MJG Enterprises, Inc. dba Mike's Lock Club |
|
|
2010 |
AZ-SEC |
$0 |
PanaMed Corp. |
|
|
2004 |
SEC |
$5,000 |
BNB Capital, Inc. |
|
|
2002 |
SEC |
$5,000 |
National Stock Transfer Inc. |
|
|
2000 |
SEC |
$5,000 |
WWW Advisors, Inc. |
|
|
2000 |
SEC |
$5,000 |
Asset Timing Corp. |
|
|
2000 |
SEC |
$5,000 |
39 Lispenard Project, LLC |
|
|
2015 |
NY-AG |
$5,000 |
Touchstone Funds Group Trust |
|
|
2013 |
AK-DBS |
$5,000 |
Arbor Capital Management, Inc. |
|
|
2013 |
AK-DBS |
$5,000 |
McKinley Capital Non-US Small Cap Growth Fund |
|
|
2015 |
AK-DBS |
$5,000 |
Clean Energy Pathways, Inc. |
|
|
2010 |
AL-SEC |
$5,000 |
Global Financial Private Capital, LLC |
|
|
2014 |
AL-SEC |
$5,000 |
Girosol of Kentucky, Corp. |
|
|
2008 |
AR-SEC |
$5,000 |
Southwestern Union Conference of Seventh-day Adventists |
|
|
2008 |
AR-SEC |
$5,000 |
Key Financial Corp. |
|
|
2009 |
AR-SEC |
$5,000 |
PowerOne Corp. |
|
|
2014 |
AR-SEC |
$5,000 |
Texas Energy Mutual, LLC |
|
|
2014 |
AR-SEC |
$5,000 |
Crews and Associates, Inc. |
|
|
2019 |
AR-SEC |
$5,000 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2019 |
AR-SEC |
$5,000 |
Truckville Inc. dba EZ Finance Auto Sales |
|
|
2000 |
AZ-SEC |
$5,000 |
Steven S. Levine Chartered |
|
|
2001 |
AZ-SEC |
$5,000 |
William R. Evans Chartered |
|
|
2002 |
AZ-SEC |
$5,000 |
Beneficial Assistance |
|
|
2002 |
AZ-SEC |
$5,000 |
Estate Conservation Strategies, Inc. |
|
|
2002 |
AZ-SEC |
$5,000 |
Universal FX Incorporated |
|
|
2005 |
AZ-SEC |
$5,000 |
Worldwide Forex, Inc. |
|
|
2005 |
AZ-SEC |
$5,000 |
Centenarios Gold, Inc. |
|
|
2005 |
AZ-SEC |
$5,000 |
WSK Energy, L.L.C. |
|
|
2006 |
AZ-SEC |
$5,000 |
Panama Capital Funding, L.L.C. |
|
|
2008 |
AZ-SEC |
$5,000 |
Sports Dimensions, Inc. |
|
|
2010 |
AZ-SEC |
$5,000 |
Global Trading Partners, LLC |
|
|
2010 |
AZ-SEC |
$5,000 |
La Bella Investments, LLC |
|
|
2010 |
AZ-SEC |
$5,000 |
Sellman Weis Mortgage & Investment Corp. |
|
|
2010 |
AZ-SEC |
$5,000 |
New Rise Investments, L.L.C. and AZ Real Estate Group, L.L.C |
|
|
2011 |
AZ-SEC |
$5,000 |
MT Explorations, LLC |
|
|
2012 |
AZ-SEC |
$5,000 |
Real Estate Monster, LLC |
|
|
2013 |
AZ-SEC |
$5,000 |
Biltmore Wealth Advisors, LLC |
|
|
2015 |
AZ-SEC |
$5,000 |
Priority Wealth Advisors, Inc. |
|
|
2020 |
AZ-SEC |
$5,000 |
Simpson Capital Management, Inc. |
|
|
2014 |
CA-DFPI |
$5,000 |
WCM Global Wealth, LLC |
|
|
2015 |
CA-DFPI |
$5,000 |
Harbor Island Wealth Management |
|
|
2017 |
CA-DFPI |
$5,000 |
Continuum Financial Partners, LLC |
|
|
2017 |
CA-DFPI |
$5,000 |
Tiburon Research Group, Inc. |
|
|
2018 |
CA-DFPI |
$5,000 |
Roll-A-Cover, LLC |
|
|
2007 |
CT-SEC |
$5,000 |
Silver Oak Securities, Inc. |
|
|
2009 |
CT-SEC |
$5,000 |
Multivend, LLC dba Vendstar |
|
|
2009 |
CT-SEC |
$5,000 |
CT Equity Partners, LLC |
|
|
2009 |
CT-SEC |
$5,000 |
Mercer Capital Ltd. |
|
|
2010 |
CT-SEC |
$5,000 |
Prosper Marketplace, Inc. |
Prosper Marketplace |
financial services |
2010 |
CT-SEC |
$5,000 |
Spear Capital Management, Inc. |
|
|
2011 |
CT-SEC |
$5,000 |
Brookville Capital Partners |
|
|
2012 |
CT-SEC |
$5,000 |
Columbus Advisory Group, Ltd. |
