Deerfield Management Company L.P. |
|
|
2017 |
SEC |
$4,600,000 |
Mintco LLC |
|
|
2017 |
CFTC |
$250,000 |
FTS Financial, Inc. |
|
|
2017 |
CFTC |
$4,800,000 |
Mohlman Asset Management, LLC and Mohlman Asset Management Fund, LLC |
|
|
2017 |
SEC |
$100,937 |
Capital Financial Partners, LLC et al. |
|
|
2017 |
SEC |
$15,700,000 |
Credit Karma, Inc. |
|
|
2018 |
SEC |
$160,000 |
Valor Capital Asset Management, LLC |
|
|
2018 |
SEC |
$715,871 |
Financial Fiduciaries, LLC |
|
|
2018 |
SEC |
$40,000 |
Equitystar Capital Management, LLC |
|
|
2018 |
SEC |
$2,890,518 |
Dynamic Intelligence, Inc. |
|
|
2018 |
SEC |
$228,552 |
Americafirst Capital Management, LLC |
|
|
2018 |
SEC |
$50,000 |
Gemini Fund Services, LLC |
|
|
2018 |
SEC |
$400,000 |
LKL Investment Counsel LLC |
|
|
2018 |
SEC |
$100,000 |
Train, Babcock Advisors LLC |
|
|
2017 |
SEC |
$1,700,725 |
Southwind Associates of NJ, Inc. d/b/a Villafranco Wealth Management |
|
|
2017 |
SEC |
$50,000 |
Packerland Brokerage Services, Inc. and Atlas Capital Management Corp. |
|
|
2017 |
SEC |
$536,886 |
Coastal Equities, Inc. and Coastal Investment Advisors, Inc. |
|
|
2017 |
SEC |
$80,000 |
Horter Investment Management, LLC |
|
|
2017 |
SEC |
$778,804 |
Institutional Investor Advisers, Inc. |
|
|
2017 |
SEC |
$200,000 |
Brahman Capital Corp. |
|
|
2017 |
SEC |
$250,000 |
Gray Financial Group, Inc. |
|
|
2017 |
SEC |
$401,298 |
Millennium Management LLC |
|
|
2017 |
SEC |
$638,709 |
Canterbury Consulting, Inc. |
|
|
2017 |
SEC |
$172,986 |
Loop Capital Markets, LLC |
|
|
2017 |
SEC |
$25,000 |
Success Holding Group International, Inc. |
|
|
2017 |
SEC |
$139,737 |
SIX Financial Information USA Inc. |
|
|
2017 |
SEC |
$107,707 |
LBMZ Securities, Inc. |
|
|
2017 |
SEC |
$240,000 |
VisionPoint Advisory Group, LLC |
|
|
2017 |
SEC |
$45,000 |
360 Financial, Inc. |
|
|
2017 |
SEC |
$40,000 |
TRH Financial LLC |
|
|
2017 |
SEC |
$35,000 |
Sagent Wealth Management, LLC |
|
|
2017 |
SEC |
$181,110 |
Platinum Equity Advisors, LLC |
|
|
2017 |
SEC |
$3,402,132 |
Howarth Financial Services, LLC |
|
|
2017 |
SEC |
$203,444 |
JL Capital Management |
|
|
2017 |
SEC |
$278,289 |
Potomac Asset Management Company, Inc |
|
|
2017 |
SEC |
$300,000 |
Envoy Advisory, Inc. |
|
|
2017 |
SEC |
$51,892 |
Municipal Finance Services, Inc. |
|
|
2017 |
SEC |
$50,000 |
O'Connor & Company Securities, Inc. |
|
|
2017 |
SEC |
$150,000 |
Vertical Capital Asset Management, LLC |
|
|
2017 |
SEC |
$9,034,957 |
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd. |
|
|
2017 |
SEC |
$4,400,000 |
Institutional Investors Advisory Company |
|
|
2017 |
SEC |
$843,187 |
Capital Dynamics, Inc. |
|
|
2017 |
SEC |
$275,000 |
Coachman Energy Partners LLC |
|
|
2017 |
SEC |
$941,507 |
Cadaret and Grant & Co., Inc. |
|
|
2017 |
SEC |
$3,048,000 |
Columbia River Advisors, LLC |
|
|
2017 |
SEC |
$80,000 |
Windsor Street Capital, L.P. fka Meyers Associates |
|
|
2017 |
SEC |
$200,000 |
Bradway Financial, LLC and Bradway Capital Management, LLC |
|
|
2017 |
SEC |
$150,000 |
Umbrella Research, LLC |
|
|
2017 |
SEC |
$16,676 |
Paramount Group Real Estate Advisor LLC |
