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Document Mentions (5 shared documents)
2 mentions1 same-page
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ng in 2011, without admitting or denying any allegations, Raymond James Financial Services, Inc. ("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 (or
MMODITY FUTURES, SWAPS AND/OR OTHER COMMODITY INTERESTS (COLLECTIVELY, "COMMODITY INTERESTS"), THE GENERAL PARTNER IS EXEMPT FROM REGISTRATION WITH THE U.S. COMMODITY FUTURES TRADING COMMISSION ("CFTC") AS A COMMODITY POOL OPERATOR ("CPO") AND PLANS TO FILE WITH THE NATIONAL FUTURES ASSOCIATION (THE "NFA") A NOTICE OF EXEMPTION FROM REGIST
2 mentions1 same-page
Page ?Same page
ng in 2011, without admitting or denying any allegations, Raymond James Financial Services, Inc. ("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 (or
MMODITY FUTURES, SWAPS AND/OR OTHER COMMODITY INTERESTS (COLLECTIVELY, "COMMODITY INTERESTS"), THE GENERAL PARTNER IS EXEMPT FROM REGISTRATION WITH THE U.S. COMMODITY FUTURES TRADING COMMISSION ("CFTC") AS A COMMODITY POOL OPERATOR ("CPO") AND PLANS TO FILE WITH THE NATIONAL FUTURES ASSOCIATION (THE "NFA") A NOTICE OF EXEMPTION FROM REGIST
2 mentions1 same-page
Page ?Same page
ng in 2011, without admitting or denying any allegations, Raymond James Financial Services, Inc. ("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 (or
MMODITY FUTURES, SWAPS AND/OR OTHER COMMODITY INTERESTS (COLLECTIVELY, "COMMODITY INTERESTS"), THE GENERAL PARTNER IS EXEMPT FROM REGISTRATION WITH THE U.S. COMMODITY FUTURES TRADING COMMISSION ("CFTC") AS A COMMODITY POOL OPERATOR ("CPO") AND PLANS TO FILE WITH THE NATIONAL FUTURES ASSOCIATION (THE "NFA") A NOTICE OF EXEMPTION FROM REGIST
Sponsored
2 mentions1 same-page
Page ?Same page
ng in 2011, without admitting or denying any allegations, Raymond James Financial Services, Inc. ("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 (or
MMODITY FUTURES, SWAPS AND/OR OTHER COMMODITY INTERESTS (COLLECTIVELY, "COMMODITY INTERESTS"), THE GENERAL PARTNER IS EXEMPT FROM REGISTRATION WITH THE U.S. COMMODITY FUTURES TRADING COMMISSION ("CFTC") AS A COMMODITY POOL OPERATOR ("CPO") AND PLANS TO FILE WITH THE NATIONAL FUTURES ASSOCIATION (THE "NFA") A NOTICE OF EXEMPTION FROM REGIST
2 mentions1 same-page
Page ?Same page
ng in 2011, without admitting or denying any allegations, Raymond James Financial Services, Inc. ("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 (or
MMODITY FUTURES, SWAPS AND/OR OTHER COMMODITY INTERESTS (COLLECTIVELY, "COMMODITY INTERESTS"), THE GENERAL PARTNER IS EXEMPT FROM REGISTRATION WITH THE U.S. COMMODITY FUTURES TRADING COMMISSION ("CFTC") AS A COMMODITY POOL OPERATOR ("CPO") AND PLANS TO FILE WITH THE NATIONAL FUTURES ASSOCIATION (THE "NFA") A NOTICE OF EXEMPTION FROM REGIST
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Mutual Connections (108)
Entities connected to both Puerto Rico and THE U.S. COMMODITY FUTURES TRADING COMMISSION
Julie K. Brown
PERSON198 w/ Puerto·5 w/ THE
United States
LOCATION187 w/ Puerto·10 w/ THE
U.S. Virgin Islands
LOCATION172 w/ Puerto·5 w/ THE
Prince Charles
PERSON119 w/ Puerto·5 w/ THE
J. Robert Oppenheimer
PERSON104 w/ Puerto·5 w/ THE
New York
LOCATION67 w/ Puerto·5 w/ THE
Eric Holder
PERSON47 w/ Puerto·5 w/ THE
the District of Columbia
LOCATION45 w/ Puerto·5 w/ THE
United Kingdom
LOCATION39 w/ Puerto·10 w/ THE
Credit Suisse
ORGANIZATION26 w/ Puerto·23 w/ THE
Cayman
LOCATION39 w/ Puerto·10 w/ THE
RJ
Raymond James'
PERSON41 w/ Puerto·5 w/ THE
Denmark
LOCATION32 w/ Puerto·10 w/ THE
Cayman Islands
LOCATION32 w/ Puerto·5 w/ THE
the U.S. Investment Company Act
ORGANIZATION31 w/ Puerto·5 w/ THE
European Union
ORGANIZATION26 w/ Puerto·10 w/ THE
Michael Douglas
PERSON31 w/ Puerto·5 w/ THE
Malta
LOCATION25 w/ Puerto·10 w/ THE
Finland
LOCATION20 w/ Puerto·10 w/ THE
North America
LOCATION24 w/ Puerto·5 w/ THE