Water Island Capital LLC |
|
|
2015 |
SEC |
$50,000 |
Child, Van Wagoner & Bradshaw, PLLC |
|
|
2015 |
SEC |
$130,506 |
New Line Capital, LLC |
|
|
2015 |
SEC |
$25,000 |
Wyoming Investment Management Services, LLC |
|
|
2015 |
SEC |
$10,000 |
International Capital Group, LLC |
|
|
2015 |
SEC |
$3,170,054 |
First National Community Bancorp Inc |
|
|
2015 |
SEC |
$175,000 |
Consulting Services Group, LLC |
|
|
2015 |
SEC |
$150,000 |
Shelton Financial Group, Inc. |
|
|
2015 |
SEC |
$190,066 |
EDGA Exchange, Inc. and EDGX Exchange, Inc. |
|
|
2015 |
SEC |
$14,000,000 |
AMP Global Clearing LLC |
|
|
2018 |
CFTC |
$100,000 |
Edwin Shaw LLC |
|
|
2018 |
SEC |
$544,744 |
Dedicated Sound and Audio, Inc. |
|
|
2018 |
SEC |
$250,000 |
Choice Equity |
|
|
2018 |
SEC |
$2,430,850 |
Southridge Capital Management LLC and Southridge Advisors LLC |
|
|
2018 |
SEC |
$7,864,064 |
Williams Advisory Group, LLC |
|
|
2018 |
CFTC |
$19,450,034 |
Maverick International, Inc. |
|
|
2018 |
CFTC |
$8,605,274 |
Capital Cove Bancorp LLC |
|
|
2018 |
SEC |
$1,829,868 |
Geneos Wealth Management Inc. |
|
|
2018 |
SEC |
$1,808,121 |
CSIR Group, LLC |
|
|
2018 |
SEC |
$17,142 |
Verto Capital Management LLC |
|
|
2018 |
SEC |
$620,594 |
Electronic Transaction Clearing Inc. |
|
|
2018 |
SEC |
$80,000 |
Eureeca Capital SPC |
|
|
2014 |
SEC |
$25,000 |
Clean Energy Capital, LLC |
|
|
2014 |
SEC |
$2,246,030 |
Rothman Securities, Inc. |
|
|
2014 |
SEC |
$90,000 |
Highland Capital Management, L.P. |
|
|
2014 |
SEC |
$225,000 |
Colorado Financial Service Corporation |
|
|
2014 |
SEC |
$25,000 |
Westend Capital Management, LLC |
|
|
2014 |
SEC |
$150,000 |
Security Capital Research & Management Incorporated |
|
|
2014 |
SEC |
$88,000 |
Willis Lease Finance Corporation |
|
|
2014 |
SEC |
$150,000 |
Tel-Instrument Electronics Corp. |
|
|
2014 |
SEC |
$75,000 |
Del Mar Asset Management, LP |
|
|
2014 |
SEC |
$66,000 |
Lazarus Management Company LLC |
|
|
2014 |
SEC |
$60,000 |
P.A.W. Capital Partners, L.P. |
|
|
2014 |
SEC |
$68,000 |
RIMA Senvest Management, LLC |
|
|
2014 |
SEC |
$68,000 |
Sankaty Advisors, LLC |
|
|
2014 |
SEC |
$68,000 |
Trinad Management, LLC |
|
|
2014 |
SEC |
$95,000 |
Ridgeback Capital Management LP |
|
|
2014 |
SEC |
$104,500 |
Structured Portfolio Management, L.L.C., SPM Jr., L.L.C., and SPM IV, L.L.C. |
|
|
2014 |
SEC |
$300,000 |
Monness, Crespi, Hardt & Co., Inc. |
|
|
2014 |
SEC |
$150,000 |
The Phoenix Companies, Inc. |
|
|
2014 |
SEC |
$100,000 |
PHL Variable Insurance Company |
|
|
2014 |
SEC |
$100,000 |
Dominick & Dominick LLC |
|
|
2014 |
SEC |
$75,000 |
Lakeside Capital Management, LLC |
|
|
2014 |
SEC |
$590,152 |
Paradigm Capital Management, Inc. |
|
|
2014 |
SEC |
$2,181,771 |
UASNM, Inc. |
|
|
2014 |
SEC |
$100,000 |
Genesis Advisory Services Corp. and ABJ Societe Anonyme Corp. |
|
|
2014 |
SEC |
$1,583,942 |
Ironbird Capital LLC |
|
|
2014 |
SEC |
$335,435 |
HD Mile High Marketing, Inc. |
|
|
2014 |
SEC |
$250,076 |
Ruby Corporation |
|
|
2014 |
SEC |
$1,100,000 |
Lightspeed Trading LLC |
|
|
2014 |
SEC |
$478,216 |
The Phoenix Companies, Inc. |
|
|
2014 |
SEC |
