Cornerstone Ministries Investments Inc. et al. |
|
|
2005 |
TX-SEC |
$20,000 |
FlexVest Securities Group Inc. |
|
|
2005 |
TX-SEC |
$10,000 |
Kaizen Management LP |
|
|
2005 |
TX-SEC |
$10,000 |
BAMC Investment Management Inc. |
|
|
2005 |
TX-SEC |
$6,000 |
Tamborello Capital Management LLC |
|
|
2005 |
TX-SEC |
$75,015 |
FIDELITY ASSURANCE ASSOCIATES |
|
|
2005 |
VA-SEC |
$10,000 |
BELLACINO'S, INC. |
|
|
2005 |
VA-SEC |
$8,000 |
FIREHOUSE RESTAURANT ET AL. |
|
|
2005 |
VA-SEC |
$9,000 |
Anthone Properties, LLC |
|
|
2005 |
WA-FIN |
$60,000 |
Westwood Holdings, Inc. |
|
|
2005 |
WA-FIN |
$21,000 |
Pacific Coast Investment Company |
|
|
2005 |
WA-FIN |
$5,000 |
Runnymede Capital Partners and Runnymede Capital Management |
|
|
2005 |
WA-FIN |
$15,000 |
Millennium Marketing and Management, LLC |
|
|
2005 |
WA-FIN |
$15,000 |
Financial & Estate Strategies, Inc. |
|
|
2005 |
WA-FIN |
$45,000 |
Mana, LLC |
|
|
2005 |
WA-FIN |
$10,000 |
MA Quik Framing Inc. |
|
|
2005 |
WA-FIN |
$15,000 |
Newcastle Escrow Corporation |
|
|
2005 |
WA-FIN |
$5,000 |
Merrill Lynch Pierce Fenner & Smith Inc. |
Bank of America |
financial services |
2005 |
WI-FIN |
$7,000 |
Deutsche Bank Securities Inc. |
Deutsche Bank |
financial services |
2005 |
MULTI-FIN |
(*) $28,750,000 |
Thomas Weisel Partners LLC |
Stifel Financial |
financial services |
2005 |
MULTI-FIN |
(*) $5,000,000 |
Waddell & Reed, Inc. |
Waddell & Reed Financial Inc. |
financial services |
2005 |
MULTI-FIN |
$18,000,000 |
Emerald Worldwide Holdings, Inc. |
|
|
2006 |
CFTC |
$3,433,721 |
Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services |
|
|
2006 |
CFTC |
$19,555,041 |
Worldwide Commodity Corporation and South Coast Commodities, Inc. |
|
|
2006 |
CFTC |
$14,700,000 |
Axess Trading Co., Inc. |
|
|
2006 |
CFTC |
$569,437 |
International Investments Holdings Corp. |
|
|
2006 |
CFTC |
$12,120,000 |
Risk Capital Trading Group, Inc |
|
|
2006 |
CFTC |
$22,000,000 |
COES FX Clearing, Inc. |
|
|
2006 |
CFTC |
$246,601 |
Nexgen Software Systems, Inc. |
|
|
2006 |
CFTC |
$20,000 |
Wall Street Underground, Inc. |
|
|
2006 |
CFTC |
$9,500,000 |
First American Investment Services, Inc. |
|
|
2006 |
CFTC |
$8,983,388 |
Shell International Trading and Shipping Co. |
Royal Dutch Shell |
oil and gas |
2006 |
CFTC |
$200,000 |
Prudential Equity Group LLC |
Prudential Financial |
financial services |
2006 |
DOJ_CRIMINAL |
$600,000,000 |
1st Global Capital Corp. |
|
|
2006 |
SEC |
$100,000 |
Hartford Financial Services Group, Inc. |
Hartford Financial Services |
financial services |
2006 |
SEC |
$55,000,000 |
U.S. Wind Farming, Inc. |
|
|
2006 |
SEC |
$38,487 |
U.S. Gas & Electric, Inc. |
|
|
2006 |
SEC |
$167,000 |
Graycort Financial, LLC |
|
|
2006 |
SEC |
$100,000 |
BISYS Fund Services, Inc. |
|
|
2006 |
SEC |
$21,400,000 |
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company |
|
|
2006 |
SEC |
$10,000,000 |
Morgan Stanley & Co. |
Morgan Stanley |
financial services |
2006 |
SEC |
$10,000,000 |
A.G. Edwards & Sons, Inc. |
Wells Fargo |
financial services |
2006 |
SEC |
$125,000 |
Banc of America Securities LLC |
Bank of America |
financial services |
2006 |
SEC |
$750,000 |
Bear, Stearns & Co., Inc. |
JPMorgan Chase |
financial services |
2006 |
SEC |
$1,500,000 |
Citigroup Global Markets, Inc. |
Citigroup |
financial services |
2006 |
SEC |
$1,500,000 |
Goldman Sachs & Co. |
Goldman Sachs |
financial services |
2006 |
SEC |
$1,500,000 |
J.P. Morgan Securities, Inc. |
JPMorgan Chase |
financial services |
2006 |
SEC |
$1,500,000 |
Lehman Brothers Inc. |
Lehman Brothers |
financial services |
2006 |
SEC |
$1,500,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
Bank of America |
financial services |
2006 |
SEC |
$1,500,000 |
Morgan Keegan & Company, Inc. |
Raymond James Financial |
financial services |
2006 |
SEC |
$125,000 |
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. |
Morgan Stanley |
financial services |
2006 |
SEC |
$1,500,000 |
