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Document Mentions (5 shared documents)
2 mentions1 same-page
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arties. Parts of the Dodd-Frank Act, such as the "Volcker Rule," may affect the number and type of partic
S while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' ARS trade confirmations disclosed the risk that ARS auctions could fail and that Raymond James were not obliged to ensure their success, at the p
2 mentions1 same-page
Page ?Same page
arties. Parts of the Dodd-Frank Act, such as the "Volcker Rule," may affect the number and type of partic
S while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' ARS trade confirmations disclosed the risk that ARS auctions could fail and that Raymond James were not obliged to ensure their success, at the p
2 mentions1 same-page
Page ?Same page
arties. Parts of the Dodd-Frank Act, such as the "Volcker Rule," may affect the number and type of partic
S while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' ARS trade confirmations disclosed the risk that ARS auctions could fail and that Raymond James were not obliged to ensure their success, at the p
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2 mentions1 same-page
Page ?Same page
arties. Parts of the Dodd-Frank Act, such as the "Volcker Rule," may affect the number and type of partic
S while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' ARS trade confirmations disclosed the risk that ARS auctions could fail and that Raymond James were not obliged to ensure their success, at the p
2 mentions1 same-page
Page ?Same page
arties. Parts of the Dodd-Frank Act, such as the "Volcker Rule," may affect the number and type of partic
S while not accurately characterizing or while failing to adequately disclose the true nature and risks associated with these investments. Although Raymond James' ARS trade confirmations disclosed the risk that ARS auctions could fail and that Raymond James were not obliged to ensure their success, at the p
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Mutual Connections (89)
Entities connected to both Paul Volcker and Raymond James'
Eric Holder
PERSON94 w/ Paul·5 w/ Raymond
U.S. Virgin Islands
LOCATION84 w/ Paul·5 w/ Raymond
Puerto Rico
LOCATION7 w/ Paul·41 w/ Raymond
United States
LOCATION37 w/ Paul·5 w/ Raymond
Access Fund
ORGANIZATION19 w/ Paul·18 w/ Raymond
Glendower
LOCATION24 w/ Paul·10 w/ Raymond
United Kingdom
LOCATION19 w/ Paul·10 w/ Raymond
New Market Structure Requirements Applicable to Derivatives
ORGANIZATION24 w/ Paul·5 w/ Raymond
the Securities and Exchange Commission
ORGANIZATION4 w/ Paul·23 w/ Raymond
Prince Charles
PERSON19 w/ Paul·5 w/ Raymond
Denmark
LOCATION12 w/ Paul·10 w/ Raymond
Finland
LOCATION10 w/ Paul·10 w/ Raymond
Credit Suisse
ORGANIZATION2 w/ Paul·18 w/ Raymond
the U.S. Investment Company Act
ORGANIZATION9 w/ Paul·10 w/ Raymond
European Union
ORGANIZATION9 w/ Paul·10 w/ Raymond
Norway
LOCATION12 w/ Paul·5 w/ Raymond
Belgium
LOCATION11 w/ Paul·5 w/ Raymond
Luxembourg
LOCATION11 w/ Paul·5 w/ Raymond
the District of Columbia
LOCATION11 w/ Paul·5 w/ Raymond
Cayman
LOCATION11 w/ Paul·5 w/ Raymond