EFTA01386062.pdf PDF
State's Attorney General has the power to bring such claims resulting from the sale or negotiation of any securities or commodities, and that there is no private right of action. (Defs.' Mem. Of Law in Support of Mot. To…
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EFTA01363905.pdf PDF
Exclusive: New York attorney general seeks information on financier Epstein's philanthro... Page 2 of 4 By David Ingram I NEW YORK WATCH UVE: erolosten norsti.n...LpieLi :nn , . , ., The New York AttorseyGenerat'srOthce hasntenNetters to-the charitablefoundation of' financier…
EFTA01399438.pdf PDF
…considered by the CAF: Sherman Financial Group — RDC alert, 5/2014 — Press release from NY State Attorney General detailing a settlement due to filing debt collection actions outside of the required statute of limitations, $175K (see "RDC Sherman NY" attached) …
EFTA01356767.pdf PDF
…debt 8. Reputational risk(s) identified 1) Sherman Financial Group— RDC alert re: NY Settlement • On 5/9/2014 SFG settled with the NY Attorney General on what were considered improper debt collection actions, given they were filed with the…
EFTA01659878.pdf PDF
…680-8600 (213) 680-8440 www.kirkland.com kstarrekirklend.com November 28, 2007 VIA FACSIMILE Honorable Assistant Attorney General Department of Justice Criminal Division 950 Penns lvania…
EFTA01452014.pdf PDF
…pay $87.5 million. Further, in December of 2006, Deutsche Asset Management DA Management') settled proceedings with the New York Attorney General and the Illinois Security Department on behalf of Deutsche Investment Management Americas Inc. and Deutsche Asset Management. Inc…
EFTA01394829.pdf PDF
…by the CAF: 1) Sherman Financial Group — RDC alert, 5/2014 — Press release from NY State Attorney General detailing a settlement due to filing debt collection actions outside of the required statute of limitations, $175K (see "RDC Sherman_NY" attached) …
EFTA01733925.pdf PDF
…free pass to leave the premises for work State Attorney agreed to charge him "only with one count of aggravated assault with no intent to commit a felony: U.S. Attorney General's office Would serve time in a federal…
EFTA01354738.pdf PDF
…General Partner with respect to the offering of interests. The following is a description of such matters that relate to Credit Suisse: in September 2008. Credit Suisse Securities (USA) LLC (CSSU') reached an agreement with the New York State Attorney…
EFTA01394646.pdf PDF
…General Partner with respect to the offering of interests. The following is a description of such matters that relate to Credit Suisse: in September 2008. Credit Suisse Securities (USA) LLC (CSSU') reached an agreement with the New York State Attorney…
EFTA01452013.pdf PDF
…with the Securities and Exchange Commission, the National Association of Securities Dealers, the New York Stock Exchange and the New York Attorney General, and with other state regulators arising from an investigation of research analyst independence. Under Confidential Private Placement…
EFTA01391449.pdf PDF
…General Partner with respect to the offering of interests. The following is a description of such matters that relate to Credit Suisse: "In September 2008. Credit Suisse Securities (USA) LLC ('CSSU') reached an agreement with the New York State Attorney…
EFTA01391169.pdf PDF
…General Partner with respect to the offering of interests. The following is a description of such matters that relate to Credit Suisse: in September 2008. Credit Suisse Securities (USA) LLC ('CSSU') reached an agreement with the New York State Attorney…
EFTA01364823.pdf PDF
…General Partner with respect to the offering of interests. The following is a description of such matters that relate to Credit Suisse: in September 2008. Credit Suisse Securities (USA) LLC (CSSU') reached an agreement with the New York State Attorney…
EFTA01390207.pdf PDF
…General Partner with respect to the offering of interests. The following is a description of such matters that relate to Credit Suisse: in September 2008. Credit Suisse Securities (USA) LLC (CSSU') reached an agreement with the New York State Attorney…
EFTA01389827.pdf PDF
…General Partner with respect to the offering of interests. The following is a description of such matters that relate to Credit Suisse: in September 2008. Credit Suisse Securities (USA) LLC ('CSSU') reached an agreement with the New York State Attorney…
EFTA01393676.pdf PDF
…General Partner with respect to the offering of interests. The following is a description of such matters that relate to Credit Suisse: in September 2008. Credit Suisse Securities (USA) LLC ('CSSU') reached an agreement with the New York State Attorney…
EFTA01451518.pdf PDF
…Securities and Exchange Commission, the National Association of Securities Dealers, the New York Stock Exchange and the New York Attorney General, and with other state regulators arising from an investigation of research analyst independence. Under the terms of the settlement…
EFTA01392104.pdf PDF
…General Partner with respect to the offering of interests. The following is a description of such matters that relate to Credit Suisse: in September 2008. Credit Suisse Securities (USA) LLC (CSSU') reached an agreement with the New York State Attorney…
EFTA01392470.pdf PDF
…General Partner with respect to the offering of interests. The following is a description of such matters that relate to Credit Suisse: in September 2008. Credit Suisse Securities (USA) LLC (CSSU') reached an agreement with the New York State Attorney…
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