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 |
EnCap Investments L.P. |
Encap Investments |
private equity (including portfolio companies) |
2018 |
SEC |
$500,000 |
Sofinnova Ventures, Inc. |
|
|
2018 |
SEC |
$120,000 |
Romano Brothers & Company |
|
|
2018 |
SEC |
$15,000 |
Advanced Drainage Systems, Inc. |
Advanced Drainage Systems |
building materials |
2018 |
SEC |
$1,000,000 |
The Dow Chemical Company |
Dow Inc. |
chemicals |
2018 |
SEC |
$1,750,000 |
Beam Suntory Inc. |
Suntory |
beverages |
2018 |
SEC |
$8,181,838 |
THL Managers V, LLC and THL Managers VI, LLC |
|
|
2018 |
SEC |
$6,506,016 |
Aisling Capital LLC |
|
|
2018 |
SEC |
$200,000 |
Grand Teton Capital Management, LLC? |
|
|
2018 |
SEC |
$141,443 |
Cantor Fitzgerald & Co. |
Cantor Fitzgerald |
financial services |
2018 |
SEC |
$1,250,000 |
Bayes Capital, LLC |
|
|
2018 |
SEC |
$300,000 |
Constant Contact, Inc. and Endurance International Group Holdings, Inc. |
Endurance International Group |
business services |
2018 |
SEC |
$8,000,000 |
Lyxor Asset Management, Inc. |
|
|
2018 |
SEC |
$500,000 |
Manhattan Transfer Registrar Company |
|
|
2018 |
SEC |
$52,493 |
Winter, Kloman, Moter & Repp, S.C. |
|
|
2018 |
SEC |
$33,848 |
Massachusetts Financial Services Company |
Sun Life Financial |
financial services |
2018 |
SEC |
$1,900,000 |
Algointeractive Inc |
|
|
2018 |
CFTC |
$962,200 |
Commerzbank AG |
Commerzbank |
financial services |
2018 |
CFTC |
$12,000,000 |
Gelfman Blueprint, Inc. |
|
|
2018 |
CFTC |
$2,408,734 |
Bank of Nova Scotia |
Scotiabank |
financial services |
2018 |
CFTC |
$800,000 |
Kooima & Kaemingk Commodities, Inc. |
|
|
2018 |
CFTC |
$13,170,857 |
Mizuho Bank, Ltd. |
Mizuho Financial |
financial services |
2018 |
CFTC |
$250,000 |
Geneva Trading USA, LLC |
|
|
2018 |
CFTC |
$1,500,000 |
Victory Asset |
|
|
2018 |
CFTC |
$1,800,000 |
Global Asset Advisors LLC d/b/a Daniels Trading |
|
|
2018 |
CFTC |
$300,000 |
Honouround (HK) International Trade Co. Ltd.? |
|
|
2018 |
CFTC |
$300,000 |
NatWest Markets Plc |
Royal Bank of Scotland |
financial services |
2018 |
CFTC |
$750,000 |
ABN AMRO Clearing Chicago LLC |
ABN AMRO |
financial services |
2018 |
CFTC |
$160,000 |
Mobius Risk Group LLC |
|
|
2018 |
CFTC |
$75,000 |
Retirement Capital Strategies, Inc.? |
|
|
2018 |
SEC |
$50,000 |
CarrierEQ Inc. (Airfox) |
|
|
2018 |
SEC |
$250,000 |
Paragon Coin Inc. |
|
|
2018 |
SEC |
$250,000 |
ITG Inc. |
|
|
2018 |
SEC |
$12,000,000 |
Citibank N.A. |
Citigroup |
financial services |
2018 |
SEC |
$38,700,000 |
Tesla Inc. |
Tesla Inc. |
motor vehicles |
2018 |
SEC |
$20,000,000 |
Credit Suisse Securities (USA) LLC |
Credit Suisse |
financial services |
2018 |
SEC |
$5,000,000 |
LendingClub Asset Management LLC |
LendingClub Corp. |
financial services |
2018 |
SEC |
$5,000,000 |
Walgreens Boots Alliance Inc. |
Walgreens Boots Alliance |
retailing |
2018 |
SEC |
$34,500,000 |
Voya Financial Advisors Inc. |
Voya Financial |
financial services |
2018 |
SEC |
$1,000,000 |
SG Americas Securities LLC (Societe Generale) |
Societe Generale |
financial services |
2018 |
SEC |
$800,000 |
CMB Export LLC |
|
|
2018 |
SEC |
$5,150,000 |
Cardiff Lexington Corporation |
|
|
2018 |
SEC |
$25,000 |
Cool Technologies Inc. |
|
|
2018 |
SEC |
$75,000 |
Dasan Zhone Solutions Inc. |
|
|
2018 |
SEC |
$50,000 |
First Hartford Corporation |
|
|
2018 |
SEC |
$50,000 |
Infrax Systems Inc. |
|
|
2018 |
SEC |
$50,000 |
Clovis Oncology Inc. |
Clovis Oncology |
pharmaceuticals |
2018 |
SEC |
$20,000,000 |