Mercury Capital |
|
|
2012 |
SEC |
$45,747 |
1st Discount Brokerage, Inc. |
|
|
2012 |
SEC |
$40,000 |
AXA Advisors, LLC |
Equitable Holdings |
financial services |
2012 |
SEC |
$100,000 |
Investment Placement Group |
|
|
2011 |
SEC |
$4,072,027 |
Touradji Capital Management, L.P. |
|
|
2011 |
SEC |
$1,303,336 |
Hanes Morgan & Co., Inc |
|
|
2011 |
SEC |
$100,000 |
Feltl & Company, Inc. |
|
|
2011 |
SEC |
$203,172 |
Asset Advisors, LLC |
|
|
2011 |
SEC |
$20,000 |
FTN Financial Securities Corp. |
|
|
2011 |
SEC |
$1,873,636 |
Pipeline Trading Systems LLC |
|
|
2011 |
SEC |
$1,000,000 |
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC |
Credit Suisse |
financial services |
2011 |
SEC |
$2,500,000 |
Gilford Securities, Incorporated |
|
|
2011 |
SEC |
$612,113 |
Global Sentry Equity Transfer, Inc. |
|
|
2011 |
SEC |
$375,000 |
Fontana Capital, LLC |
|
|
2011 |
SEC |
$984,790 |
Brookside Capital, LLC |
|
|
2011 |
SEC |
$2,124,079 |
Level Global Investors, L.P. |
|
|
2011 |
SEC |
$3,244,171 |
Pegasus Investment Management, LLC |
|
|
2011 |
SEC |
$95,469 |
Wunderlich Securities, Inc. |
|
|
2011 |
SEC |
$532,624 |
Legend Securities, Inc. |
|
|
2011 |
SEC |
$50,000 |
Aristeia Capital, LLC |
|
|
2011 |
SEC |
$1,762,776 |
JSK Associates, Inc. |
|
|
2011 |
SEC |
$60,000 |
Securities Transfer Corporation |
|
|
2011 |
SEC |
$10,000 |
Envision Capital Management, Ltd. |
|
|
2011 |
SEC |
$100,000 |
Alpine Woods Capital Investors, LLC |
|
|
2011 |
SEC |
$650,000 |
Horseman Capital Management, L.P.? |
|
|
2011 |
SEC |
$1,484,952 |
BNY Mellon Securities LLC |
Bank of New York Mellon |
financial services |
2011 |
SEC |
$24,045,447 |
American Pegasus LDG, LLC and American Pegasus Investment Management, Inc. |
|
|
2010 |
SEC |
$850,000 |
Gartmore Investment Limited |
|
|
2010 |
SEC |
$1,347,251 |
New Castle Funds LLC |
|
|
2010 |
SEC |
$293,064 |
World Group Securities, Inc. |
Aegon |
financial services |
2010 |
SEC |
$200,000 |
The Buckingham Research Group, Inc. and Buckingham Capital Management |
|
|
2010 |
SEC |
$125,000 |
Sands Brothers Asset Management LLC |
|
|
2010 |
SEC |
$60,000 |
Ark Asset Management Co., Inc. |
|
|
2010 |
SEC |
$750,000 |
Valentine Capital Asset Management, Inc.? |
|
|
2010 |
SEC |
$432,007 |
Carlson Capital, L.P. |
|
|
2010 |
SEC |
$2,653,234 |
Sierra Financial Advisors, LLC |
|
|
2010 |
SEC |
$14,599 |
LACE Financial Corp. |
|
|
2010 |
SEC |
$20,000 |
Pinnacle Capital Markets LLC |
|
|
2010 |
SEC |
$25,000 |
Spencer International Advisors, Inc. |
|
|
2010 |
SEC |
$75,000 |
Appaloosa Management L.P. |
|
|
2010 |
SEC |
$1,304,523 |
Goldman Sachs Execution & Clearing, L.P. |
Goldman Sachs |
financial services |
2010 |
SEC |
$225,000 |
Haberman Value Fund, L.P. |
|
|
2010 |
SEC |
$263,443 |
Southwest Securities, Inc. |
Hilltop Holdings |
financial services |
2010 |
SEC |
$470,147 |
GPS Partners, LLC |
|
|
2010 |
SEC |
$1,284,171 |
Prime Capital Services, Inc. |
|
|
2010 |
SEC |
$144,262 |
Warrior Fund LLC |
|
|
2010 |
SEC |
$221,384 |
Axiom Capital Management, Inc. |
|
|
2010 |
SEC |
$60,000 |
Moody's Investors Service, Inc. |
Moody's |
information technology |
2018 |
SEC |
$1,250,000 |
Moody's Investors Service, Inc. |
Moody's |
information technology |
2018 |
SEC |
$15,000,000 |
AEGON USA Investment Management LLC et al. |
Aegon |
financial services |
2018 |
SEC |
$97,600,000 |
First Western Advisors |
|
|
2018 |
SEC |
$202,767 |
Intertech Solutions, Inc. |
|
|
2018 |
SEC |
$7,400,000 |
Merrill Lynch, Pierce, Fenner & Smith |
