Lex 1 The Four Funds / Third Albany Income Notes LLC / First Independent Income Notes LLC / First Advisory Income Notes LLC / First Excelsior Income Notes LLC / /
Country
United States / /
Currency
pence / USD / /
Event
M&A / /
Organization
SECURITIES AND EXCHANGE COMMISSION Washington / D.C. / U.S. Securities and Exchange Commission / Division of Enforcement / /
Person
Clifton Park / BRIAN T. MAYER / FRANK H. CHIAPPONE / WILLIAM P. GAMELLO / PHILIP S. RABINOVICH / Donald J. Anthony / THOMAS E. LIVINGSTON / DONALD J. ANTHONY / JR. / RICHARD D. FELDMANN / ANDREW G. GUZZETTI / RYAN C. ROGERS / WILLIAM F. LEX / Brenda P. Murray / Administrative Law Judge / /
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.CADMINISTRATIVE PROCEEDINGS RULINGS Release NoApril 9, 2015