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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
ties Act, (y) a "qualified purchaser" as defined in Section 2(a)(51) of the Investment Company Act and (z) a "qualified client," as defined in the U.S. Investment Advisers Act of 1940, as amended (the "Advisers Act"). There is no public market for the Interests, and no such market is expected to develop in t
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
ties Act, (y) a "qualified purchaser" as defined in Section 2(a)(51) of the Investment Company Act and (z) a "qualified client," as defined in the U.S. Investment Advisers Act of 1940, as amended (the "Advisers Act"). There is no public market for the Interests, and no such market is expected to develop in t
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
ties Act, (y) a "qualified purchaser" as defined in Section 2(a)(51) of the Investment Company Act and (z) a "qualified client," as defined in the U.S. Investment Advisers Act of 1940, as amended (the "Advisers Act"). There is no public market for the Interests, and no such market is expected to develop in t
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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
ties Act, (y) a "qualified purchaser" as defined in Section 2(a)(51) of the Investment Company Act and (z) a "qualified client," as defined in the U.S. Investment Advisers Act of 1940, as amended (the "Advisers Act"). There is no public market for the Interests, and no such market is expected to develop in t
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
ties Act, (y) a "qualified purchaser" as defined in Section 2(a)(51) of the Investment Company Act and (z) a "qualified client," as defined in the U.S. Investment Advisers Act of 1940, as amended (the "Advisers Act"). There is no public market for the Interests, and no such market is expected to develop in t
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Mutual Connections (79)
Entities connected to both Puerto Rico and U.S. Investment
United States
LOCATION187 w/ Puerto·6 w/ U.S.
U.S. Virgin Islands
LOCATION172 w/ Puerto·5 w/ U.S.
the U.S. Investment Company Act
ORGANIZATION31 w/ Puerto·24 w/ U.S.
Eric Holder
PERSON47 w/ Puerto·5 w/ U.S.
the District of Columbia
LOCATION45 w/ Puerto·5 w/ U.S.
European Union
ORGANIZATION26 w/ Puerto·24 w/ U.S.
RJ
Raymond James'
PERSON41 w/ Puerto·5 w/ U.S.
United Kingdom
LOCATION39 w/ Puerto·6 w/ U.S.
Cayman
LOCATION39 w/ Puerto·6 w/ U.S.
Cayman Islands
LOCATION32 w/ Puerto·5 w/ U.S.
Denmark
LOCATION32 w/ Puerto·5 w/ U.S.
Malta
LOCATION25 w/ Puerto·5 w/ U.S.
The Confidential Private Placement Memorandum
ORGANIZATION5 w/ Puerto·23 w/ U.S.
iCapital Advisors
ORGANIZATION5 w/ Puerto·23 w/ U.S.
Finland
LOCATION20 w/ Puerto·5 w/ U.S.
Marla Maples
PERSON19 w/ Puerto·6 w/ U.S.
Romania
LOCATION19 w/ Puerto·5 w/ U.S.
United States District Court
ORGANIZATION18 w/ Puerto·5 w/ U.S.
Norway
LOCATION18 w/ Puerto·5 w/ U.S.
Belgium
LOCATION18 w/ Puerto·5 w/ U.S.