Peregrine Financial Group, Inc. |
|
|
2000 |
CFTC |
$90,000 |
Farmers Cooperative Company |
|
|
2000 |
CFTC |
$100,000 |
Sogemin Metals Inc. |
|
|
2000 |
CFTC |
$500,000 |
First Options of Chicago, Inc. |
|
|
2000 |
CFTC |
$163,000 |
Yes Entertainment, LLC |
|
|
2000 |
SEC |
$14,546,808 |
First Paragon, Inc. |
|
|
2000 |
SEC |
$1,040,000 |
EquityAlert.com, Inc. |
|
|
2000 |
SEC |
$20,000 |
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust |
|
|
2000 |
SEC |
$20,590,000 |
JW Charles Financial Services, Inc. |
|
|
2000 |
SEC |
$20,000 |
Millennium Software Solutions, Inc. |
|
|
2000 |
SEC |
$760,450 |
New Concepts, L.L.C. |
|
|
2000 |
SEC |
$20,000 |
Liberty Capital Group, Inc. |
|
|
2000 |
SEC |
$35,000 |
Assured International, Inc. and Sharp Financial Corp. |
|
|
2000 |
SEC |
$1,407,217 |
Dain Rauscher Incorporated |
Royal Bank of Canada |
financial services |
2000 |
SEC |
$12,941,191 |
Goldman, Sachs & Co. |
Goldman Sachs |
financial services |
2000 |
SEC |
$5,200,000 |
Lehman Brothers Inc. |
Lehman Brothers |
financial services |
2000 |
SEC |
$4,950,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Bank of America |
financial services |
2000 |
SEC |
$5,000,000 |
Morgan Stanley & Co. Incorporated |
Morgan Stanley |
financial services |
2000 |
SEC |
$2,500,000 |
PaineWebber Incorporated |
UBS |
financial services |
2000 |
SEC |
$26,200,000 |
Prudential Securities Incorporated |
Wells Fargo |
financial services |
2000 |
SEC |
$5,880,000 |
Salomon Smith Barney Inc. |
Morgan Stanley |
financial services |
2000 |
SEC |
$45,000,000 |
Warburg Dillon Read LLC |
UBS |
financial services |
2000 |
SEC |
$6,680,000 |
William R. Hough & Co. |
|
|
2000 |
SEC |
$3,264,000 |
Prime Atlantic, Inc. |
|
|
2000 |
SEC |
$12,682,820 |
DynamicDaytrader.com |
|
|
2000 |
SEC |
$55,107 |
Marion Bass Securities Corp. |
|
|
2000 |
SEC |
$150,000 |
Focus Tech Investments, Inc. |
|
|
2000 |
SEC |
$10,000 |
Adar International |
|
|
2000 |
SEC |
$10,000 |
Longman & Associates, Inc. |
|
|
2000 |
SEC |
$10,000 |
Kading Companies, S.A. and Joning Corp. |
|
|
2000 |
SEC |
$10,000 |
National Stock Transfer Inc. |
|
|
2000 |
SEC |
$5,000 |
First Union Securities, Inc. |
Wells Fargo |
financial services |
2000 |
SEC |
$408,931 |
CGI Capital, Inc. |
|
|
2000 |
SEC |
$25,000 |
D.E. Frey and Company, Inc. |
|
|
2000 |
SEC |
$100,000 |
Prospera Financial Services, Inc. |
|
|
2000 |
SEC |
$40,000 |
Signal Securities Inc. |
|
|
2000 |
SEC |
$50,000 |
First Colonial Securities Group, Inc. |
|
|
2000 |
SEC |
$25,000 |
F.W. Thompson Company Ltd. |
|
|
2000 |
SEC |
$100,000 |
Dean Witter Reynolds Inc. |
Morgan Stanley |
financial services |
2000 |
SEC |
$476,702 |
Alpha Tech Stock Transfer Trust |
|
|
2000 |
SEC |
$10,000 |
Dawson-Samberg Capital Management, Inc. |
|
|
2000 |
SEC |
$100,000 |
Fahnestock & Co., Inc. |
Oppenheimer Holdings |
financial services |
2000 |
SEC |
$20,000 |
Janney Montgomery Scott LLC |
Penn Mutual |
financial services |
2000 |
SEC |
$100,000 |
Owen-Joseph Asset Management Corp.? |
|
|
2000 |
SEC |
$68,000 |
Founders Asset Management LLC |
|
|
2000 |
SEC |
$50,000 |
Dreyfus Corporation |
Bank of New York Mellon |
financial services |
2000 |
SEC |
$950,000 |
Gold Asset Management, Inc. |
|
|
2000 |
SEC |
$20,000 |
WWW Advisors, Inc. |
|
|
2000 |
SEC |
$5,000 |
Asset Timing Corp. |
|
|
2000 |
SEC |
$5,000 |
Investment Street Company and Dynamic Trading of Miami, Inc. |
|
|
2000 |
SEC |
$25,000 |
Dreyfus Corporation |
Bank of New York Mellon |
