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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
heir business time to the affairs of the Fund, any co-investment fund, Parallel Fund (as defined below) or Alternative Vehicle (as defined below), the SOF Program, any Complementary Fund (as defined below), any successor fund and Glendower (the "Permitted Activities"). The Investment Period may be reinstate
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
heir business time to the affairs of the Fund, any co-investment fund, Parallel Fund (as defined below) or Alternative Vehicle (as defined below), the SOF Program, any Complementary Fund (as defined below), any successor fund and Glendower (the "Permitted Activities"). The Investment Period may be reinstate
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
heir business time to the affairs of the Fund, any co-investment fund, Parallel Fund (as defined below) or Alternative Vehicle (as defined below), the SOF Program, any Complementary Fund (as defined below), any successor fund and Glendower (the "Permitted Activities"). The Investment Period may be reinstate
Sponsored
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
heir business time to the affairs of the Fund, any co-investment fund, Parallel Fund (as defined below) or Alternative Vehicle (as defined below), the SOF Program, any Complementary Fund (as defined below), any successor fund and Glendower (the "Permitted Activities"). The Investment Period may be reinstate
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
heir business time to the affairs of the Fund, any co-investment fund, Parallel Fund (as defined below) or Alternative Vehicle (as defined below), the SOF Program, any Complementary Fund (as defined below), any successor fund and Glendower (the "Permitted Activities"). The Investment Period may be reinstate
Sponsored
Mutual Connections (75)
Entities connected to both Puerto Rico and the SOF Program
Julie K. Brown
PERSON198 w/ Puerto·10 w/ the
Prince Charles
PERSON119 w/ Puerto·58 w/ the
the Securities and Exchange Commission
ORGANIZATION134 w/ Puerto·5 w/ the
New York State
LOCATION57 w/ Puerto·5 w/ the
Glendower Capital
ORGANIZATION10 w/ Puerto·51 w/ the
North America
LOCATION24 w/ Puerto·35 w/ the
Lawrence Krauss
PERSON51 w/ Puerto·8 w/ the
Glendower
LOCATION10 w/ Puerto·39 w/ the
AG
Adam Graev
PERSON7 w/ Puerto·41 w/ the
RJ
Raymond James'
PERSON41 w/ Puerto·5 w/ the
United Kingdom
LOCATION39 w/ Puerto·5 w/ the
Denmark
LOCATION32 w/ Puerto·5 w/ the
the U.S. Investment Company Act
ORGANIZATION31 w/ Puerto·5 w/ the
PE
Pease
PERSON29 w/ Puerto·5 w/ the
Deutsche Bank
ORGANIZATION18 w/ Puerto·16 w/ the
Columbia University
LOCATION27 w/ Puerto·5 w/ the
Credit Suisse
ORGANIZATION26 w/ Puerto·5 w/ the
European Union
ORGANIZATION26 w/ Puerto·5 w/ the
Larry Summers
PERSON20 w/ Puerto·9 w/ the
CREDIT SUISSE SECURITIES (USA) LLC
ORGANIZATION23 w/ Puerto·5 w/ the