCHASE/ END DATE</th><th>PURCHASE PRICE/ PRINCIPAL</th><th>PRICING RATE</th><th>REPO/ ACCRUED INTEREST*</th><th>NET AMOUNT</th></tr></thead><tbody><tr><td>08/29/03</td><td>OPEN</td><td>5,033,000</td><td>0.700</td><td>391</td><td>5,033,391.46</td></tr><tr><td colspan="4">TOTAL REPURCHASE TRANSACTIONS</td><td>$391</td><td>$5,033,391.46</td></tr></tbody></table> |
| |
| LAST STATEMENT July 25, 2003 |
| |
| STATEMENT PERIOD July 26, 2003 |
| |
| FINANCIAL TRUST CO INC |
| |
| THROUGH August 29, 2003 |
| |
| *As of statement date* |
| |
| The above positions do not appear in any other section of this statement. |
| |
| |
| |
| ```markdown |
|
|
| ******* End of Statement******* |
|
|
| ``` |
| |
| Please report any difference or non-receipt of checks or stocks, indicated as delivered to you, to Client Services at 800-634-1428; or write to Client Services at Bear, Steams Securities Corp., One Metrotech Center North, Brooklyn, N.Y. 11201-3659. |
| |
| This summary is for informational purposes only. It is not intended as a tax document. This statement should be retained for your records. See reverse side for important information. |
| |
| 027 08/30/15:16:20 001 |
| |
| V812 |
| |
| EFTA00197184 |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
| WHOLLY OWNED SUBSIDIARY |
| ``` |
| |
| ```markdown |
|
|
| 2 of 2 |
| ``` |
| |
| Bear, Steams Securities Corp. |
| One Metrotech Center North |
| Brooklyn, New York 11201-3859 |
| |
| FINANCIAL TRUST CO INC |
| |
| STATEMENT BACKER IS PRINTED ON THIS PAGE |
| |
| 027 |
| |
| EFTA00197185 |
| |
| ```markdown |
|
|
| BEAR |
| STEARNS |
| ``` |
| |
| OFFICE SERVICING YOUR ACCOUNT |
| |
| Bear, Stearns & Co. Inc. |
| 383 Madison Avenue |
| New York, New York 10179 |
| |
| <table><tr><td>ACCOUNT EXECUTIVE</td><td>GNMA GOVT BOND</td></tr><tr><td>VISIT OUR WEBSITE</td><td>www.bearstearns.com</td></tr></table> |
| |
| ```markdown |
|
|
| ``` |
| |
| CLEARED THROUGH ITS |
| |
| WHOLLY OWNED SUBSIDIARY |
| |
| <table border="1"><tr><td>FINANCIAL TRUST CO INC</td></tr><tr><td>C/O JEFFREY EPSTEIN</td></tr><tr><td>6100 RED HOOK QUARTER</td></tr><tr><td>SUITE B3</td></tr><tr><td>ST THOMAS VI 00802</td></tr></table> |
| |
| Bear, Steams Securities Corp. |
| |
| One Metrotech Center North |
| |
| Brooklyn, New York 11201-3859 |
| |
| ## Premise or Third Party Repurchase Agreements with Bear, Stearnsand Co. Inc. outstanding as of date of statement |
| |
| TAXPAYER NUMBER Not Available |
| |
| <table><thead><tr><th>PURCHASE/ START DATE</th><th>REPURCHASE/ END DATE</th><th>PURCHASE PRICE/ PRINCIPAL</th><th>PRICING RATE</th><th>REPO/ ACCRUED INTEREST*</th><th>NET AMOUNT</th></tr></thead><tbody><tr><td>07/18/03</td><td>OPEN</td><td>6,040,000</td><td>0.700</td><td>1,139</td><td>6,041,139.21</td></tr><tr><td colspan="4">TOTAL REPURCHASE TRANSACTIONS</td><td>$1,139</td><td>$6,041,139.21</td></tr></tbody></table> |
| |
| | LAST STATEMENT | June 27, 2003 | |
| |
| | :--- | :--- | |
| |
| | STATEMENT PERIOD | June 28, 2003 | |
| |
| | :--- | :--- | |
| |
| | THROUGH | July 25, 2003 | |
