Piper Jaffray & Co. |
Piper Sandler |
financial services |
2004 |
ND-SEC |
$20,000 |
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 |
H&R Block Financial Advisors, Inc. |
H&R Block |
financial services |
2004 |
FINRA |
$825,000 |
Knight Securities, L.P. |
Virtu Financial |
financial services |
2004 |
FINRA |
$12,500,000 |
First Command Financial Planning Inc. |
|
|
2004 |
FINRA |
$12,000,000 |
Sigma Financial Corporation |
|
|
2004 |
FINRA |
$135,000 |
Citigroup Global Markets, Inc. |
Citigroup |
financial services |
2004 |
FINRA |
$275,000 |
Morgan Stanley DW Inc |
Morgan Stanley |
financial services |
2004 |
FINRA |
$336,510 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. |
Bank of America |
financial services |
2004 |
FINRA |
$1,600,000 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
financial services |
2004 |
FINRA |
$700,000 |
Wachovia Securities LLC |
Wells Fargo |
financial services |
2004 |
FINRA |
$650,000 |
Prudential Equity Group LLC |
Prudential Financial |
financial services |
2004 |
FINRA |
$550,000 |
LINSCO/Private Ledger Corp. |
|
|
2004 |
FINRA |
$450,000 |
PFS Investments, Inc. |
|
|
2004 |
FINRA |
$450,000 |
Raymond James Financial Services Inc. |
Raymond James Financial |
financial services |
2004 |
FINRA |
$400,000 |
Metropolitan Life Insurance Co. |
MetLife |
financial services |
2004 |
FINRA |
$375,000 |
NYLife Securities, Inc. |
New York Life Insurance |
financial services |
2004 |
FINRA |
$350,000 |
WM Financial Services, Inc. |
|
|
2004 |
FINRA |
$350,000 |
Edward Jones & Co., LP |
Jones Financial |
financial services |
2004 |
FINRA |
$300,000 |
Chase Investment Services Corp. |
JPMorgan Chase |
financial services |
2004 |
FINRA |
$250,000 |
AXA Advisors, LLC |
Equitable Holdings |
financial services |
2004 |
FINRA |
$250,000 |
MML Investor Services, Inc. |
Massachusetts Mutual Life Insurance |
financial services |
2004 |
FINRA |
$250,000 |
Banc of America Investment Services Inc. |
Bank of America |
financial services |
2004 |
FINRA |
$200,000 |
ING Financial Partners, Inc. |
Voya Financial |
financial services |
2004 |
FINRA |
$200,000 |
New England Securities |
MetLife |
financial services |
2004 |
FINRA |
$200,000 |
J.P. Turner & Company, LLC |
|
|
2004 |
FINRA |
$185,000 |
Financial Network Investment Corp. |
|
|
2004 |
FINRA |
$185,000 |
Allstate Financial Services LLC |
Allstate |
financial services |
2004 |
FINRA |
$150,000 |
RBC Dain Rauscher, Inc. |
Royal Bank of Canada |
financial services |
2004 |
FINRA |
$150,000 |
Wells Fargo Investments, LLC |
Wells Fargo |
financial services |
2004 |
FINRA |
$150,000 |
World Group Securities, Inc. |
Aegon |
financial services |
2004 |
FINRA |
$150,000 |
Farmers Financial Solutions LLC |
|
|
2004 |
FINRA |
$125,000 |
InterSecurities, Inc. |
|
|
2004 |
FINRA |
$125,000 |
Jefferson Pilot Securities Corporation |
Lincoln National |
financial services |
2004 |
FINRA |
$125,000 |
J.J.B. Hilliard, W.L. Lyons Inc. |
|
|
2004 |
FINRA |
$125,000 |
Quick & Reilly, Inc. |
|
|
2004 |
FINRA |
$125,000 |
SunAmerica Securities, Inc. |
American International Group |
financial services |
2004 |
FINRA |
$100,000 |
Citigroup Global Markets, Inc. |
Citigroup |
financial services |
2004 |
FINRA |
$250,000 |
Sentinel Financial Services Company |
|
|
2004 |
FINRA |
$700,000 |
BNY Brokerage, Inc. |
|
|
2004 |
FINRA |
$12,000 |
Carlin Equities Corporation |
|
|
2004 |
FINRA |
$35,000 |
Credit Suisse First Boston, L.L.C. |
Credit Suisse |
financial services |
2004 |
FINRA |
$50,000 |
Delta Asset Management Company, L.L.C. |
|
|
2004 |
FINRA |
$15,000 |
Deutsche Bank Securities, Inc. |
Deutsche Bank |
financial services |
2004 |
FINRA |
$15,000 |
Doyle, Miles & Co., L.L.C. |
|
|
2004 |
FINRA |
$12,500 |
FutureTrade Securities, L.L.C |
|
|
2004 |
FINRA |
$35,000 |
Index Securities, LLC |
|
|
2004 |
FINRA |
$11,000 |
Mid-Atlantic Capital Corporation |
|
|
2004 |
FINRA |
$10,000 |
Options Trading Associates, LLC |
|
|
2004 |
FINRA |
$10,000 |
Pulse Trading, Inc. |
|
|
2004 |
FINRA |
$20,000 |
Quantlab Securities, L.P. |
|
|
2004 |
FINRA |
$12,500 |
Schwab Capital Markets, L.P. |
Charles Schwab Corp. |
financial services |
2004 |
FINRA |
$70,000 |
Scottrade, Inc. |
Charles Schwab Corp. |
financial services |
2004 |
FINRA |
$16,000 |
Spear, Leeds & Kellogg, L.P. |
Goldman Sachs |
financial services |
2004 |
FINRA |
$75,000 |
Transcend Capital, LP |
|
|
2004 |
FINRA |
$10,000 |
UBS Securities, L.L.C. |
UBS |
financial services |
2004 |
FINRA |
$10,000 |
SG Cowen, LLC |
Cowen Inc. |
financial services |
2004 |
FINRA |
$800,000 |
National Securities Corp. |
|
|
2004 |
FINRA |
$600,000 |
Morgan Stanley DW Inc. |
Morgan Stanley |
financial services |
2004 |
FINRA |
$2,200,000 |
Goldman, Sachs & Co. |
Goldman Sachs |
financial services |
2004 |
FINRA |
$5,000,000 |
Deutsche Bank Securities, Inc. |
Deutsche Bank |
financial services |
2004 |
FINRA |
$5,000,000 |
Miller Tabak Roberts Securities, LLC |
|
|
2004 |
FINRA |
$5,000,000 |
Citigroup Global Markets Inc. |
Citigroup |
financial services |
2004 |
FINRA |
$5,000,000 |
Citigroup Global Markets, Inc. |
Citigroup |
financial services |
2004 |
FINRA |
$250,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Bank of America |
financial services |
2004 |
FINRA |
$250,000 |
Morgan Stanley DW Inc. |
Morgan Stanley |
financial services |
2004 |
FINRA |
$250,000 |
Piper Jaffray & Co. |
Piper Sandler |
financial services |
2004 |
FINRA |
$2,400,000 |
Charles Schwab & Co, Inc. |
Charles Schwab Corp. |
financial services |
2004 |
FINRA |
$60,869 |
Edward Jones |
Jones Financial |
financial services |
2004 |
FINRA |
$25,181 |
First Trust Portfolios L.P |
|
|
2004 |
FINRA |
$118,680 |