Data Technology Group |
|
|
2002 |
OR-FIN |
$15,000 |
Las Vegas 220 SMR |
|
|
2002 |
OR-FIN |
$15,000 |
Westminster Holdings Ltd et al. |
|
|
2002 |
OR-FIN |
$15,000 |
Taramar Venture Capital LLC et al. |
|
|
2002 |
OR-FIN |
$55,000 |
Leading Solutions Inc. |
|
|
2002 |
OR-FIN |
$20,000 |
Sierra Pacific Mortgage Company Inc. |
|
|
2002 |
OR-FIN |
$20,360 |
Caffe Diva Group Ltd et al. |
|
|
2002 |
OR-FIN |
$75,000 |
U.S. Securities Intl. Corp. |
|
|
2002 |
OR-FIN |
$10,000 |
Asset Planning Group Inc. |
|
|
2002 |
TX-SEC |
$20,000 |
Kleinheinz Capital Partners Inc. |
|
|
2002 |
TX-SEC |
$60,000 |
IAC SECURITIES, INC. |
|
|
2002 |
VA-SEC |
$20,000 |
BASIN OIL & GAS CORPORATION |
|
|
2002 |
VA-SEC |
$5,500 |
AMPAK ENERGY COMPANY |
|
|
2002 |
VA-SEC |
$8,768 |
WASHINGTON SQUARE SECURITIES |
|
|
2002 |
VA-SEC |
$15,000 |
ALPHACOM, INC. |
|
|
2002 |
VA-SEC |
$20,000 |
SENIOR RETIREMENT SERVICES INC |
|
|
2002 |
VA-SEC |
$125,250 |
Senior Estate Planning Group, Inc. et al. |
|
|
2002 |
WA-FIN |
$20,000 |
Pacific West Securities, Inc. |
|
|
2002 |
WA-FIN |
$130,000 |
Clairmont Capitol, Inc. |
|
|
2002 |
WA-FIN |
$6,000 |
Boston Trading Advisors, LLC |
|
|
2003 |
CFTC |
$10,000 |
Alliance Capital Management L.P. |
Equitable Holdings |
financial services |
2003 |
SEC |
$250,000,000 |
Morgan Stanley DW Inc. |
Morgan Stanley |
financial services |
2003 |
SEC |
$50,000,000 |
Premier Marketing and Investments, Inc. |
|
|
2003 |
SEC |
$4,497,451 |
J.P. Morgan Securities Inc. |
JPMorgan Chase |
financial services |
2003 |
SEC |
$25,000,000 |
Schering-Plough Corporation |
Merck |
pharmaceuticals |
2003 |
SEC |
$1,000,000 |
Goldman Sachs |
Goldman Sachs |
financial services |
2003 |
SEC |
$9,305,382 |
Massachusetts Financial Services Company |
Sun Life Financial |
financial services |
2003 |
SEC |
$917,858 |
UBS PaineWebber, Inc. |
UBS |
financial services |
2003 |
SEC |
$500,000 |
Deutsche Asset Management, Inc. |
Deutsche Bank |
financial services |
2003 |
SEC |
$750,000 |
Lehman Brothers, Inc. |
Lehman Brothers |
financial services |
2003 |
SEC |
$2,500,000 |
SG Cowen Securities Corporation |
Cowen Inc. |
financial services |
2003 |
SEC |
$5,000,000 |
Nutrition Superstores.Com, Inc. and Advanced Wound Care, Inc. |
|
|
2003 |
SEC |
$10,500,000 |
The Gaming Factory, Inc. |
|
|
2003 |
SEC |
$2,100,102 |
Prudential Securities, Inc. |
Wells Fargo |
financial services |
2003 |
SEC |
$382,000 |
Stratcomm Media Ltd. |
|
|
2003 |
SEC |
$45,400,000 |
EyeCashNetworks, Inc. and Alliance Equities, Inc. |
|
|
2003 |
SEC |
$688,230 |
Bear, Stearns & Co. Inc. |
JPMorgan Chase |
financial services |
2003 |
SEC |
$80,000,000 |
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. |
Citigroup |
financial services |
2003 |
SEC |
$400,000,000 |
Credit Suisse First Boston LLC |
Credit Suisse |
financial services |
2003 |
SEC |
$200,000,000 |
Goldman, Sachs & Co. |
Goldman Sachs |
financial services |
2003 |
SEC |
$110,000,000 |
J.P. Morgan Securities Inc. |
JPMorgan Chase |
financial services |
2003 |
SEC |
$80,000,000 |
Lehman Brothers Inc. |
Lehman Brothers |
financial services |
2003 |
SEC |
$80,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Incorporated |
Bank of America |
financial services |
2003 |
SEC |
$200,000,000 |
