Black Diamond Forex LP, BDF Trading LP, and Advanta FX |
|
|
2020 |
CFTC |
$1,200,000 |
Morgan Stanley Capital Services LLC |
Morgan Stanley |
financial services |
2020 |
CFTC |
$5,000,000 |
A&A Trading, Inc. |
|
|
2020 |
CFTC |
$495,329 |
Sunoco LP |
Energy Transfer |
pipelines |
2020 |
CFTC |
$450,000 |
ARB Trading Group LP |
|
|
2020 |
CFTC |
$445,000 |
Gain Capital Group, LLC |
|
|
2020 |
CFTC |
$300,000 |
JPMorgan Chase & Company |
JPMorgan Chase |
financial services |
2020 |
CFTC |
$920,200,000 |
FNY Partners Fund LP |
|
|
2020 |
CFTC |
$450,000 |
Citibank N.A. |
Citigroup |
financial services |
2020 |
CFTC |
$4,500,000 |
Marex North America LLC |
|
|
2020 |
CFTC |
$250,000 |
Marex Spectron International Limited |
|
|
2020 |
CFTC |
$120,000 |
EOX Holdings LLC |
|
|
2020 |
CFTC |
$120,000 |
Futures International LLC |
|
|
2020 |
CFTC |
$120,000 |
OTC Europe LLP |
|
|
2020 |
CFTC |
$120,000 |
Sukarne SA de CV |
|
|
2020 |
CFTC |
$35,000 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
CO-SEC |
$69,338 |
The Hansbury Group, LLC |
|
|
2020 |
CT-BKG |
$5,000 |
Janney Montgomery Scott, LLC |
Penn Mutual |
financial services |
2020 |
CT-BKG |
$150,000 |
Quint Wealth Management, Inc. |
|
|
2020 |
CT-BKG |
$5,000 |
Boomerang Capital, LLC |
|
|
2020 |
CT-BKG |
$5,020 |
Solace Investments, LLC |
|
|
2020 |
CT-BKG |
$300,000 |
Wilmington Capital Securities, LLC |
|
|
2020 |
CT-BKG |
$11,275 |
Schupp & Grochmal, LLC |
|
|
2020 |
CT-BKG |
$10,510 |
Pathmaker Solutions, LLC |
|
|
2020 |
DE-AG |
$100,000 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
IL-SEC |
$11,385 |
Thrivent Investment Management Inc. |
Thrivent Financial |
financial services |
2020 |
IL-SEC |
$400,000 |
Wealth Management of Kentucky Inc. |
|
|
2020 |
KY-FIN |
$5,000 |
Green Square Capital Louisville LLC |
|
|
2020 |
KY-FIN |
$25,000 |
Crossroads Community Church Inc. |
|
|
2020 |
KY-FIN |
$10,000 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
KY-FIN |
$5,465 |
Ionx Capital Holdings Inc. |
|
|
2020 |
KY-FIN |
$10,000 |
Kelcas Corporation et al. |
|
|
2020 |
KY-FIN |
$5,000 |
DMK Advisor Group, Inc. |
|
|
2020 |
MO-SEC |
$5,000 |
Conestoga Trust |
|
|
2020 |
MO-SEC |
$10,000 |
V Wealth Advisers, LLC |
|
|
2020 |
MO-SEC |
$7,500 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
MS-SEC |
$6,000 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
MT-SEC |
$14,700 |
Mascoma Wealth Management LLC |
|
|
2020 |
NH-BSR |
$7,500 |
DAI Securities LLC |
|
|
2020 |
NH-BSR |
$5,000 |
LPL Financial LLC |
LPL Financial |
financial services |
2020 |
NH-BSR |
$976,000 |
AEI Net Lease Portfolio XIII DST |
|
|
2020 |
NH-BSR |
$5,000 |
Access Investment, LLC |
|
|
2020 |
NH-BSR |
$7,500 |
Financial Planning Advisors LLC |
|
|
2020 |
NJ-BOS |
$150,000 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
NM-SEC |
$6,500 |
Goldman Sachs Group |
Goldman Sachs |
financial services |
2020 |
