The document outlines disqualifying events for Solicitors under Section 506(d)(iii)(B) related to violations of securities laws. Solicitors are seeking a waiver from the SEC and have settled with 40 states, Puerto Rico, the Virgin Islands, and the District of Columbia over allegations of failing to supervise and engaging in unethical practices related to auction rate securities (ARS). The document lists the completion dates of settlements with various states.
doj/DataSet10/EFTA01386106.pdf
{"key_people":["Paul Barrett"],"document_type":"legal","key_locations":["Florida","Texas","Indiana","Nevada","Puerto Rico","South Carolina","Alabama","South Dakota","New Jersey","Vermont","Rhode Island","Montana","Tennessee","North Dakota","Idaho","New Mexico","Wyoming"],"document_subtype":"settlement agreement","key_organizations":["Alpha Group Capital","SEC"]}