Integral Financial, LLC |
|
|
2021 |
SEC |
$85,000 |
Coburn & Meredith, Inc |
|
|
2021 |
SEC |
$299,340 |
Canton Hathaway LLC |
|
|
2021 |
SEC |
$25,000 |
Carmel Capital Management LLC |
|
|
2021 |
SEC |
$25,000 |
Castle Wealth Planning LLC |
|
|
2021 |
SEC |
$25,000 |
Cohen Klingenstein LLC |
|
|
2021 |
SEC |
$97,523 |
Dynamic Trading Management LLC |
|
|
2021 |
SEC |
$10,000 |
Eastside Financial Advisors LLC |
|
|
2021 |
SEC |
$10,000 |
Embree Financial Group Inc. |
|
|
2021 |
SEC |
$97,523 |
Harold Davidson & Associates Inc. |
|
|
2021 |
SEC |
$25,000 |
John A. Bysko Associates |
|
|
2021 |
SEC |
$25,000 |
Madden Funds Management Ltd. |
|
|
2021 |
SEC |
$25,000 |
Medallion Wealth Advisors LLC |
|
|
2021 |
SEC |
$25,000 |
Mighty Oak Strong America Investment Company |
|
|
2021 |
SEC |
$25,000 |
Minot DeBlois Advisors LLC |
|
|
2021 |
SEC |
$97,523 |
O'Brien Greene & Co. Inc. |
|
|
2021 |
SEC |
$25,000 |
Paratus Financial Inc. |
|
|
2021 |
SEC |
$97,523 |
Quantitative Asset Management LLC |
|
|
2021 |
SEC |
$25,000 |
Sauberan & Company LLC |
|
|
2021 |
SEC |
$10,000 |
Summit Financial Advisors Inc. |
|
|
2021 |
SEC |
$25,000 |
The Cavanaugh Group Inc. |
|
|
2021 |
SEC |
$50,000 |
Westbourne Investments Inc. |
|
|
2021 |
SEC |
$25,000 |
Bill Parker Agency |
|
|
2021 |
SEC |
$10,000 |
Birkelbach & Co. |
|
|
2021 |
SEC |
$10,000 |
Capital Portfolio Management Inc. |
|
|
2021 |
SEC |
$25,000 |
Greentree Investment Services Inc. |
|
|
2021 |
SEC |
$10,000 |
ST Invest LLC d/b/a Trade App |
|
|
2021 |
SEC |
$10,000 |
Tradier Brokerage Inc. |
|
|
2021 |
SEC |
$50,000 |
First Capital Real Estate Investments, LLC |
|
|
2021 |
SEC |
$3,876,400 |
UBS Financial Services Inc. |
UBS |
financial services |
2021 |
SEC |
$8,112,174 |
Cascade Investment Group, Inc |
|
|
2021 |
SEC |
$125,000 |
Blotics Ltd |
|
|
2021 |
SEC |
$201,687 |
Momentus Inc. |
|
|
2021 |
SEC |
$7,000,000 |
Stable Road Acquisition Company |
|
|
2021 |
SEC |
$1,000,000 |
Kestra Private Wealth Services, LLC |
|
|
2021 |
SEC |
$299,569 |
Kestra Advisory Services, LLC |
|
|
2021 |
SEC |
$10,003,172 |
Hilltop Securities Inc. |
Hilltop Holdings |
financial services |
2021 |
SEC |
$340,193 |
PLS, CPA |
|
|
2021 |
SEC |
$73,028 |
St. Germain Investment Management, Inc. |
|
|
2021 |
SEC |
$1,925,250 |
Parallax Health Sciences Inc. |
|
|
2021 |
SEC |
$100,000 |
Westport Capital Markets, LLC |
|
|
2021 |
SEC |
$1,320,761 |
Securities America Advisors, Inc. |
Reverence Capital Partners |
private equity (including portfolio companies) |
2021 |
SEC |
$1,750,000 |
Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research |
|
|
2021 |
SEC |
$83,582 |
Neovest Inc. |
|
|
2021 |
SEC |
$2,750,000 |
Crown Capital Securities, L.P. |
|
|
2021 |
SEC |
$1,587,912 |
Gateway One Lending & Finance, LLC |
|
|
2021 |
SEC |
$6,513,192 |
Guggenheim Securities, LLC |
|
|
2021 |
SEC |
$208,912 |
Loci Inc. |
|
|
2021 |
SEC |
$7,600,000 |
Intervest International, Inc. |
|
|
2021 |
SEC |
$205,277 |
Feltl Advisors, LLC |
|
|
2021 |
SEC |
$333,971 |
Verus Capital Partners, LLC |
|
|
2021 |
SEC |
$45,000 |
E&H Investment Services, LLC |
|
|
2021 |
SC-INS |
$20,975 |
