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Document Mentions (10 shared documents)
2 mentions1 same-page
Page ?Same page
it Suisse: in September 2008. Credit Suisse Securities (USA) LLC (CSSU') reached an agreement with the New York State Attorney General's Office and the North American Securities Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreeme
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
2 mentions1 same-page
Page ?Same page
it Suisse: in September 2008. Credit Suisse Securities (USA) LLC (CSSU') reached an agreement with the New York State Attorney General's Office and the North American Securities Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreeme
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
2 mentions1 same-page
Page ?Same page
t Suisse: "In September 2008. Credit Suisse Securities (USA) LLC (CSSU') reached an agreement with the New York State Attorney General's Office and the North American Securities Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.' Pursuant to that agreeme
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
Sponsored
2 mentions1 same-page
Page ?Same page
it Suisse: in September 2008. Credit Suisse Securities (USA) LLC (CSSU') reached an agreement with the New York State Attorney General's Office and the North American Securities Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreeme
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
2 mentions1 same-page
Page ?Same page
it Suisse: in September 2008. Credit Suisse Securities (USA) LLC (CSSU') reached an agreement with the New York State Attorney General's Office and the North American Securities Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreeme
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
2 mentions1 same-page
Page ?Same page
it Suisse: in September 2008. Credit Suisse Securities (USA) LLC (CSSU') reached an agreement with the New York State Attorney General's Office and the North American Securities Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreeme
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
Sponsored
2 mentions1 same-page
Page ?Same page
it Suisse: in September 2008. Credit Suisse Securities (USA) LLC (CSSU') reached an agreement with the New York State Attorney General's Office and the North American Securities Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreeme
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
2 mentions1 same-page
Page ?Same page
t Suisse: in September 2008. Credit Suisse Securities (USA) LLC ('CSSU') reached an agreement with the New York State Attorney General's Office and the North American Securities Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreeme
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
2 mentions1 same-page
Page ?Same page
Suisse: "In September 2008. Credit Suisse Securities (USA) LLC ('CSSU') reached an agreement with the New York State Attorney General's Office and the North American Securities Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.' Pursuant to that agreeme
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
Sponsored
2 mentions1 same-page
Page ?Same page
it Suisse: in September 2008. Credit Suisse Securities (USA) LLC (CSSU') reached an agreement with the New York State Attorney General's Office and the North American Securities Administrators Association Task Force to settle investigations concerning investment products generally known as 'auction rate securities.* Pursuant to that agreeme
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
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Mutual Connections (6)
Entities connected to both the North American Securities Administrators and Colurnbia
Puerto Rico
LOCATION17 w/ the·10 w/ Colurnbia
Credit Suisse
ORGANIZATION17 w/ the·10 w/ Colurnbia
New York State
LOCATION17 w/ the·10 w/ Colurnbia
CREDIT SUISSE SECURITIES (USA) LLC
ORGANIZATION17 w/ the·10 w/ Colurnbia
RJ
Raymond James'
PERSON13 w/ the·7 w/ Colurnbia
HBRK Associates
ORGANIZATION4 w/ the·3 w/ Colurnbia