Epstein File EFTA01116426: Warren, Client and Entertainment (DS9)

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⚡IMPACT LEVEL 3 — NOTEWORTHY

Epstein File EFTA01116426: Warren, Client and Entertainment (DS9)

General DocumentDate unavailableEFTA011164261 keyword hits

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This document contains regulatory guidance regarding investment adviser fiduciary duties and fraud prevention standards. It discusses how sports and entertainment representatives offer services to clients, including employment contract negotiations, and are typically compensated through fees. The document references legal standards prohibiting fraudulent practices toward clients and prospective clients under investment adviser regulations.

👤 Named in This Document

Warren

🔑 Evidence Keywords

client entertainment fifteen controlled

📋 Key Excerpts8

PersonKeyword

Excerpt 1

- 15 - practice, or course of business which operates as a fraud or deceit upon any **client** or prospective **client**." 19/ An investment adviser is a fiduciary

Excerpt 2

or prospective **client**.

Excerpt 3

transaction, practice, or course of business which operates as a fraud or deceit upon any **client** or prospective **client**."