Piper Jaffray & Co. |
Piper Sandler |
financial services |
2004 |
ND-SEC |
$17,000 |
Huntleigh Securities Corporation |
|
|
2004 |
ND-SEC |
$8,000 |
Morgan Stanley |
Morgan Stanley |
financial services |
2004 |
NH-BSR |
$500,000 |
Pennichuck Corporation |
|
|
2004 |
NH-BSR |
$230,000 |
Sunset Financial Group Inc. et al. |
|
|
2004 |
OK-SEC |
$304,664 |
Omni Advisor Group Inc. |
|
|
2004 |
OR-FIN |
$15,000 |
Ragen Mackenzie Investment Services LLC |
Wells Fargo |
financial services |
2004 |
OR-FIN |
$8,500 |
Mansfield Corporation et al. |
|
|
2004 |
OR-FIN |
$120,000 |
Continental Broker-Dealer Corp. |
|
|
2004 |
TN-SEC |
$10,000 |
Upper Cumberland Media Group Inc. |
|
|
2004 |
TN-SEC |
$11,200 |
Professional Asset Management Inc. |
|
|
2004 |
TN-SEC |
$22,550 |
InvestIN Securities Inc. |
|
|
2004 |
TN-SEC |
$6,094 |
Woodbury Financial Services Inc. |
Reverence Capital Partners |
private equity (including portfolio companies) |
2004 |
TX-SEC |
$12,500 |
Allied Energy Group et al. |
|
|
2004 |
TX-SEC |
$8,000 |
Pruco Securities LLC |
Prudential Financial |
financial services |
2004 |
TX-SEC |
$10,000 |
Milkie/Ferguson Investments Inc. |
|
|
2004 |
TX-SEC |
$12,000 |
Flyline Management L.P. |
|
|
2004 |
TX-SEC |
$16,000 |
Flyline Genpar L.P. |
|
|
2004 |
TX-SEC |
$16,000 |
DRY CLEANING & MARGO SLOAN |
|
|
2004 |
VA-SEC |
$25,900 |
MERRILL LYNCH PIERCE FENNER & |
Bank of America |
financial services |
2004 |
VA-SEC |
$268,723 |
CHESAPEAKE INVESTMENT SERVICES INC. |
|
|
2004 |
VA-SEC |
$54,000 |
CITIGROUP GLOBAL MARKETS INC |
Citigroup |
financial services |
2004 |
VA-SEC |
$72,486 |
Wolf Creek Exploration, Ltd. |
|
|
2004 |
VA-SEC |
$45,000 |
CUMBERLAND MANAGEMENT GROUP |
|
|
2004 |
VA-SEC |
$170,750 |
City Escrow, Inc. |
|
|
2004 |
WA-FIN |
$12,000 |
DBH Growth Fund |
|
|
2004 |
WA-FIN |
$15,000 |
Morgan Stanley DW Inc. |
Morgan Stanley |
financial services |
2004 |
WA-FIN |
$325,000 |
Pacific Coast Investment Company |
|
|
2004 |
WA-FIN |
$108,000 |
Lilac City Closing & Escrow LLC |
|
|
2004 |
WA-FIN |
$5,000 |
Northwest Best Direct, Inc. |
|
|
2004 |
WA-FIN |
$39,000 |
Great Northern Financial Services, Inc. |
|
|
2004 |
WA-FIN |
$30,000 |
AmSouth Investment Services Inc. |
Regions Financial |
financial services |
2004 |
MULTI-FIN |
$225,000 |
Veras Investment Partners, LLC |
|
|
2005 |
CFTC |
$500,000 |
Trade Exchange Network Limited |
|
|
2005 |
CFTC |
$150,000 |
Credit Lyonnais Rouse Limited |
Credit Agricole |
financial services |
2005 |
CFTC |
$85,000 |
Armajaro Trading Limited |
|
|
2005 |
CFTC |
$35,000 |
Warenhandelsgesellschaft Corinth, m.b.H. |
|
|
2005 |
CFTC |
$25,000 |
Allegheny Gulf Investments, Inc |
|
|
2005 |
CFTC |
$440,000 |
Hencorp Becstone Futures LC |
|
|
2005 |
CFTC |
$50,000 |
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC |
|
|
2005 |
SEC |
$36,200,488 |
Ameriprise Financial, Inc. |
Ameriprise Financial |
financial services |
2005 |
SEC |
$15,000,000 |
Ameriprise Financial, Inc. |
Ameriprise Financial |
financial services |
2005 |
SEC |
$30,000,000 |
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management |
|
|
2005 |
SEC |
$148,000,000 |
Federated Investors, Inc. |
Federated Hermes |
financial services |
2005 |
SEC |
$72,000,000 |
House Asset Management, L.L.C. and House Edge, L.P. |
|
|
2005 |
SEC |
$1,375,767 |
Canadian Imperial Bank of Commerce |
Canadian Imperial Bank of Commerce |
financial services |
2005 |
SEC |
$125,000,000 |
Ford Motor Credit Company |
Ford Motor |
motor vehicles |
2005 |
SEC |
$700,000 |
Citigroup, Inc. |
Citigroup |
financial services |
2005 |
SEC |
$208,000,000 |
DB Investment Managers, Inc. |
|
|
2005 |
SEC |
$33,159 |
Galleon Management, L.P. |
|
|
2005 |
SEC |
$2,020,450 |
Oaktree Capital Management, LLC |
Oaktree Capital Management |
private equity (including portfolio companies) |
2005 |
SEC |
$345,701 |
Stracq, Inc. |
|
|
2005 |
SEC |
$660,000 |
New York Stock Exchange, Inc. |
IntercontinentalExchange Group |
