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s while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' auction rate securities trade confirmations disclosed the risk that auction rate securities auctions could fail and that Raymond James were not obli
James Financial Services, Inc. (collectively 'Raymond James) settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Colurnbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (or substantially equivalent non-fraud based terms unde
s while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' auction rate securities trade confirmations disclosed the risk that auction rate securities auctions could fail and that Raymond James were not obli
James Financial Services, Inc. (collectively 'Raymond James) settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Colurnbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (or substantially equivalent non-fraud based terms unde
s while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' auction rate securities trade confirmations disclosed the risk that auction rate securities auctions could fail and that Raymond James were not obli
James Financial Services, Inc. (collectively 'Raymond James) settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Colurnbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (or substantially equivalent non-fraud based terms unde
s while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' auction rate securities trade confirmations disclosed the risk that auction rate securities auctions could fail and that Raymond James were not obli
James Financial Services, Inc. (collectively 'Raymond James) settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Colurnbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (or substantially equivalent non-fraud based terms unde
s while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' auction rate securities trade confirmations disclosed the risk that auction rate securities auctions could fail and that Raymond James were not obli
James Financial Services, Inc. (collectively 'Raymond James) settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Colurnbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (or substantially equivalent non-fraud based terms unde
s while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' auction rate securities trade confirmations disclosed the risk that auction rate securities auctions could fail and that Raymond James were not obli
James Financial Services, Inc. (collectively 'Raymond James) settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Colurnbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (or substantially equivalent non-fraud based terms unde
s while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' auction rate securities trade confirmations disclosed the risk that auction rate securities auctions could fail and that Raymond James were not obli
d James Financial Services, Inc. (collectively Raymond James) settled with most of the states, Puerto Rico, the Virgin Islands, and the District of Colurnbia allegations that they failed to supervise and/or engaged in dishonest or unethical practices (or substantially equivalent non-fraud based terms unde
Entities connected to both Raymond James' and Colurnbia

Puerto Rico
LOCATION
Credit Suisse
ORGANIZATION
New York State
LOCATIONCREDIT SUISSE SECURITIES (USA) LLC
ORGANIZATIONthe North American Securities Administrators
ORGANIZATION