| |
| FINANCIAL TRUST CO INC |
| |
| *As of statement date* |
| |
| The above positions do not appear in any other section of this statement. |
| |
| |
| |
| ```markdown |
|
|
| ******* End of Statement******* |
|
|
| ``` |
| |
| Please report any difference or non-receipt of checks or stocks, indicated as delivered to you, to Client Services at 800-634-1428; or write to Client Services at Bear, Steams Securities Corp., One Metrotech Center North, Brooklyn, N.Y. 11201-3859. |
| |
| This summary is for informational purposes only. It is not intended as a tax document. |
| This statement should be retained for your records. See reverse side for important information. |
| |
| 027 07/26/03;12:01 001 |
| |
| V811 |
| |
| EFTA00197186 |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
| WHOLLY OWNED SUBSIDIARY |
| ``` |
| |
| ```markdown |
|
|
| 2 of 2 |
| ``` |
| |
| Bear, Steams Securities Corp. |
| One Metrotech Center North |
| Brooklyn, New York 11201-3859 |
| |
| FINANCIAL TRUST CO INC |
| |
| STATEMENT BACKER IS PRINTED ON THIS PAGE |
| |
| 027 |
| |
| EFTA00197187 |
| |
| ```markdown |
|
|
| BEAR |
| STEARNS |
| ``` |
| |
| OFFICE SERVICING YOUR ACCOUNT |
| |
| Bear, Stearns & Co. Inc. |
| 383 Madison Avenue |
| New York, New York 10179 |
| |
| <table><tr><td>ACCOUNT EXECUTIVE</td><td>GNMA GOVT BOND</td></tr><tr><td>VISIT OUR WEBSITE</td><td>www.bearstearns.com</td></tr></table> |
| |
| Important Message |
| |
| Confirmation: Unless we hear from you to the contrary, it is our understanding that any free credit balances in your account are being maintained to facilitate your intention to invest such amounts through us. |
| |
| ## ```markdown |
|
|
| ``` |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
|
|
| WHOLLY OWNED SUBSIDIARY |
|
|
| ``` |
| |
| <table border="1"><tr><td>FINANCIAL TRUST CO INC</td></tr><tr><td>C/O JEFFREY EPSTEIN</td></tr><tr><td>6100 RED HOOK QUARTER</td></tr><tr><td>SUITE B3</td></tr><tr><td>ST THOMAS VI 00802</td></tr></table> |
| |
| Bear, Steams Securities Corp. |
| |
| One Metrotech Center North |
| |
| Brooklyn, New York 11201-3859 |
| |
| AGCOUNT NUMBER |
| |
| | STATEMENT PERIOD | May 31, 2003 | |
| |
| | :--- | :--- | |
| |
| | THROUGH | June 27, 2003 | |
| |
| ## Premise or Third Party Repurchase Agreements with Bear, Stearnsand Co. Inc. outstanding as of date of statement |
| |
| TAXPAYER NUMBER Not Available |
| |
| FINANCIAL TRUST CO INC |
| |
| | LAST STATEMENT | April 25, 2003 | |
| |
| | :--- | :--- | |
| |
| <table><thead><tr><th>PURCHASE/ START DATE</th><th>REPURCHASE/ END DATE</th><th>PURCHASE PRICE/ PRINCIPAL</th><th>PRICING RATE</th><th>REPO/ ACCRUED INTEREST*</th><th>NET AMOUNT</th></tr></thead><tbody><tr><td>06/27/03</td><td>OPEN</td><td>5,400,000</td><td>0.720</td><td>324</td><td>5,400,324.00</td></tr><tr><td colspan="4">TOTAL REPURCHASE TRANSACTIONS</td><td>$324</td><td>$5,400,324.00</td></tr></tbody></table> |
| |
| *As of statement date* |
| |
| The above positions do not appear in any other section of this statement. |
