First Midstate Incorporated |
|
|
2016 |
SEC |
$100,000 |
Barclays Capital Inc. |
Barclays |
financial services |
2016 |
SEC |
$500,000 |
ARRG Corp. |
|
|
2016 |
SEC |
$410,753 |
Equinox Fund Management, LLC |
|
|
2016 |
SEC |
$400,000 |
Everhart Financial Group, Inc. |
|
|
2016 |
SEC |
$305,407 |
SG Americas Securities LLC |
Societe Generale |
financial services |
2015 |
SEC |
$1,011,093 |
KCG Americas LLC |
Virtu Financial |
financial services |
2015 |
SEC |
$1,055,197 |
Canarsie Capital, LLC |
|
|
2015 |
SEC |
$3,494,938 |
DKM Certified Public Accountants, Inc. |
|
|
2015 |
SEC |
$60,043 |
Messineo & Co., CPAs, LLC |
|
|
2015 |
SEC |
$25,000 |
Bander Law Firm, PLLC |
|
|
2015 |
SEC |
$273,184 |
Azarmehr Law Group |
|
|
2015 |
SEC |
$57,965 |
Alpha Fiduciary, Inc. |
|
|
2015 |
SEC |
$250,000 |
Cranshire Capital Advisors, LLC |
|
|
2015 |
SEC |
$250,000 |
JH Partners, LLC |
|
|
2015 |
SEC |
$225,000 |
Virtus Investment Advisers, Inc. |
|
|
2015 |
SEC |
$16,500,000 |
Metis Wealth Advisors, LLC |
|
|
2015 |
SEC |
$71,489 |
Cherokee Investment Partners, LLC and Cherokee Advisers, LLC |
|
|
2015 |
SEC |
$100,000 |
Retirement Investment Advisors, Inc. and Research Holdings, LLC |
|
|
2015 |
SEC |
$219,243 |
Welhouse & Associates, Inc. |
|
|
2015 |
SEC |
$769,059 |
Latour Trading LLC |
|
|
2015 |
SEC |
$8,053,439 |
Edward D. Jones & Co., L.P. |
Jones Financial |
financial services |
2015 |
SEC |
$100,000 |
Duncan-Williams, Inc |
|
|
2015 |
SEC |
$250,000 |
Crews & Associates, Inc. |
|
|
2015 |
SEC |
$250,000 |
Country Club Bank |
|
|
2015 |
SEC |
$140,000 |
Commerce Bank Capital Markets Group |
|
|
2015 |
SEC |
$40,000 |
Comerica Securities, Inc. |
Comerica |
financial services |
2015 |
SEC |
$60,000 |
BB&T Securities, LLC |
Truist Financial |
financial services |
2015 |
SEC |
$200,000 |
Ameritas Investment Corp. |
Ameritas Mutual Holding Company |
financial services |
2015 |
SEC |
$200,000 |
NW Capital Markets Inc. |
|
|
2015 |
SEC |
$100,000 |
Northland Securities, Inc. |
|
|
2015 |
SEC |
$220,000 |
Mesirow Financial, Inc. |
|
|
2015 |
SEC |
$100,000 |
Joe Jolly & Co., Inc. |
|
|
2015 |
SEC |
$100,000 |
J.J.B. Hilliard and W.L. Lyons, LLC |
|
|
2015 |
SEC |
$420,000 |
The Frazer Lanier Company, Incorporated |
|
|
2015 |
SEC |
$100,000 |
Fifth Third Securities, Inc. |
Fifth Third Bancorp |
financial services |
2015 |
SEC |
$20,000 |
Estrada Hinojosa & Company, Inc. |
|
|
2015 |
SEC |
$40,000 |
U.S. Bank Municipal Securities Group |
U.S. Bancorp |
financial services |
2015 |
SEC |
$60,000 |
UMB Bank N.A. Investment Banking Division |
UMB Financial Corp. |
financial services |
2015 |
SEC |
$420,000 |
UBS Financial Services Inc. |
UBS |
financial services |
2015 |
SEC |
$480,000 |
Ross, Sinclaire & Associates, LLC |
|
|
2015 |
SEC |
$220,000 |
Prager & Co., LLC |
|
|
2015 |
SEC |
$100,000 |
PNC Capital Markets LLC |
PNC Financial Services |
financial services |
2015 |
SEC |
$500,000 |
Hyperdynamics Corporation |
|
|
2015 |
SEC |
$75,000 |
G Asset Management, LLC |
|
|
2015 |
SEC |
$175,000 |
R.T. Jones Capital Equities Management, Inc. |
|
|
2015 |
SEC |
$75,000 |
Ditto Holdings, Inc. |
|
|
2015 |
SEC |
$50,000 |
Mackensen & Company, Inc. |
|
|
2015 |
SEC |
$100,000 |
Success Trade, Inc. and Success Trade Securities, Inc. |
|
|
2015 |
SEC |
$26,158,214 |
Signator Investors, Inc. |
|
|
2015 |
SEC |
$450,000 |
Acadia Asset Management, LLC |
|
|
2015 |