Bank of America |
financial services |
2018 |
SEC |
$8,900,000 |
Ameriprise Financial Services Inc. |
Ameriprise Financial |
financial services |
2018 |
SEC |
$4,500,000 |
NW Capital Markets Inc. |
|
|
2018 |
SEC |
$87,065 |
Ribbon Communications Inc. (fka Sonus Networks) |
Ribbon Communications |
telecommunications |
2018 |
SEC |
$1,900,000 |
Mizuho Securities USA LLC |
Mizuho Financial |
financial services |
2018 |
SEC |
$1,250,000 |
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc. |
Deutsche Bank |
financial services |
2018 |
SEC |
$73,200,000 |
Morgan Stanley Smith Barney |
Morgan Stanley |
financial services |
2018 |
SEC |
$3,600,000 |
Alexander Capital L.P. |
|
|
2018 |
SEC |
$410,987 |
Wells Fargo Advisors LLC |
Wells Fargo |
financial services |
2018 |
SEC |
$5,108,441 |
Merrill Lynch, Pierce, Fenner & Smith |
Bank of America |
financial services |
2018 |
SEC |
$42,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. |
Bank of America |
financial services |
2018 |
SEC |
$15,700,000 |
deVere USA, Inc. |
|
|
2018 |
SEC |
$8,000,000 |
Bachrach Asset Management Inc. |
|
|
2018 |
SEC |
$75,000 |
Biglari Capital LLC |
Biglari Holdings |
diversified |
2018 |
SEC |
$75,000 |
Brahma Management Ltd. |
|
|
2018 |
SEC |
$75,000 |
Bristol Group Inc. |
|
|
2018 |
SEC |
$75,000 |
CAI Managers & Co. L.P. |
|
|
2018 |
SEC |
$75,000 |
Cherokee Investment Partners LLC |
|
|
2018 |
SEC |
$75,000 |
Ecosystem Investment Partners LLC |
|
|
2018 |
SEC |
$75,000 |
Elm Partners Management LLC |
|
|
2018 |
SEC |
$75,000 |
HEP Management Corp. |
|
|
2018 |
SEC |
$75,000 |
Prescott General Partners LLC |
|
|
2018 |
SEC |
$75,000 |
RLJ Equity Partners LLC |
|
|
2018 |
SEC |
$75,000 |
Rose Park Advisors LLC |
|
|
2018 |
SEC |
$75,000 |
Veteri Place Corp. |
|
|
2018 |
SEC |
$75,000 |
Industrial and Commercial Bank of China Financial Services LLC |
Industrial and Commercial Bank of China |
financial services |
2018 |
SEC |
$860,000 |
Barcelona Strategies LLC |
|
|
2018 |
SEC |
$542,120 |
Visium Asset Management LP |
|
|
2018 |
SEC |
$10,120,711 |
Moon River Studios, Inc. |
|
|
2018 |
SEC |
$1,824,368 |
Guardians Trustee, LLC |
|
|
2018 |
SEC |
$179,253 |
Charles Schwab & Co., Inc. |
Charles Schwab Corp. |
financial services |
2018 |
SEC |
$2,800,000 |
Malachi Financial Products, Inc. |
|
|
2018 |
SEC |
$85,858 |
Texas Coastal Energy Company |
|
|
2018 |
SEC |
$7,200,000 |
Aria Partners GP, LLC |
|
|
2018 |
SEC |
$150,000 |
Biltmore Wealth Management, LLC |
|
|
2018 |
SEC |
$183,043 |
Merrill Lynch, Pierce and Fenner & Smith Incorporated |
Bank of America |
financial services |
2018 |
SEC |
$8,872,723 |
BKS Advisors LLC |
|
|
2018 |
SEC |
$75,000 |
Lockwood Advisors, Incorporated |
|
|
2018 |
SEC |
$200,000 |
Hamlin Capital Management, LLC? |
|
|
2018 |
SEC |
$900,000 |
Knowledge Leaders Capital, LLC |
|
|
2018 |
SEC |
$50,000 |
Sycamore Lane Partners LLC |
|
|
2018 |
SEC |
$134,042 |
Beverly Hills Wealth Management, LLC |
|
|
2018 |
SEC |
$100,000 |
New Silk Route Advisors, L.P. |
|
|
2018 |
SEC |
$75,000 |
Mount Kellett Capital Management LP? |
|
|
2018 |
SEC |
$160,000 |
Genesis Associates Limited Partnership |
|
|
2018 |
SEC |
$50,000 |
FP Resources USA Inc |
|
|
2018 |
SEC |
$92,383 |
Lobster Point Holdings Limited |
|
|
2018 |
SEC |
$92,383 |
HBA Advisors, LLC |
|
|
2018 |
SEC |
$15,000 |
Oaktree Capital Management, L.P. |
Oaktree Capital Management |
private equity (including portfolio companies) |
2018 |
SEC |
$100,000 |