Trinity Asset Partners, LLC |
|
|
2021 |
SC-INS |
$11,200 |
GSE Properties, LLC and 544 South Joint Venture |
|
|
2021 |
SC-INS |
$30,000 |
GPB Capital Holdings, LLC et al. |
|
|
2021 |
SC-INS |
$10,200,000 |
Fx Trader Stock |
|
|
2021 |
SC-INS |
$200,000 |
Legacy Wealth Advisors, Inc. |
|
|
2021 |
TX-SEC |
$15,000 |
Paul Winkler, Inc. |
|
|
2021 |
TX-SEC |
$5,000 |
Pioneer Square Advisors, LLC |
|
|
2021 |
WA-SEC |
$25,000 |
Sommers Financial Management, LLC |
|
|
2021 |
WA-SEC |
$30,000 |
Capital Management Associates LLC |
|
|
2021 |
WA-SEC |
$5,000 |
Guardian Data Systems, LLC |
|
|
2021 |
WA-SEC |
$9,500 |
Tryp Technologies Inc. |
|
|
2021 |
WA-SEC |
$34,000 |
Resolute Capital Partners, Ltd. et al. |
|
|
2021 |
WA-SEC |
$263,525 |
NVSG702, LLC and NVSG702, LLC and Silverstate702, LLC |
|
|
2021 |
AZ-CC |
$559,699 |
AE Wealth Management, LLC |
|
|
2021 |
AZ-CC |
$1,309,400 |
CUNA Brokerage Services, Inc. |
CUNA Mutual |
financial services |
2021 |
AR-SEC |
$50,000 |
Black Hill Capital Partners Inc. |
|
|
2021 |
CA-DFPI |
$50,000 |
Denari Capital, LLC |
|
|
2021 |
CFTC |
$3,663,282 |
Digital Platinum Limited |
|
|
2021 |
CFTC |
$6,000,000 |
United States Commodity Funds LLC |
|
|
2021 |
CFTC |
$2,500,000 |
Tether Holdings Limited et al. |
|
|
2021 |
CFTC |
$41,000,000 |
Bitfinex |
|
|
2021 |
CFTC |
$1,500,000 |
UBS AG |
UBS |
financial services |
2021 |
CFTC |
$500,000 |
Lighthouse Futures, Ltd. |
|
|
2021 |
CFTC |
$370,000 |
ICE Clear Europe Limited |
|
|
2021 |
CFTC |
$450,000 |
Cargill Inc. |
Cargill |
agribusiness |
2021 |
CFTC |
$750,000 |
Societe Generale S.A. |
Societe Generale |
financial services |
2021 |
CFTC |
$1,500,000 |
Symphony Communication Services, LLC |
|
|
2021 |
CFTC |
$100,000 |
Payward Ventures, Inc. d/b/a Kraken |
|
|
2021 |
CFTC |
$1,250,000 |
Interactive Brokers LLC |
Interactive Brokers Group |
financial services |
2021 |
CFTC |
$84,320,000 |
KatchPips FX LLC |
|
|
2021 |
CFTC |
$374,480 |
Refinitiv US SEF LLC |
|
|
2021 |
CFTC |
$650,000 |
Mizuho Capital Markets LLC |
Mizuho Financial |
financial services |
2021 |
CFTC |
$1,500,000 |
Citibank, N.A. |
Citigroup |
financial services |
2021 |
CFTC |
$1,000,000 |
Commonwealth Equity Services, LLC dba Commonwealth Financial Network |
|
|
2021 |
CT-BKG |
$20,000 |
Aegis Capital Corp. |
|
|
2021 |
FINRA |
$2,800,000 |
Fame Route, LLC |
|
|
2021 |
KY-FIN |
$40,000 |
G.D. III, Inc. |
|
|
2021 |
MD-SEC |
$589,434 |
Uphold HQ Inc. |
|
|
2021 |
MN-FIN |
$10,270 |
Moody Reid Financial |
|
|
2021 |
MO-SEC |
$40,000 |
Skytec Security Services, LLC and Skytec Service KC, LLC |
|
|
2021 |
MO-SEC |
$2,151,130 |
Fresh Start Credit Services, LLC |
|
|
2021 |
MO-SEC |
$93,945 |
LaTour Asset Management, LLC |
|
|
2021 |
MO-SEC |
$15,000 |
Cryotherm USA, Inc. |
|
|
2021 |
MO-SEC |
$75,000 |
Perfectly Posh, LLC |
|
|
2021 |
MT-SEC |
$5,000 |
Norwex USA, Inc. |
|
|
2021 |
MT-SEC |
$5,000 |
Williams Wealth Management, LLC |
|
|
2021 |
NH-BSR |
$5,000 |
TFS Securities, Inc. |
|
|
2021 |
NJ-BOS |
$75,000 |
Volumetric Funds, Inc. |
|
|
2021 |
NJ-BOS |
$9,850 |
GTV Media Group, Inc. and Saraca Media Group, Inc. |
|
|
2021 |
NY-AG |
$479,900,000 |