NY-DFS |
$150,000,000 |
Ameritas Investment Company LLC |
Ameritas Mutual Holding Company |
financial services |
2020 |
PA-BKG |
$100,000 |
Blue Water Financial, LLC |
|
|
2020 |
PA-BKG |
$40,000 |
Haddon Wealth Management LLC |
|
|
2020 |
PA-BKG |
$25,000 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
RI-FIN |
$6,500 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
SC-SEC |
$28,007 |
Winston Reed Investments LLC |
|
|
2020 |
SEC |
$255,850 |
Benjamin F. Edwards & Company, Inc. |
|
|
2020 |
SEC |
$1,366,551 |
Royal Alliance Associates, Inc. |
Reverence Capital Partners |
private equity (including portfolio companies) |
2020 |
SEC |
$502,400 |
American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc. |
|
|
2020 |
SEC |
$1,305,660 |
Securities America Advisors, Inc. |
|
|
2020 |
SEC |
$603,776 |
Summit Financial Group, Inc. |
|
|
2020 |
SEC |
$1,206,882 |
Capitol Securities Management, Inc. |
|
|
2020 |
SEC |
$203,414 |
Tradenet Capital Markets Ltd. |
|
|
2020 |
SEC |
$130,000 |
EDG Management Company, LLC |
|
|
2020 |
SEC |
$1,026,642 |
Kik Interactive Inc. |
|
|
2020 |
SEC |
$5,000,000 |
Morgan Stanley & Co. LLC |
Morgan Stanley |
financial services |
2020 |
SEC |
$5,000,000 |
Great Plains Trust Company, Inc. |
|
|
2020 |
SEC |
$300,000 |
Transamerica Asset Management, Inc. |
Aegon |
financial services |
2020 |
SEC |
$5,946,782 |
BGC Partners, Inc. |
BGC Partners |
financial services |
2020 |
SEC |
$1,400,000 |
Salt Blockchain Inc. f/k/a Salt Lending Holdings, Inc. |
|
|
2020 |
SEC |
$250,000 |
Manitex International, Inc. et al. |
|
|
2020 |
SEC |
$485,000 |
Kroll Bond Rating Agency Inc. |
|
|
2020 |
SEC |
$2,010,000 |
J.P. Morgan Securities LLC |
JPMorgan Chase |
financial services |
2020 |
SEC |
$35,000,000 |
Fiat Chrysler Automobiles N.V. |
Fiat Chrysler Automobiles |
motor vehicles |
2020 |
SEC |
$9,500,000 |
Fulton Financial Corporation |
|
|
2020 |
SEC |
$1,500,000 |
Creative Financial Designs, Inc. |
|
|
2020 |
SEC |
$890,240 |
Hancock Whitney Investment Services, Inc. |
|
|
2020 |
SEC |
$2,337,792 |
Funding the Gap, LLC |
|
|
2020 |
SEC |
$30,000 |
SoluTech, Inc. |
|
|
2020 |
SEC |
$25,000 |
Precigen, Inc. |
Precigen |
agribusiness |
2020 |
SEC |
$2,500,000 |
Finser International Corporation |
|
|
2020 |
SEC |
$70,000 |
Platinum Wealth Partners, Inc. |
|
|
2020 |
SEC |
$1,330,847 |
Morgan Wilshire Securities, Inc. |
|
|
2020 |
SEC |
$179,017 |
Credit Suisse Securities (USA) LLC |
Credit Suisse |
financial services |
2020 |
SEC |
$600,000 |
Palmer Square Capital Management LLC |
|
|
2020 |
SEC |
$450,000 |
RCI Hospitality Holdings, Inc. |
|
|
2020 |
SEC |
$400,000 |
Liberty Roe Capital LLC |
|
|
2020 |
VA-SEC |
$8,000 |
Blue Gold co LC |
|
|
2020 |
WA-SEC |
$11,250 |
Unikrn Inc. |
|
|
2020 |
WA-SEC |
$310,000 |
Signal Capital Management LLC |
|
|
2020 |
WA-SEC |
$5,000 |
REACH Genetics Inc. |
|
|
2020 |
WA-SEC |
$10,000 |