| |
| |
| |
| ```markdown |
|
|
| ******* End of Statement******* |
|
|
| ``` |
| |
| Please report any difference or non-receipt of checks or stocks, indicated as delivered to you, to Client Services at 800-634-1428; or write to Client Services at Bear, Steams Securities Corp., One Metrotech Center North, Brooklyn, N.Y. 11201-3859. |
| |
| This summary is for informational purposes only. It is not intended as a tax document. |
| |
| This statement should be retained for your records. See reverse side for important information. |
| |
| 027 06/28/03:13:43 001 |
| |
| ```markdown |
|
|
| V808 |
| ``` |
| |
| EFTA00197188 |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
| WHOLLY OWNED SUBSIDIARY |
| ``` |
| |
| ```markdown |
|
|
| 2 of 2 |
| ``` |
| |
| Bear, Steams Securities Corp. |
| One Metrotech Center North |
| Brooklyn, New York 11201-3859 |
| |
| FINANCIAL TRUST CO INC |
| |
| STATEMENT BACKER IS PRINTED ON THIS PAGE |
| |
| 027 |
| |
| EFTA00197189 |
| |
| ```markdown |
|
|
| BEAR |
| STEARNS |
| ``` |
| |
| OFFICE SERVICING YOUR ACCOUNT |
| |
| Bear, Stearns & Co. Inc. |
| 383 Madison Avenue |
| New York, New York 10179 |
| |
| | | | |
| |
| | :--- | :--- | |
| |
| | ACCOUNT EXECUTIVE | GNMA GOVT BOND | |
| |
| | VISIT OUR WEBSITE | www.bearstearns.com | |
| |
| ```markdown |
|
|
| ``` |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
|
|
| WHOLLED NUBSDIARY |
|
|
| ``` |
| |
| <table border="1"><tr><td>FINANCIAL TRUST CO INC</td></tr><tr><td>C/O JEFFREY EPSTEIN</td></tr><tr><td>6100 RED HOOK QUARTER</td></tr><tr><td>SUITE B3</td></tr><tr><td>ST THOMAS VI 00802</td></tr></table> |
| |
| Bear, Steams Securities Corp. |
| |
| One Metrotech Center North |
| |
| Brooklyn, New York 11201-3859 |
| |
| ## Premise or Third Party Repurchase Agreements |
| |
| with Bear, Stearnsand Co. Inc. outstanding as of date of statement |
| |
| <table border="1"><tr><td>PURCHASE/START DATE</td><td>REPURCHASE/END DATE</td><td>PURCHASE PRICE/PRINCIPAL</td><td>PRICINGRATE</td><td>REPO/ACCRUEDINTEREST*</td><td>NET AMOUNT</td></tr><tr><td>04/17/03</td><td>OPEN</td><td>1,950,000</td><td>0.870</td><td>525</td><td>1,950,525.96</td></tr><tr><td colspan="4">TOTAL REPURCHASE TRANSACTIONS</td><td>$525</td><td>$1,950,525.96</td></tr></table> |
| |
| FINANCIAL TRUST CO INC |
| |
| | STATEMENT PERIOD | March 29, 2003 | |
| |
| | :--- | :--- | |
| |
| | THROUGH | April 25, 2003 | |
| |
| | LAST STATEMENT | March 28, 2003 | |
| |
| | :--- | :--- | |
| |
| TAXPAYER NUMBER Not Available |
| |
| *As of statement date* |
| |
| The above positions do not appear in any other section of this statement. |
| |
| |
| |
| ```markdown |
|
|
| ******* End of Statement****** |
|
|
| ``` |
| |
| Please report any difference or non-receipt of checks or stocks, indicated as delivered to you, to Client Services at 800-634-1428; or write to Client Services at Bear, Steams Securities Corp., One Metrotech Center North, Brooklyn, N.Y. 11201-3859. |
| |
| This summary is for informational purposes only. It is not intended as a tax document. |
