Illegal Activity
none
Blackmail
none
Date
2013-09-23
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:42
Summary
This document discloses past legal settlements involving Credit Suisse and Raymond James related to auction rate securities, as required by securities regulations. It states that neither firm admitted wrongdoing in the settlements.
Metadata
- Subject
- Certain Legal, ERISA and Tax Considerations
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0100247
- Date
- 2013-09-23
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Credit Suisse Securities (USA) LLC | legal settlement | New York State Attorney General's Office | Credit Suisse settled with the NY Attorney General's Office regarding auction rate securities. |
| Raymond James & Associates, Inc. | legal settlement | States, Puerto Rico, Virgin Islands, District of Columbia | Raymond James settled with multiple states regarding auction rate securities. |
Notable Quotes 2
Under the settlement agreement, CSSU neither admits nor denies wrongdoing.
Under the settlement orders. Raymond James neither admit nor deny wrongdoing
Financial Information
Amounts:5550 million515 million
Assets:
- auction rate securities
Transactions:
- repurchase of auction rate securities
- payment of civil penalties
Public Knowledge
- Context
- The settlements involving Credit Suisse and Raymond James regarding auction rate securities were likely reported in the media at the time.
Legal Compliance
- Disclosure of past legal settlements related to auction rate securities involving Credit Suisse and Raymond James.
Raw Analysis JSON
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Themes
Legal matters/litigationFinancial transactions/money flowBusiness dealings
Organizations 9
GLDUS1 29 OF EnterprisesScotian 9Glendower Capital Secondary Opportunities Fund IV, LPCredit Suisse Securities (USA) LLCNew York State Attorney General's OfficeNorth American Securities Administrators Association Task ForceRaymond James & Associates, Inc.Raymond James Financial Services, Inc.Raymond James
Locations 4
U.S.Puerto RicoVirgin IslandsDistrict of Columbia
Financial Entities 2
Credit SuisseRaymond James
Text Analysis
- Tone
- Informative
- Purpose
- To disclose legal matters related to Credit Suisse and Raymond James as required by Rule 506(e) of Regulation D.
- Significance
- The document discloses past legal settlements involving Credit Suisse and Raymond James related to auction rate securities, which could be relevant to investors.
File Info
- File Name
- EFTA01394249.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:42:59.944927
- DOJ Source
- View on DOJ