Illegal Activity
none
Blackmail
none
Date
2013-09-20
Document Type
letter
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
This letter from Raymond James & Associates and Raymond James Financial Services to an Issuer confirms that they are unaware of any disqualifying events under the Bad Actor Provisions of Rule 506(d) of Regulation D that would prevent them from acting as solicitors. They agree to promptly inform the Issuer if any such events arise in the future.
Metadata
- Subject
- Disclosures by Compensated Solicitors Under Rule 506(d) of Regulation D under the Securities Mt of 1933, as amended
- Sender
- Mark P. Barracca, Vice President, Managing Attorney, RAYMOND JAMES & ASSOCIATES, INC., RAYMOND JAMES FINANCIAL SERVICES, INC.
- Recipients
- Issuer
- Document ID
- DB-SDNY-0087652 SDNY GM_00233836
- Date
- 2013-09-20
Relationships 1
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Raymond James & Associates, Inc. | Business | Issuer | Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. are acting as solicitors for the Issuer. |
Notable Quotes 1
Solicitors agree to inform you promptly should any additional disqualifying events specified in the Bad Actor Provisions apply to Solicitors or any directors, executive officers or any other officers participating in the offerings of the Issuer as specified in the Bad Actor Provisions.
Public Knowledge
- Context
- Standard legal disclosure related to securities offerings.
Legal Compliance
- Compliance with Rule 506(d) of Regulation D under the Securities Act of 1933 (Bad Actor Provisions).
Raw Analysis JSON
click to expand
Themes
Legal matters/litigationBusiness dealingsFinancial transactions/money flowCompliance/regulatory
People 2
Organizations 7
AGP LPAlpha Group CapitalRaymond James & Associates, Inc.Raymond James Financial Services, Inc.Securities Mt of 1933Regulation DSecurities Act of 1933
Locations 1
660 Carillon Parkway Si Peiciaburg. FL 33716
Financial Entities 2
Raymond James & Associates, Inc.Raymond James Financial Services, Inc.
Text Analysis
- Tone
- Professional
- Purpose
- To disclose any potential disqualifying events under Rule 506(d) of Regulation D (Bad Actor Provisions) that might affect Raymond James' ability to act as a solicitor for the Issuer.
- Significance
- This document is a standard disclosure letter required under securities regulations to ensure that solicitors are not subject to any disqualifying events that would prevent them from participating in securities offerings.
File Info
- File Name
- EFTA01386105.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:35.504043
- DOJ Source
- View on DOJ