| |
| This statement should be retained for your records. See reverse side for important information. |
| |
| 027 04/26/03;14:23 001 |
| |
| V643 |
| |
| EFTA00197190 |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
| WHOLLY OWNED SUBSIDIARY |
| ``` |
| |
| ```markdown |
|
|
| 2 of 2 |
| ``` |
| |
| Bear, Steams Securities Corp. |
| One Metrotech Center North |
| Brooklyn, New York 11201-3859 |
| |
| FINANCIAL TRUST CO INC |
| |
| STATEMENT BACKER IS PRINTED ON THIS PAGE |
| |
| 027 |
| |
| EFTA00197191 |
| |
| ```markdown |
|
|
| BEAR |
| STEARNS |
| ``` |
| |
| OFFICE SERVICING YOUR ACCOUNT |
| Bear, Stearns & Co. Inc. |
| 383 Madison Avenue |
| New York, New York 10179 |
| |
| | | | |
| |
| | :--- | :--- | |
| |
| | ACCOUNT EXECUTIVE | GNMA GOVT BOND | |
| |
| | VISIT OUR WEBSITE | www.bearstearns.com | |
| |
| What's In This Statement |
| |
| Your Messages 2 |
| |
| ```markdown |
|
|
| ``` |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
|
|
| WHOLLY OWNED SUBSDIARY |
|
|
| ``` |
| |
| <table border="1"><tr><td>FINANCIAL TRUST CO INC</td></tr><tr><td>C/O JEFFREY EPSTEIN</td></tr><tr><td>6100 RED HOOK QUARTER</td></tr><tr><td>SUITE B3</td></tr><tr><td>ST THOMAS VI 00802</td></tr></table> |
| |
| ## Premise or Third Party Repurchase Agreements |
| |
| ```markdown |
|
|
| Bear, Steams Securities Corp. |
|
|
| One Metrotech Center North |
|
|
| Brooklyn, New York 11201-3859 |
|
|
| ``` |
| |
| with Bear, Stearnsand Co. Inc. outstanding as of date of statement |
| |
| <table border="1"><tr><td>PURCHASE/START DATE</td><td>REPURCHASE/END DATE</td><td>PURCHASE PRICE/PRINCIPAL</td><td>PRICINGRATE</td><td>REPO/ACCRUEDINTEREST*</td><td>NET AMOUNT</td></tr><tr><td>03/21/03</td><td>OPEN</td><td>750,000</td><td>0.970</td><td>191</td><td>750,191.67</td></tr><tr><td colspan="4">TOTAL REPURCHASE TRANSACTIONS</td><td>$191</td><td>$750,191.67</td></tr></table> |
| |
| TAXPAYER NUMBER Not Available |
| |
| *As of statement date* |
| |
| | LAST STATEMENT | January 31, 2003 | |
| |
| | :--- | :--- | |
| |
| FINANCIAL TRUST CO INC |
| |
| The above positions do not appear in any other section of this statement. |
| |
| STATEMENT PERIOD March 1, 2003 |
| |
| ```markdown |
|
|
| ACCOUNT NUMBER |
|
|
| ``` |
| |
| THROUGH March 28, 2003 |
| |
| Please report any difference or non-receipt of checks or stocks, indicated as delivered to you, to Client Services at 800-634-1428; or write to Client Services at Bear, Steams Securities Corp., One Metrotech Center North, Brooklyn, N.Y. 11201-3859. |
| |
| This summary is for informational purposes only. It is not intended as a tax document. |
| |
| This statement should be retained for your records. See reverse side for important information. |
| |
| 027 03/29/03;14:11 001 |
| |
| V642 |
| |
| EFTA00197192 |
| |
| ## ```markdown |
|
|
| BEAR |
| STEARNS |
| ``` |
| |
| OFFICE SERVICING YOUR ACCOUNT |
| |
| Bear, Stearns & Co. Inc. |
| 383 Madison Avenue |
| New York, New York 10179 |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
|
|
