Omega Protein Corporation |
Cooke Inc. |
food products |
2019 |
SEC |
$400,000 |
School Services of California, Inc. |
|
|
2019 |
SEC |
$10,000 |
Spring Hill Capital Markets, LLC, et al. |
|
|
2019 |
SEC |
$485,803 |
State Street Bank and Trust Company |
State Street Corp. |
financial services |
2019 |
SEC |
$88,780,000 |
The Kane Capital Investment Group, LLC |
|
|
2019 |
CFTC |
$1,232,510 |
The Options Clearing Corporation |
|
|
2019 |
SEC |
$15,000,000 |
The Parrish Group, LLC |
|
|
2019 |
SEC |
$184,767 |
TherapeuticsMD Inc. |
|
|
2019 |
SEC |
$200,000 |
Third Point LLC |
|
|
2019 |
FTC |
$609,810 |
Toshiba Corporation |
Toshiba |
electrical and electronic equipment |
2019 |
FTC |
$2,500,000 |
Vision Financial Markets LLC |
|
|
2019 |
CFTC |
$200,000 |
Wedbush Securities Inc. |
Wedbush Securities |
financial services |
2019 |
SEC |
$8,100,000 |
Zilmil, Inc. |
|
|
2019 |
CFTC |
$22,854,289 |
BGC Financial, L.P. |
BGC Partners |
financial services |
2019 |
CFTC |
$3,000,000 |
Wells Fargo Bank, N.A. |
Wells Fargo |
financial services |
2019 |
CFTC |
$14,475,000 |
Mitsubishi Corporation RtM Japan Ltd. |
Mitsubishi Group |
diversified |
2019 |
CFTC |
$500,000 |
Tower Research Capital LLC |
|
|
2019 |
CFTC |
$67,493,849 |
Silver Star FX, LLC et al. |
|
|
2019 |
CFTC |
$75,000 |
Blue Bit Banc et al. |
|
|
2019 |
CFTC |
$3,346,405 |
XBT Corp. SARL d/b/a First Global Credit |
|
|
2019 |
CFTC |
$100,000 |
Allied Markets, LLC |
|
|
2019 |
CFTC |
$2,400,000 |
Omega Knight 2, LLC |
|
|
2019 |
CFTC |
$15,257,028 |
Upstream Energy Services LLC |
|
|
2019 |
CFTC |
$75,000 |
Treasury Vault, LLC |
|
|
2019 |
CFTC |
$75,000 |
Fabio Bretas de Freitas and Phy Capital Investments LLC |
|
|
2019 |
CFTC |
$22,986,190 |
BGC Financial, LP |
BGC Partners |
financial services |
2019 |
CFTC |
$15,000,000 |
GFI Securities, LLC |
BGC Partners |
financial services |
2019 |
CFTC |
$10,000,000 |
Mitsubishi International Corporation |
Mitsubishi Group |
diversified |
2019 |
CFTC |
$400,000 |
Belvedere Trading LLC |
|
|
2019 |
CFTC |
$1,100,000 |
Morgan Stanley Capital Group Inc. |
Morgan Stanley |
financial services |
2019 |
CFTC |
$1,500,000 |
PNC Bank, National Association |
PNC Financial Services |
financial services |
2019 |
CFTC |
$300,000 |
Bank of New York Mellon |
Bank of New York Mellon |
financial services |
2019 |
CFTC |
$750,000 |
NatWest Markets Plc |
NatWest Group PLC |
financial services |
2019 |
CFTC |
$850,000 |
Northern Trust Company |
Northern Trust |
financial services |
2019 |
CFTC |
$1,000,000 |
Societe Generale International Limited |
Societe Generale |
financial services |
2019 |
CFTC |
$2,500,000 |
HSBC Bank USA, N.A. |
HSBC |
financial services |
2019 |
CFTC |
$650,000 |
RBC Capital Markets, LLC |
Royal Bank of Canada |
financial services |
2019 |
CFTC |
$5,000,000 |
Classic Energy LLC |
|
|
2019 |
CFTC |
$1,500,000 |
CHS, Inc. |
CHS Inc. |
agribusiness |
2019 |
CFTC |
$500,000 |
Intergrain S.A. |
|
|
2019 |
CFTC |
$175,000 |
Hard Eight Futures, LLC |
|
|
2019 |
CFTC |
$1,750,000 |
ARMKAT LLC |
|
|
2019 |
CFTC |
$140,000 |
Heraeus Metals New York LLC |
Heraeus |
diversified |
2019 |
CFTC |
$130,000 |
Tullett Prebon Americas Inc. |
|
|
2019 |
CFTC |
$13,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Bank of America |
financial services |
2019 |
CFTC |
$300,000 |
Third Point LLC |
|
|
2019 |
DOJ_ANTITRUST |
$609,810 |
Channing Capital Management, LLC |
|
|
2019 |
SEC |
$50,000 |
Portfolio Advisors Alliance |
|
|
2019 |
SEC |
$1,259,721 |
Morgan Stanley Smith Barney LLC |