|
|
2014 |
CT-SEC |
$5,000 |
First Connecticut Capital, LLC |
|
|
2015 |
CT-SEC |
$5,000 |
David Lerner Associates, Inc. |
|
|
2016 |
CT-SEC |
$5,000 |
Evans Technology Holding Co. |
|
|
2018 |
CT-SEC |
$5,000 |
Empire Wine & Liquor Superstore CT, LLC |
|
|
2018 |
CT-SEC |
$5,000 |
Blaine Capital, LLC |
|
|
2018 |
CT-SEC |
$5,000 |
Blackboard, Inc. |
|
|
2004 |
DC-DISB |
$5,000 |
J.P. Morgan Securities LLC |
JPMorgan Chase |
financial services |
2018 |
DC-DISB |
$5,000 |
Miller Johnson Steichen Kinnard, Inc. |
|
|
2005 |
DE-SEC |
$5,000 |
Condor and Eagle, Inc., Contact Generation, Inc. and TCI |
|
|
2000 |
FL-OFR |
$5,000 |
The Providence Group dba The Providence Investment Club |
|
|
2001 |
FL-OFR |
$5,000 |
Trinity Investment Club Ltd. |
|
|
2001 |
FL-OFR |
$5,000 |
Sterling Associates |
|
|
2002 |
FL-OFR |
$5,000 |
C.J.M. Planning Corp. |
|
|
2002 |
FL-OFR |
$5,000 |
Rushmore Securities Corp. |
|
|
2002 |
FL-OFR |
$5,000 |
ICMA-RC Services, LLC |
|
|
2002 |
FL-OFR |
$5,000 |
International Securities Corp. |
|
|
2002 |
FL-OFR |
$5,000 |
Triad Advisors, Inc. |
|
|
2002 |
FL-OFR |
$5,000 |
PRS Latam, LLC |
|
|
2003 |
FL-OFR |
$5,000 |
Veravest Investments, Inc. |
|
|
2003 |
FL-OFR |
$5,000 |
ProEquities, Inc. |
Dai-ichi Life |
financial services |
2004 |
FL-OFR |
$5,000 |
PFS Investments, Inc. |
|
|
2006 |
FL-OFR |
$5,000 |
Sine Capital, Inc. |
|
|
2016 |
FL-OFR |
$5,000 |
Investment Planning, LLC |
|
|
2017 |
GA-SEC |
$5,000 |
CSG Wealth Management |
|
|
2018 |
GA-SEC |
$5,000 |
Blazer Financial Advisors, Inc. |
|
|
2019 |
GA-SEC |
$5,000 |
Power Supplies & Equipment Ltd. |
|
|
2020 |
GA-SEC |
$5,000 |
Morgan Sterling Currency Exchange, Inc. |
|
|
2001 |
ID-SEC |
$5,000 |
Lost Rivers Hospital District dba Lost Rivers Medical Center |
|
|
2003 |
ID-SEC |
$5,000 |
Multi-Financial Securities Corp. |
|
|
2004 |
ID-SEC |
$5,000 |
John Thomas Financial |
|
|
2009 |
ID-SEC |
$5,000 |
Strategic Capital Alternatives, LLC |
|
|
2012 |
ID-SEC |
$5,000 |
Beacon Rock Investment Advisors, LLC |
|
|
2013 |
ID-SEC |
$5,000 |
SeaQuest Holdings LLC |
|
|
2017 |
ID-SEC |
$5,000 |
Russ Trading Inc. and Cactus Partners LP |
|
|
2017 |
ID-SEC |
$5,000 |
Polite and Company |
|
|
2003 |
IL-SEC |
$5,000 |
High Tech Financial Products aka EBD Consulting, Inc. |
|
|
2004 |
IL-SEC |
$5,000 |
Janney Montgomery Scott LLC |
Penn Mutual |
financial services |
2004 |
IL-SEC |
$5,000 |
G.D. Castillo M.D. Ltd. Profit Sharing Plan |
|
|
2005 |
IL-SEC |
$5,000 |
Stralem & Company, Inc. |
|
|
2006 |
IL-SEC |
$5,000 |
Z Touch Systems, Inc. |
|
|
2006 |
IL-SEC |
$5,000 |
SilverShore Investment Group |
|
|
2009 |
IL-SEC |
$5,000 |
Ghetzler Aero-Power Corp. |
|
|
2010 |
IL-SEC |
$5,000 |
Tax Recovery Team |
|
|
2011 |
IL-SEC |
$5,000 |
Fran Span Global, LLC et al. |
|
|
2011 |
IL-SEC |
$5,000 |
Government Benefit Advisors, LLC |
|
|
2015 |
IL-SEC |
$5,000 |
Elite Group Financial, LLC |
|
|
2015 |
IL-SEC |
$5,000 |
LT Solutions Corp. |
|
|
2016 |
IL-SEC |
$5,000 |
72Vest Level Three, LLC |
|
|
2016 |
IL-SEC |
$5,000 |
Elite Group Financial, LLC |
|
|
2016 |
IL-SEC |
$5,000 |