| CLEARLY WOUNDED SUBSIDIARY |
|
|
| ``` |
| |
| 2 of 3 |
| |
| ```markdown |
|
|
| Bear, Steams Securities Corp. |
|
|
| One Metrotech Center North |
|
|
| Brooklyn, New York 11201-3859 |
|
|
| ``` |
| |
| At November 30, 2002 and January 31, 2003, the Company's net capital of approximately $2.4 billion and $2.4 billion was approximately 7% and 7% of aggregate debit items and exceeded the minimum regulatory net capital requirement of approximately $716.3 million and $684.1 million by approximately $1.7 billion and $1.7 billion, all respectively. |
| |
| FINANCIAL TRUST CO INC |
| |
| ## Your messages |
| |
| A complete copy of the Bear, Stearns Securities Corp. Statement of Financial Condition is available on the web site www.bearstearns.com . Alternatively, to request a free printed copy please call - toll free - 1-866-299-9331. |
| |
| Bear, Stearns Securities Corp., Net Capital and Net Capital Requirements: |
| |
| |
| |
| | STATEMENT PERIOD | March 1, 2003 | |
| |
| | :--- | :--- | |
| |
| | THROUGH | March 28, 2003 | |
| |
| <table><thead><tr><th>ACCOUNT NUMBER</th><td></td></tr></thead><tbody><tr><td>TAXPAYER NUMBER</td><td>Not Available</td></tr><tr><td>LAST STATEMENT</td><td>January 31, 2003</td></tr></tbody></table> |
| |
| |
| |
| ```markdown |
|
|
| ******* End of Statement******* |
| ``` |
| |
| Customers of Bear, Stearns & Co. Inc. may request information on any order executed within the prior six months from the time of the request. Specifically, you may request the identity of the venue to which the identified orders were routed for execution, whether the order was directed by you to that venue, and the time of the executions, if any, that resulted from such orders. |
| |
| Pursuant to SEC Rule 11Ac1-6, please note the following: |
| |
| Bear Stearns & Co, Inc. will post its quarterly routing statistics at the following web link: http://www.bearstearns.com/. |
| |
| 027 |
| |
| ```markdown |
|
|
| 03/29/03;14:11 001 |
| ``` |
| |
| V642 |
| |
| EFTA00197193 |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
| WHOLLY OWNED SUBSIDIARY |
| ``` |
| |
| 3 of 3 |
| |
| Bear, Steams Securities Corp. |
| One Metrotech Center North |
| Brooklyn, New York 11201-3859 |
| |
| FINANCIAL TRUST CO INC |
| |
| STATEMENT BACKER IS PRINTED ON THIS PAGE |
| |
| EFTA00197194 |
| |
| ```markdown |
|
|
| BEAR |
| STEARNS |
| ``` |
| |
| OFFICE SERVICING YOUR ACCOUNT |
| |
| Bear, Stearns & Co. Inc. |
| 383 Madison Avenue |
| New York, New York 10179 |
| |
| <table><tr><td>ACCOUNT EXECUTIVE</td><td>GNMA GOVT BOND</td></tr><tr><td>VISIT OUR WEBSITE</td><td>www.bearstearns.com</td></tr></table> |
| |
| What's In This Statement |
| |
| Your Messages 2 |
| |
| ```markdown |
|
|
| ``` |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
|
|
| WHOLLY OWNED SUBSIDIARY |
|
|
| ``` |
| |
| <table border="1"><tr><td>FINANCIAL TRUST CO INC</td></tr><tr><td>C/O JEFFREY EPSTEIN</td></tr><tr><td>6100 RED HOOK QUARTER</td></tr><tr><td>SUITE B3</td></tr><tr><td>ST THOMAS VI 00802</td></tr></table> |
| |