financial services |
2000 |
NY-AG |
$2,000,000 |
World Interactive Gaming Corporation |
|
|
2000 |
NY-AG |
$6,300,000 |
Truckville Inc. dba EZ Finance Auto Sales |
|
|
2000 |
AZ-SEC |
$5,000 |
Forex Investment Services Corp. et al. |
|
|
2000 |
AZ-SEC |
$416,086 |
American Express Financial Advisors |
Ameriprise Financial |
financial services |
2000 |
AZ-SEC |
$125,000 |
Great Western Investment Trust, Ltd. |
|
|
2000 |
AZ-SEC |
$435,789 |
National Financial Group and World Wide Business Opportunities, LLC |
|
|
2000 |
AZ-SEC |
$20,000 |
Superior Leasing of Arizona, Inc. and Superior Holding Group, Inc. |
|
|
2000 |
AZ-SEC |
$6,792,956 |
Estate Services II, Inc. |
|
|
2000 |
AZ-SEC |
$15,000 |
Cochise Financial Corp. |
|
|
2000 |
AZ-SEC |
$1,301,929 |
Alliance Trust and Chemical Trust and United Marketing Trust |
|
|
2000 |
AZ-SEC |
$75,000 |
Tucson Estate Financial Advisors, Inc. |
|
|
2000 |
AZ-SEC |
$114,080 |
Mining Ventures International, LLC |
|
|
2000 |
AZ-SEC |
$253,500 |
Successful Finance, Inc. |
|
|
2000 |
AZ-SEC |
$421,040 |
Eye International, L.L.C. and American International Beneficial Association, Inc. |
|
|
2000 |
AZ-SEC |
$11,500 |
Buckson Realty Brokerage, Inc. |
|
|
2000 |
DE-SEC |
$39,934 |
Condor and Eagle, Inc., Contact Generation, Inc. and TCI |
|
|
2000 |
FL-OFR |
$5,000 |
Baggy Stuff, Inc. |
|
|
2000 |
FL-OFR |
$325,000 |
VTR Capital, Inc. nka Fairchild Financial Group, Inc. |
|
|
2000 |
FL-OFR |
$12,000 |
First Financial Planners, Inc. et al. |
|
|
2000 |
FL-OFR |
$39,232 |
The Morgan Group |
|
|
2000 |
FL-OFR |
$15,000 |
Morgan Carlton Financial Corp. |
|
|
2000 |
FL-OFR |
$15,000 |
Morgan Commercial Private Investment Bankers |
|
|
2000 |
FL-OFR |
$15,000 |
Offshore Financial Facilitiators |
|
|
2000 |
FL-OFR |
$69,900 |
First Capital Services, Inc. |
|
|
2000 |
FL-OFR |
$30,000 |
Securities Services Network, Inc. |
Reverence Capital Partners |
private equity (including portfolio companies) |
2000 |
FL-OFR |
$10,000 |
Southern 2000, Inc. |
|
|
2000 |
FL-OFR |
$50,000 |
Allen Financial Group, Inc. |
|
|
2000 |
FL-OFR |
$50,000 |
International Currency Management, LLC |
|
|
2000 |
ID-SEC |
$175,000 |
LinkNet, Inc. fka INFOLINK, Inc. |
|
|
2000 |
ID-SEC |
$10,000 |
FSC Securities Corp. |
|
|
2000 |
MN-FIN |
$5,000 |
First Securities USA, Inc. |
|
|
2000 |
MN-FIN |
$6,000 |
Linsco Private Ledger Corp. |
|
|
2000 |
ND-SEC |
$25,000 |
Baxter, Banks & Smith Ltd. |
|
|
2000 |
ND-SEC |
$5,000 |
Laser Vision Technologies Inc. |
|
|
2000 |
OR-FIN |
$5,000 |
The Sheffield Group |
|
|
2000 |
OR-FIN |
$25,000 |
The Rhodes Company |
|
|
2000 |
OR-FIN |
$7,500 |
Baxter, Banks and Smith Ltd. |
|
|
2000 |
OR-FIN |
$20,000 |
Prosper Trust |
|
|
2000 |
OR-FIN |
$5,000 |
High Tech Travel Services Corporation |
|
|
2000 |
OR-FIN |
$25,000 |
San Clemente Securities |
|
|
2000 |
OR-FIN |
$10,000 |
Terra Nova Trading LLC |
|
|
2000 |
TN-SEC |
$7,500 |
Westminster Securities Corporation |
|
|
2000 |
TN-SEC |
$10,000 |
Smith, Brown & Groover Inc. |
|
|
2000 |
TN-SEC |
$11,000 |
Mountain States Capital Inc. |
|
|
2000 |
TX-SEC |
$30,000 |
Burke, Lawton, Brewer & Burke |
|
|
2000 |
TX-SEC |
$7,500 |
The Reserve Fund |
|
|
2000 |
TX-SEC |
$150,000 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
financial services |
2000 |
TX-SEC |
$9,000 |
Supertrade Securities Inc. |
|
|
2000 |
TX-SEC |
$15,000 |
The Williams Financial Group Inc. |
|
|
2000 |
TX-SEC |
$10,000 |
Advisory Financial Group, Inc. |
|
|
2000 |
VA-SEC |
$35,000 |