SEC |
$354,115 |
Tri-Star Advisors, Inc. |
|
|
2015 |
SEC |
$150,000 |
Parallax Investments, LLC |
|
|
2015 |
SEC |
$200,000 |
Gold Mountain Management, LLC |
|
|
2015 |
SEC |
$200,000 |
Montgomery Street Research, LLC |
|
|
2015 |
SEC |
$342,718 |
Dion Money Management, LLC |
|
|
2015 |
SEC |
$50,000 |
Macquarie Capital Investment Management LLC, et al |
Macquarie |
financial services |
2015 |
SEC |
$120,000 |
Wisteria Global, Inc. |
|
|
2015 |
SEC |
$1,138,935 |
Cotterman-Wilson CPAs, Inc |
|
|
2015 |
SEC |
$36,897 |
Pekin Singer Strauss Asset Management Inc |
|
|
2015 |
SEC |
$150,000 |
Commonwealth Capital Management, LLC, et al. |
|
|
2015 |
SEC |
$50,000 |
SFX Financial Advisory Management Enterprises, Inc. |
|
|
2015 |
SEC |
$150,000 |
Trust & Investment Advisors, Inc. |
|
|
2015 |
SEC |
$50,000 |
Alpha Titans LLC |
|
|
2015 |
SEC |
$698,450 |
Houston American Energy Corp. |
|
|
2015 |
SEC |
$400,000 |
StateTrust Investments, Inc. |
|
|
2015 |
SEC |
$90,000 |
Kornitzer Capital Management, Inc. |
|
|
2015 |
SEC |
$50,000 |
KBR, Inc. |
KBR |
construction and engineering |
2015 |
SEC |
$130,000 |
Global Fixed Income, LLC, et al. |
|
|
2015 |
SEC |
$3,385,989 |
Keypoint Capital Management, LLC |
|
|
2015 |
SEC |
$77,250 |
Coral Reef Media, LLC |
|
|
2015 |
SEC |
$52,395 |
Stilwell Value LLC |
|
|
2015 |
SEC |
$250,000 |
SMP Investments I, LLC |
|
|
2015 |
SEC |
$63,750 |
Water Island Capital LLC |
|
|
2015 |
SEC |
$50,000 |
Child, Van Wagoner & Bradshaw, PLLC |
|
|
2015 |
SEC |
$130,506 |
New Line Capital, LLC |
|
|
2015 |
SEC |
$25,000 |
Wyoming Investment Management Services, LLC |
|
|
2015 |
SEC |
$10,000 |
International Capital Group, LLC |
|
|
2015 |
SEC |
$3,170,054 |
First National Community Bancorp Inc |
|
|
2015 |
SEC |
$175,000 |
Consulting Services Group, LLC |
|
|
2015 |
SEC |
$150,000 |
Shelton Financial Group, Inc. |
|
|
2015 |
SEC |
$190,066 |
EDGA Exchange, Inc. and EDGX Exchange, Inc. |
|
|
2015 |
SEC |
$14,000,000 |
Voya Holdings Inc. |
Voya Financial |
financial services |
2018 |
SEC |
$3,600,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc |
Bank of America |
financial services |
2018 |
SEC |
$1,404,000 |
New York Stock Exchange |
IntercontinentalExchange Group |
financial services |
2018 |
SEC |
$14,000,000 |
Edwin Shaw LLC |
|
|
2018 |
SEC |
$544,744 |
Deutsche Bank Securities Inc. |
Deutsche Bank |
financial services |
2018 |
SEC |
$4,450,000 |
Ameriprise Financial Services |
Ameriprise Financial |
financial services |
2018 |
SEC |
$230,000 |
Dedicated Sound and Audio, Inc. |
|
|
2018 |
SEC |
$250,000 |
Choice Equity |
|
|
2018 |
SEC |
$2,430,850 |
Southridge Capital Management LLC and Southridge Advisors LLC |
|
|
2018 |
SEC |
$7,864,064 |
Capital Cove Bancorp LLC |
|
|
2018 |
SEC |
$1,829,868 |
PNC Investments LLC |
PNC Financial Services |
financial services |
2018 |
SEC |
$7,307,770 |
Securities America Advisors Inc. |
Reverence Capital Partners |
private equity (including portfolio companies) |
2018 |
SEC |
$5,828,448 |
Geneos Wealth Management Inc. |
|
|
2018 |
SEC |
$1,808,121 |
CSIR Group, LLC |
|
|
2018 |
SEC |
$17,142 |
Verto Capital Management LLC |
|
|
2018 |
SEC |
$620,594 |
Electronic Transaction Clearing Inc. |
|
|
2018 |
SEC |
$80,000 |
Eureeca Capital SPC |
|
|
2014 |
SEC |
$25,000 |
Clean Energy Capital, LLC |
|
|
2014 |
SEC |
$2,246,030 |
Rothman Securities, Inc. |
|
|
2014 |
SEC |
$90,000 |