| ## Premise or Third Party Repurchase Agreements |
| |
| Bear, Steams Securities Corp. |
| |
| One Metrotech Center North |
| |
| Brooklyn, New York 11201-3859 |
| |
| with Bear, Stearnsand Co. Inc. outstanding as of date of statement |
| |
| <table border="1"><tr><td>PURCHASE/START DATE</td><td>REPURCHASE/END DATE</td><td>PURCHASE PRICE/PRINCIPAL</td><td>PRICINGRATE</td><td>REPO/ACCRUEDINTEREST*</td><td>NET AMOUNT</td></tr><tr><td>01/30/03</td><td>OPEN</td><td>2,602,000</td><td>0.970</td><td>279</td><td>2,602,279.71</td></tr><tr><td colspan="4">TOTAL REPURCHASE TRANSACTIONS</td><td>$279</td><td>$2,602,279.71</td></tr></table> |
| |
| *As of statement date* |
| |
| FINANCIAL TRUST CO INC |
| |
| The above positions do not appear in any other section of this statement. |
| |
| TAXPAYER NUMBER Not Available |
| |
| | LAST STATEMENT | December 31, 2002 | |
| |
| | :--- | :--- | |
| |
| ```markdown |
|
|
| ACCOUNT NUMBER |
|
|
| ``` |
| |
| STATEMENT PERIOD January 1, 2003 |
| |
| THROUGH January 31, 2003 |
| |
| Please report any difference or non-receipt of checks or stocks, indicated as delivered to you, to Client Services at 800-634-1428; or write to Client Services at Bear, Steams Securities Corp., One Metrotech Center North, Brooklyn, N.Y. 11201-3859. |
| |
| This summary is for informational purposes only. It is not intended as a tax document. |
| |
| This statement should be retained for your records. See reverse side for important information. |
| |
| 027 02/01/03;18:09 001 |
| |
| V640 |
| |
| EFTA00197195 |
| |
| ## ```markdown |
|
|
| BEAR |
| STEARNS |
| ``` |
| |
| ```markdown |
|
|
| OFFICE SERVICING YOUR ACCOUNT |
| Bear, Stearns & Co. Inc. |
| 383 Madison Avenue |
| New York, New York 10179 |
| ``` |
| |
| 2 of 3 |
| |
| ## Your messages |
| |
| |
| |
| The interest, if any, charged to your account during December 2002 was computed on the net debit balance through December 30. The interest, if any, charged to your account during January 2003 is computed from December 31, 2002. |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
|
|
| CLEARLY WOUNDED SUBSIDIARY |
|
|
| ``` |
| |
| ```markdown |
|
|
| ******* End of Statement******* |
|
|
| ``` |
| |
| ```markdown |
|
|
| Bear, Steams Securities Corp. |
|
|
| One Metrotech Center North |
|
|
| Brooklyn, New York 11201-3859 |
|
|
| ``` |
| |
| FINANCIAL TRUST CO INC |
| |
| STATEMENT PERIOD January 1, 2003 |
| |
| THROUGH January 31, 2003 |
| |
| ```markdown |
|
|
| ACCOUNT NUMBER |
|
|
| ``` |
| |
| TAXPAYER NUMBER Not Available |
| |
| | LAST STATEMENT | December 31, 2002 | |
| |
| | :--- | :--- | |
| |
| 027 |
| |
| ```markdown |
|
|
| 02/01/03;18:09 001 |
| ``` |
| |
| V640 |
| |
| EFTA00197196 |
| |
| ```markdown |
|
|
| CLEARED THROUGH ITS |
| WHOLLY OWNED SUBSIDIARY |
| ``` |
| |
| ```markdown |
|
|
| 3 of 3 |
| ``` |
| |
| Bear, Steams Securities Corp. |
| One Metrotech Center North |
| Brooklyn, New York 11201-3859 |
| |
| FINANCIAL TRUST CO INC |
| |
| STATEMENT BACKER IS PRINTED ON THIS PAGE |
| |
| 027 |
| |
| EFTA00197197 |
| |