|
|
2017 |
SEC |
$250,000 |
Landwin Management, LLC |
|
|
2017 |
SEC |
$75,000 |
Bantry Bay Capital, LLC |
|
|
2017 |
SEC |
$100,000 |
Resilience Management, LLC |
|
|
2017 |
SEC |
$250,000 |
Wm Smith & Co. |
|
|
2017 |
SEC |
$50,000 |
Bonwick Capital Partners, LLC |
|
|
2017 |
SEC |
$50,000 |
New York REIT, Inc. and New York Recovery Advisors, LLC |
|
|
2017 |
SEC |
$165,000 |
Windsor Street Capital, L.P. fka Meyers Associates |
|
|
2017 |
SEC |
$10,000 |
Tellone Management Group, Inc. |
|
|
2017 |
SEC |
$75,000 |
Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc. |
|
|
2017 |
SEC |
$22,614,534 |
William Blair & Company, L.L.C. |
|
|
2017 |
SEC |
$4,500,000 |
Lebenthal & Co., LLC |
|
|
2017 |
SEC |
$150,000 |
Wilson-Davis & Company, Inc. |
|
|
2017 |
SEC |
$310,713 |
Lion Biotechnologies, Inc. |
|
|
2017 |
SEC |
$100,000 |
Lawson Financial Corporation |
|
|
2017 |
SEC |
$396,652 |
Cygs, LLC |
|
|
2017 |
SEC |
$60,879 |
Covenant Financial Services, LLC |
|
|
2017 |
SEC |
$144,845 |
Louis Capital Markets, LP |
|
|
2017 |
SEC |
$2,500,000 |
MKJJ Consulting LLC |
|
|
2017 |
SEC |
$2,973,916 |
Angel Oak Capital Partners, LLC |
|
|
2017 |
SEC |
$3,666,370 |
Lone Star Value Management and Heartland Advisors |
|
|
2017 |
SEC |
$300,000 |
Jaypee International, Inc. |
|
|
2017 |
SEC |
$25,000 |
Jeffrey Slocum & Associates, Inc. |
|
|
2017 |
SEC |
$300,000 |
Olde Monmouth Stock Transfer Co., Inc. |
|
|
2017 |
SEC |
$126,183 |
Palestra Capital Management LLC |
|
|
2017 |
SEC |
$180,968 |
Mer Telemanagement Solutions Ltd. |
|
|
2017 |
SEC |
$50,000 |
Centre Partners Management, LLC |
|
|
2017 |
SEC |
$50,000 |
Essex Financial Services, Inc. |
|
|
2017 |
SEC |
$183,181 |
Berman & Company, P.A. |
|
|
2017 |
SEC |
$25,000 |
Empire Stock Transfer, Inc. |
|
|
2016 |
SEC |
$154,239 |
M2 Law Professional Corp. |
|
|
2016 |
SEC |
$154,267 |
TPG Advisors LLC |
|
|
2016 |
SEC |
$328,437 |
New Silk Route Advisors, L.P. |
|
|
2016 |
SEC |
$275,000 |
Grassi & Co., CPAs and P.C. |
|
|
2016 |
SEC |
$401,510 |
PMB Helin Donovan, LLP |
|
|
2016 |
SEC |
$160,000 |
OTC Global Partners, LLC |
|
|
2016 |
SEC |
$87,499 |
Henning-Carey Proprietary Trading, LLC |
|
|
2016 |
SEC |
$110,000 |
Hope Capital, Inc. |
|
|
2016 |
SEC |
$579,747 |
Dupree Financial Group, LLC |
|
|
2016 |
SEC |
$25,000 |
Elray Resources, Inc. |
|
|
2016 |
SEC |
$50,000 |
Moloney Securities Co., Inc. |
|
|
2016 |
SEC |
$41,500 |
Altair Nanotechnologies, Inc. |
|
|
2016 |
SEC |
$250,000 |
Connexus Corporation |
|
|
2016 |
SEC |
$50,000 |
Aviva Investors Americas, LLC |
|
|
2016 |
SEC |
$250,000 |
Wilmington Savings Fund Society, FSB |
|
|
2016 |
SEC |
$375,000 |
3C Advisors & Associates, Inc. |
|
|
2016 |
SEC |
$7,500 |
First Reserve Management, L.P. |
|
|
2016 |
SEC |
$3,500,000 |
Orinda Asset Management, LLC |
|
|
2016 |
SEC |
$75,000 |
AssetMark, Inc. |
|
|
2016 |
SEC |
$500,000 |
Congress Wealth Management LLC |
|
|
2016 |
SEC |
$100,000 |
Constellation Wealth Advisors LLC |
|
|
2016 |
SEC |
$100,000 |
Risk Paradigm Group, LLC |
|
|
2016 |
SEC |
$100,000 |
Executive Monetary Management, LLC |
|
|
2016 |
SEC |
$100,000 |