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Document Mentions (5 shared documents)
2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
he Cayman Islands to subscribe for the Interests. CHILE Neither the Fund nor the Interests are registered in the Registry of Offshore Securities (el Registro de Valores Extranjeros) or subject to the supervision of the Securities and Insurance Supervisory Authority of Chile (la Superintendencia de Valores y Seguro
2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
he Cayman Islands to subscribe for the Interests. CHILE Neither the Fund nor the Interests are registered in the Registry of Offshore Securities (el Registro de Valores Extranjeros) or subject to the supervision of the Securities and Insurance Supervisory Authority of Chile (la Superintendencia de Valores y Seguro
2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
he Cayman Islands to subscribe for the Interests. CHILE Neither the Fund nor the Interests are registered in the Registry of Offshore Securities (el Registro de Valores Extranjeros) or subject to the supervision of the Securities and Insurance Supervisory Authority of Chile (la Superintendencia de Valores y Seguro
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2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
he Cayman Islands to subscribe for the Interests. CHILE Neither the Fund nor the Interests are registered in the Registry of Offshore Securities (el Registro de Valores Extranjeros) or subject to the supervision of the Securities and Insurance Supervisory Authority of Chile (la Superintendencia de Valores y Seguro
2 mentions1 same-page
Page ?Same page
n 2011, Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. (collectively "Raymond James") settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Columbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (o
he Cayman Islands to subscribe for the Interests. CHILE Neither the Fund nor the Interests are registered in the Registry of Offshore Securities (el Registro de Valores Extranjeros) or subject to the supervision of the Securities and Insurance Supervisory Authority of Chile (la Superintendencia de Valores y Seguro
Sponsored
Mutual Connections (72)
Entities connected to both Puerto Rico and el Registro de Valores
Marc Rich
PERSON161 w/ Puerto·2 w/ el
the Securities and Exchange Commission
ORGANIZATION134 w/ Puerto·5 w/ el
Prince Charles
PERSON119 w/ Puerto·5 w/ el
Donald Trump
PERSON88 w/ Puerto·2 w/ el
New York State
LOCATION57 w/ Puerto·5 w/ el
United Kingdom
LOCATION39 w/ Puerto·7 w/ el
RJ
Raymond James'
PERSON41 w/ Puerto·5 w/ el
Denmark
LOCATION32 w/ Puerto·5 w/ el
the U.S. Investment Company Act
ORGANIZATION31 w/ Puerto·5 w/ el
European Union
ORGANIZATION26 w/ Puerto·7 w/ el
Credit Suisse
ORGANIZATION26 w/ Puerto·6 w/ el
Columbia University
LOCATION27 w/ Puerto·5 w/ el
CREDIT SUISSE SECURITIES (USA) LLC
ORGANIZATION23 w/ Puerto·5 w/ el
Finland
LOCATION20 w/ Puerto·5 w/ el
Federal Reserve
ORGANIZATION22 w/ Puerto·2 w/ el
Goldman Sachs
ORGANIZATION22 w/ Puerto·2 w/ el
Ontario
LOCATION17 w/ Puerto·5 w/ el
Wales
LOCATION16 w/ Puerto·5 w/ el
Seoul
LOCATION17 w/ Puerto·2 w/ el
Chile
LOCATION16 w/ Puerto·2 w/ el