$375,000 |
PHL Variable Insurance Company |
|
|
2014 |
SEC |
$375,000 |
BDL Manager LLC |
|
|
2014 |
SEC |
$3,297,740 |
Worldwide Capital, Inc. |
|
|
2014 |
SEC |
$7,253,726 |
Axius Holdings, LLC |
|
|
2014 |
SEC |
$60,881 |
Madigan Enterprises, Inc. et al. |
|
|
2018 |
CFTC |
$3,589,913 |
Glencore Agriculture B.V., |
|
|
2018 |
CFTC |
$2,000,000 |
Securities Compliance Group, Ltd. |
|
|
2018 |
SEC |
$27,655 |
Revolutionary Concepts, Inc. |
|
|
2018 |
SEC |
$25,000 |
SEI Investments Global Funds Services |
|
|
2018 |
SEC |
$225,000 |
WCAS Management Corporation? |
|
|
2018 |
SEC |
$778,819 |
Arlington Capital Management, Inc. |
|
|
2018 |
SEC |
$125,000 |
Jim Poe and Associates, Inc. |
|
|
2013 |
SEC |
$35,000 |
West Coast Asset Management, Inc. |
|
|
2013 |
SEC |
$56,186 |
John Thomas Financial Inc. |
|
|
2013 |
SEC |
$500,000 |
Mazuma Corporation et al. |
|
|
2013 |
SEC |
$1,449,978 |
Agamas Capital Management, LP |
|
|
2013 |
SEC |
$250,000 |
Fry Hensley and Company |
|
|
2013 |
SEC |
$894,657 |
Ox Trading, LLC, et al. |
|
|
2013 |
SEC |
$50,000 |
Manarin Investment Counsel, Ltd., et al. |
|
|
2013 |
SEC |
$1,052,747 |
Commonwealth Income & Growth Fund, Inc. |
|
|
2013 |
SEC |
$367,656 |
Sarkauskas and Associates, Inc. |
|
|
2013 |
SEC |
$449,837 |
North East Capital, LLC |
|
|
2013 |
SEC |
$346,132 |
A.R. Schmeidler & Co., Inc. |
|
|
2013 |
SEC |
$1,011,564 |
Goelzer Investment Management, Inc.? |
|
|
2013 |
SEC |
$463,793 |
Comprehensive Capital Management, Inc. |
|
|
2013 |
SEC |
$120,000 |
Rosenberg Rich Baker Berman & Company |
|
|
2013 |
SEC |
$37,000 |
Noonan Capital Management, LLC |
|
|
2013 |
SEC |
$104,825 |
Northern Lights Compliance Services, LLC, et al. |
|
|
2013 |
SEC |
$50,000 |
HarborLight Capital Management, LLC? |
|
|
2013 |
SEC |
$270,615 |
Foxhall Capital Management, Inc |
|
|
2013 |
SEC |
$122,430 |
Banco Comercial Portugues, S.A. |
|
|
2013 |
SEC |
$1,892,058 |
Oxford Investment Partners, LLC |
|
|
2013 |
SEC |
$274,295 |
Ardsley Advisory Partners |
|
|
2013 |
SEC |
$815,071 |
IMC Asset Management, Inc. |
|
|
2013 |
SEC |
$30,000 |
Egan-Jones Ratings Company |
|
|
2013 |
SEC |
$30,000 |
MiddleCove Capital, LLC |
|
|
2013 |
SEC |
$788,118 |
New America High Income Fund, Inc. |
|
|
2012 |
SEC |
$413,399 |
New England Investment and Retirement Group, Inc. |
|
|
2012 |
SEC |
$200,000 |
Aladdin Capital Management LLC |
|
|
2012 |
SEC |
$1,618,831 |
Edelweiss Financial Services Limited |
|
|
2012 |
SEC |
$568,347 |
JM Financial Institutional Securities Private Limited |
|
|
2012 |
SEC |
$443,545 |
Motilal Oswal Securities Limited |
|
|
2012 |
SEC |
$821,594 |
Ambit Capital Pvt. Ltd. |
|
|
2012 |
SEC |
$30,910 |
EM Capital Management, LLC? |
|
|
2012 |
SEC |
$20,000 |
BTS Asset Management, Inc. |
|
|
2012 |
SEC |
$200,000 |
Tilden Loucks & Woodnorth and LLC, Lasalle St. Securities, LLC |
|
|
2012 |
SEC |
$200,000 |
JCSD Capital, LLC |
|
|
2012 |
SEC |
$94,222 |
Prescient Capital Partners, Ltd. |
|
|
2012 |
SEC |
$29,968 |
Stock Markets Institute, Inc. |
|
|
2012 |
SEC |
$75,000 |
Western Pacific Capital Management, LLC |
|
|
2012 |
SEC |
$781,940 |