Piper Jaffray & Co. |
Piper Sandler |
financial services |
2006 |
SEC |
$125,000 |
RBC Dain Rauscher Inc |
Royal Bank of Canada |
financial services |
2006 |
SEC |
$1,500,000 |
SunTrust Capital Markets Inc. |
Truist Financial |
financial services |
2006 |
SEC |
$125,000 |
Wachovia Capital Markets, LLC |
Wells Fargo |
financial services |
2006 |
SEC |
$125,000 |
Unified Fund Services, Inc. |
|
|
2006 |
SEC |
$125,000 |
Bio-Heal Laboratories, Inc. |
|
|
2006 |
SEC |
$618,135 |
National Clearing Corporation |
|
|
2006 |
SEC |
$2,000,000 |
Bear, Stearns & Co., Inc. |
JPMorgan Chase |
financial services |
2006 |
SEC |
$250,000,000 |
Langley Partners, North Olmsted Partners and Quantico Partners |
|
|
2006 |
SEC |
$13,517,928 |
Vector Medical Technologies, Inc. |
|
|
2006 |
SEC |
$14,208,718 |
Venture Capital Holdings LLC |
|
|
2006 |
SEC |
$4,808,953 |
American International Group, Inc. |
American International Group |
financial services |
2006 |
SEC |
$800,000,000 |
Deutsche Bank Securities, Inc. |
Deutsche Bank |
financial services |
2006 |
SEC |
$442,954 |
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. |
Deutsche Bank |
financial services |
2006 |
SEC |
$17,200,000 |
Spinner Asset Management, LLC and Spinner Global Technology Fund, Ltd.? |
|
|
2006 |
SEC |
$495,596 |
Kaplan & Co., Securities, Inc. |
|
|
2006 |
SEC |
$100,000 |
FCA Corp. |
|
|
2006 |
SEC |
$25,000 |
Statoil, ASA |
Equinor |
oil and gas |
2006 |
SEC |
$10,500,000 |
Wall Street Access |
|
|
2006 |
SEC |
$688,084 |
Strong Capital Management, Inc. |
Wells Fargo |
financial services |
2006 |
SEC |
$2,185,927 |
Cantella & Company, Inc. |
|
|
2006 |
SEC |
$50,000 |
Deutsche Investment Management Americas, Inc. et al. |
Deutsche Bank |
financial services |
2006 |
SEC |
$19,329,729 |
Dunham & Associates Investment Counsel, Inc. |
|
|
2006 |
SEC |
$150,000 |
Delaware Service Company, Inc. |
|
|
2006 |
SEC |
$435,000 |
Waddell & Reed, Inc. |
Waddell & Reed Financial Inc. |
financial services |
2006 |
SEC |
$50,000,000 |
Senior Resources Asset Fund, LLC |
|
|
2006 |
SEC |
$3,699,203 |
Herzog, Heine, Geduld, LLC |
|
|
2006 |
SEC |
$1,500,000 |
IFMG Securities, Inc. |
|
|
2006 |
SEC |
$1,000,000 |
Weiss Research, Inc |
|
|
2006 |
SEC |
$1,991,141 |
CapitalWorks Investment Partners, LLC |
|
|
2006 |
SEC |
$40,000 |
Hutchens Investment Management, Inc.? |
|
|
2006 |
SEC |
$40,000 |
Computershare Trust Company of Canada |
|
|
2006 |
SEC |
$1,101,868 |
INET ATS, Inc. |
|
|
2006 |
SEC |
$350,000 |
Metropolitan Life Insurance Company |
MetLife |
financial services |
2006 |
SEC |
$250,000 |
New England Securities Corp. |
|
|
2006 |
SEC |
$2,614,865 |
Morgan Keegan & Co., Inc. |
Raymond James Financial |
financial services |
2006 |
SEC |
$558,806 |
Canary Capital Partners LLC |
|
|
2006 |
NJ-AG |
$10,000,000 |
Deutsche Bank AG |
Deutsche Bank |
financial services |
2006 |
NY-AG |
(*) $208,000,000 |
First Montauk Securities Corp. |
|
|
2006 |
NJ-AG |
$475,000 |
ING |
Voya Financial |
financial services |
2006 |
MULTI-AG |
$33,000,000 |
J.P. Turner & Company, L.L.C. |
|
|
2006 |
NJ-AG |
$195,000 |
New York State United Teachers |
|
|
2006 |
NY-AG |
$100,000 |
Prudential Equity Group |
Prudential Financial |
financial services |
2006 |
MULTI-AG |
(*) $270,000,000 |
Prudential Equity Group |
Prudential Financial |
financial services |
2006 |
NY-AG |
(*) $270,000,000 |
The Hartford Financial Services Group |
Hartford Financial Services |
financial services |
2006 |
MULTI-AG |
$20,000,000 |
UBS Financial Services Inc. |
UBS |
financial services |
2006 |
NJ-AG |
$24,750,000 |
Wachovia Capital Markets LLC |
Wells Fargo |
financial services |
2006 |
MULTI-AG |
$25,000,000 |
Waddell & Reed, Inc. |
Waddell & Reed Financial Inc. |
financial services |
2006 |
NY-AG |
(*) $75,000,000 |
Morgan Stanley DW Inc. |
Morgan Stanley |
financial services |
2006 |
NY-AG |
$1,040,964 |
Index Analysis Pool, LP and Index Analysis Services |
|
|
2006 |
AK-DBS |
$25,000 |