financial services |
2005 |
SEC |
$20,000,000 |
Capital Concept Marketing, Inc. |
|
|
2005 |
SEC |
$580,000 |
Flowserve Corporation |
Flowserve |
industrial equipment |
2005 |
SEC |
$350,000 |
Citigroup Global Markets, Inc. |
Citigroup |
financial services |
2005 |
SEC |
$20,000,000 |
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC |
Bank of America |
financial services |
2005 |
SEC |
$375,000,000 |
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. |
Ameriprise Financial |
financial services |
2005 |
SEC |
$140,000,000 |
Herman's World of Sports, Inc. |
|
|
2005 |
SEC |
$663,685 |
Goldman, Sachs & Co. |
Goldman Sachs |
financial services |
2005 |
SEC |
$40,000,000 |
Morgan Stanley & Co. |
Morgan Stanley |
financial services |
2005 |
SEC |
$40,000,000 |
Southwest Securities, Inc. |
Hilltop Holdings |
financial services |
2005 |
SEC |
$10,000,000 |
Schultz Investment Advisors, Inc. |
|
|
2005 |
SEC |
$114,534 |
CIBC World Markets Corporation |
Canadian Imperial Bank of Commerce |
financial services |
2005 |
SEC |
$496,598 |
Renn Capital Group, Inc. |
|
|
2005 |
SEC |
$2,961,362 |
Blue River Capital LLC |
|
|
2005 |
SEC |
$150,000 |
Instinet, LLC and INET ATS, Inc. |
|
|
2005 |
SEC |
$700,000 |
International Equity Advisors, LLC |
|
|
2005 |
SEC |
$3,190,000 |
Applied Financial Group Inc. |
|
|
2005 |
SEC |
$50,000 |
State Street Research & Management Company |
|
|
2005 |
SEC |
$585,743 |
Springer Investment Management, Inc.? |
|
|
2005 |
SEC |
$50,000 |
Legg Mason Wood Walker, Incorporated |
Franklin Resources |
financial services |
2005 |
SEC |
$1,000,000 |
CMS Fund Advisers, Inc. |
|
|
2005 |
SEC |
$115,000 |
U.S. Bank National Association |
U.S. Bancorp |
financial services |
2005 |
SEC |
$500,000 |
Prudential Equity Group, LLC |
Prudential Financial |
financial services |
2005 |
SEC |
$125,000 |
UBS Securities LLC |
UBS |
financial services |
2005 |
SEC |
$700,000 |
Gerald Klein & Associate, Inc. and Klein Pavlis & Peasley Financial, Inc |
|
|
2005 |
SEC |
$40,000 |
Marketxt, Inc. |
|
|
2005 |
SEC |
$49,965 |
Banc of America Investment Services, Inc., and Bacap Distributors, LLC |
Bank of America |
financial services |
2005 |
SEC |
$1,500,000 |
Credit Suisse First Boston, LLC |
Credit Suisse |
financial services |
2005 |
SEC |
$200,000 |
Fiserv Securities, Inc. |
Fidelity Investments |
financial services |
2005 |
SEC |
$15,000,000 |
vFinance Investments, Inc. |
|
|
2005 |
SEC |
$50,000 |
Capital Analysts Incorporated |
|
|
2005 |
SEC |
$450,000 |
Putnam Investment Management, LLC |
Power Financial Corporation |
financial services |
2005 |
SEC |
$40,000,001 |
Colley Asset Management, Inc. |
|
|
2005 |
SEC |
$100,000 |
Brean Murray & Co., Inc. |
|
|
2005 |
SEC |
$150,000 |
J.P. Morgan Securities Inc. |
JPMorgan Chase |
financial services |
2005 |
SEC |
$700,000 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
financial services |
2005 |
NJ-AG |
$5,000,000 |
Canadian Imperial Bank of Commerce |
Canadian Imperial Bank of Commerce |
financial services |
2005 |
NY-AG |
(*) $125,000,000 |
Federated Investors, Inc. |
Federated Hermes |
financial services |
2005 |
NY-AG |
(*) $100,000,000 |
Merrill Lynch Pierce Fenner & Smith Inc. |
Bank of America |
financial services |
2005 |
NJ-AG |
$10,000,000 |
Millennium Partners |
|
|
2005 |
NY-AG |
(*) $121,400,000 |
Morgan Stanley DW |
Morgan Stanley |
financial services |
2005 |
DE-AG |
$700,000 |
St. Paul Travelers Companies Inc. |
Travelers |
financial services |
2005 |
NM-AG |
$67,500,000 |
Veras Capital Master Fund and VEY Partners Master Funds |
|
|
2005 |
NY-AG |
(*) $36,200,488 |
Pureinvestor.com Inc. |
|
|
2005 |
AK-DBS |
$75,000 |
PIPS Inc. |
|
|
2005 |
AK-DBS |
$75,000 |
PIC Trust Limited |
|
|
2005 |
AK-DBS |
$75,000 |
Westoby Works |
|
|
2005 |
AK-DBS |
$75,000 |
Team JollyPIPster, LLC |
|
|
2005 |
AK-DBS |
$75,000 |
Prudential Equity Group, Inc. |
Prudential Financial |
financial services |
2005 |
AL-SEC |
$45,000 |