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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
a court of competent jurisdiction that the General Partner, the Manager or the Second GP has engaged in certain removal conduct. The Manager and Second GP will automatically be removed upon the removal of the General Partner. No Fault Removal of the General Partner The General Partner may be removed
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
a court of competent jurisdiction that the General Partner, the Manager or the Second GP has engaged in certain removal conduct. The Manager and Second GP will automatically be removed upon the removal of the General Partner. No Fault Removal of the General Partner The General Partner may be removed
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
a court of competent jurisdiction that the General Partner, the Manager or the Second GP has engaged in certain removal conduct. The Manager and Second GP will automatically be removed upon the removal of the General Partner. No Fault Removal of the General Partner The General Partner may be removed
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
a court of competent jurisdiction that the General Partner, the Manager or the Second GP has engaged in certain removal conduct. The Manager and Second GP will automatically be removed upon the removal of the General Partner. No Fault Removal of the General Partner The General Partner may be removed
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
a court of competent jurisdiction that the General Partner, the Manager or the Second GP has engaged in certain removal conduct. The Manager and Second GP will automatically be removed upon the removal of the General Partner. No Fault Removal of the General Partner The General Partner may be removed
Sponsored
Mutual Connections (60)
Entities connected to both Puerto Rico and Second GP
the Securities and Exchange Commission
ORGANIZATION134 w/ Puerto·5 w/ Second
Prince Charles
PERSON119 w/ Puerto·5 w/ Second
New York State
LOCATION57 w/ Puerto·5 w/ Second
RJ
Raymond James'
PERSON41 w/ Puerto·5 w/ Second
United Kingdom
LOCATION39 w/ Puerto·5 w/ Second
Denmark
LOCATION32 w/ Puerto·5 w/ Second
the U.S. Investment Company Act
ORGANIZATION31 w/ Puerto·5 w/ Second
Columbia University
LOCATION27 w/ Puerto·5 w/ Second
Credit Suisse
ORGANIZATION26 w/ Puerto·5 w/ Second
European Union
ORGANIZATION26 w/ Puerto·5 w/ Second
CREDIT SUISSE SECURITIES (USA) LLC
ORGANIZATION23 w/ Puerto·5 w/ Second
Finland
LOCATION20 w/ Puerto·5 w/ Second
Ontario
LOCATION17 w/ Puerto·5 w/ Second
Wales
LOCATION16 w/ Puerto·5 w/ Second
Glendower Capital
ORGANIZATION10 w/ Puerto·5 w/ Second
Glendower
LOCATION10 w/ Puerto·5 w/ Second
Raymond James & Associates, Inc.
ORGANIZATION10 w/ Puerto·5 w/ Second
Davies
ORGANIZATION9 w/ Puerto·5 w/ Second
Macau
LOCATION8 w/ Puerto·5 w/ Second
the Cayman Islands
LOCATION8 w/ Puerto·5 w/ Second