Morgan Stanley |
financial services |
2019 |
SEC |
$1,545,758 |
Golden California Regional Center, LLC |
|
|
2019 |
SEC |
$50,295,232 |
Capital Source Lending LLC |
|
|
2019 |
SEC |
$5,720,451 |
XBT Corp Sarl dba First Global Credit |
|
|
2019 |
SEC |
$131,952 |
UQM Technologies, Inc. |
Danfoss |
industrial equipment |
2019 |
SEC |
$500,000 |
Northwest Biotherapeutics, Inc. |
|
|
2019 |
SEC |
$250,000 |
Lek Securities Corp. |
|
|
2019 |
SEC |
$1,525,892 |
PlexCorps |
|
|
2019 |
SEC |
$4,911,613 |
Block.one |
|
|
2019 |
SEC |
$24,000,000 |
Bill Few Associates Inc. |
|
|
2019 |
SEC |
$2,398,304 |
Cargile Investment Management Inc. |
|
|
2019 |
SEC |
$70,140 |
Comprehensive Capital Management Inc. |
|
|
2019 |
SEC |
$93,631 |
Equity Services Inc. |
|
|
2019 |
SEC |
$587,017 |
Essex Financial Services Inc. |
|
|
2019 |
SEC |
$645,000 |
Folger Nolan Fleming Douglas Capital Management Inc. |
|
|
2019 |
SEC |
$59,478 |
Henley & Company Wealth Management LLC |
|
|
2019 |
SEC |
$36,866 |
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. |
Hilltop Holdings |
financial services |
2019 |
SEC |
$810,785 |
IC Advisory Services Inc. |
|
|
2019 |
SEC |
$1,195,186 |
Independent Financial Group LLC |
|
|
2019 |
SEC |
$1,426,150 |
Investment Partners Ltd. |
|
|
2019 |
SEC |
$43,384 |
IPG Investment Advisors LLC |
|
|
2019 |
SEC |
$85,294 |
Michigan Advisors Inc. |
|
|
2019 |
SEC |
$327,976 |
Saxony Capital Management LLC |
|
|
2019 |
SEC |
$230,220 |
Wedbush Securities Inc. |
Wedbush Securities |
financial services |
2019 |
SEC |
$1,852,540 |
Founders Financial Securities, LLC |
|
|
2019 |
SEC |
$1,475,465 |
Outset Global LLP |
|
|
2019 |
SEC |
$207,409 |
Virtu Americas LLC |
Virtu Financial |
financial services |
2019 |
SEC |
$1,500,000 |
Nebulous, Inc. |
|
|
2019 |
SEC |
$224,601 |
Mid Atlantic Financial Management, Inc. |
|
|
2019 |
SEC |
$300,000 |
Longfin Corp. |
|
|
2019 |
SEC |
$6,755,848 |
Cutting Edge Business Services, Inc. |
|
|
2019 |
SEC |
$273,336 |
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. |
Bank of Montreal |
financial services |
2019 |
SEC |
$37,980,000 |
Mylan N.V. |
Viatris |
pharmaceuticals |
2019 |
SEC |
$30,000,000 |
Omgeo Matching Services US, LLC |
|
|
2019 |
SEC |
$2,000,000 |
GFI Securities LLC |
BGC Partners |
financial services |
2019 |
SEC |
$4,300,000 |
Harding Advisory LLC |
|
|
2019 |
SEC |
$850,000 |
Pinnacle Companies, LLC |
|
|
2019 |
SEC |
$1,112,000 |
Three Bridge Wealth Advisors, LLC |
|
|
2019 |
SEC |
$60,000 |
Amadeus Wealth Advisors, LLC |
|
|
2019 |
SEC |
$40,000 |
ECP Manager LP |
|
|
2019 |
SEC |
$122,656 |
BrixInvest, LLC |
|
|
2019 |
SEC |
$300,000 |
Cetera Investment Advisers LLC |
|
|
2019 |
SEC |
$185,000 |
Hefren-Tillotson, Inc. |
|
|
2019 |
SEC |
$379,965 |
Strong Investment Management |
|
|
2019 |
SEC |
$1,061,157 |
Strategic Planning Group, Inc. |
|
|
2019 |
SEC |
$200,000 |
PricewaterhouseCoopers LLP |
PricewaterhouseCoopers |
business services |
2019 |
SEC |
$7,944,055 |
HCR Wealth Advisors |
|
|
2019 |
SEC |
$220,000 |
The Bancorp, Inc. |
|
|
2019 |
SEC |
$1,400,000 |
Sigma Planning Corp. |
|
|
2019 |
SEC |
$2,546,718 |
Raymond James & Associates, Inc. et al. |
Raymond James Financial |
financial services |
2019 |
SEC |
$15,000,000 |
Morgan Stanley Smith Barney, LLC |
Morgan Stanley |
financial services |
2019 |
SEC |
$225,000 |
Stifel, Nicolaus & Co., Inc. |
Stifel Financial |
financial services |
2019 |
SEC |
$2,700,000 |
BMO Capital Markets Corp. |
Bank of Montreal |
financial services |
2019 |
SEC |
$1,950,000 |