Morgan Stanley & Co. Incorporated |
Morgan Stanley |
financial services |
2003 |
SEC |
$125,000,000 |
U.S. Bancorp Piper Jaffray Inc. |
Piper Sandler |
financial services |
2003 |
SEC |
$32,500,000 |
UBS Warburg LLC |
UBS |
financial services |
2003 |
SEC |
$80,000,000 |
North American Medical Products, Inc. |
|
|
2003 |
SEC |
$120,000 |
TrendsGroup International, Inc. |
|
|
2003 |
SEC |
$445,691 |
Rhino Advisors Inc. |
|
|
2003 |
SEC |
$1,000,000 |
Africa Gemstone Corporation |
|
|
2003 |
SEC |
$242,840 |
Robertson Stephens Inc. |
Bank of America |
financial services |
2003 |
SEC |
$33,000,000 |
FT Interactive Data |
|
|
2003 |
SEC |
$125,000 |
Brut, LLC |
|
|
2003 |
SEC |
$45,000 |
Research Capital, LLC |
|
|
2003 |
SEC |
$6,337 |
EquityAlert.com, Inc. and Innotech Corporation |
|
|
2003 |
SEC |
$31,555 |
Mid-Ohio Securities Corp. |
|
|
2003 |
SEC |
$25,000 |
Andover Brokerage, LLC |
|
|
2003 |
SEC |
$151,876 |
Spear, Leeds & Kellogg, L.P. |
Goldman Sachs |
financial services |
2003 |
SEC |
$450,000 |
Ascend Capital, LLC |
|
|
2003 |
SEC |
$46,258 |
Jamison, Eaton & Wood, Inc. |
|
|
2003 |
SEC |
$100,000 |
Baron Capital, Inc. |
|
|
2003 |
SEC |
$2,000,000 |
Harvest Financial Corporation |
|
|
2003 |
SEC |
$25,000 |
Alliance Capital Management |
Equitable Holdings |
financial services |
2003 |
NY-AG |
(*) $600,000,000 |
Saint Marketing, Inc. |
|
|
2003 |
CO-AG |
$372,000 |
Lotus Management |
|
|
2003 |
AK-DBS |
$50,000 |
Global Strategies Ltd. |
|
|
2003 |
AK-DBS |
$50,000 |
Edward D. Jones and Co.,LP |
Jones Financial |
financial services |
2003 |
AK-DBS |
$11,000 |
Scottsdale Financial Funding Group, LLC |
|
|
2003 |
AZ-SEC |
$3,391,570 |
One Vision Children's Foundation, Inc. |
|
|
2003 |
AZ-SEC |
$4,407,140 |
Bob's Cash Express, Inc. et al. |
|
|
2003 |
AZ-SEC |
$693,320 |
Non-Stop Shopping.com, Inc. dba 2C2K.com, Inc. |
|
|
2003 |
AZ-SEC |
$162,500 |
Martin & Griffin, LLC |
|
|
2003 |
AZ-SEC |
$6,982,222 |
DMS Power Cash Flow, L.L.C. and Persanco, L.L.C. |
|
|
2003 |
AZ-SEC |
$945,025 |
Ocean International Marketing, Ltd et al. |
|
|
2003 |
AZ-SEC |
$174,689 |
The Rockwell Financial Group, Inc. |
|
|
2003 |
DE-SEC |
$15,000 |
Waddell & Reed, Inc. |
Waddell & Reed Financial Inc. |
financial services |
2003 |
FL-OFR |
$8,800 |
T.H.E. Financial Group, Ltd. |
|
|
2003 |
FL-OFR |
$15,000 |
PRS Latam, LLC |
|
|
2003 |
FL-OFR |
$5,000 |
FFP Securities, Inc. |
|
|
2003 |
FL-OFR |
$20,000 |
WM Financial Services, Inc. |
|
|
2003 |
FL-OFR |
$40,000 |
CGF Securities, LLC |
|
|
2003 |
FL-OFR |
$7,500 |
Veravest Investments, Inc. |
|
|
2003 |
FL-OFR |
$5,000 |
Avenue Capital Investment, Inc. |
|
|
2003 |
ID-SEC |
$25,000 |
Galaxy Financial Services, Inc et al. |
|
|
2003 |
ID-SEC |
$209,000 |
Lost Rivers Hospital District dba Lost Rivers Medical Center |
|
|
2003 |
ID-SEC |
$5,000 |
Mortgage Underwriters, LLC |
|
|
2003 |
ID-SEC |
$304,000 |
McDonald Investments, Inc. |
|
|
2003 |
ID-SEC |
$25,000 |
SBU, Inc. |
|
|
2003 |
IL-SEC |
$20,000 |
Palm Beach Investment Group, Inc. |
|
|
2003 |
IL-SEC |
$10,000 |
Geneva Securities, Inc. |
|
|
2003 |
IL-SEC |
$20,000 |
Pro-Matrix Technologies, L.L.C. |
|
|
2003 |
IL-SEC |
$20,000 |
Genesis Worldwide, Inc. |
|
|
2003 |
IL-SEC |
$30,000 |
Downline Builders International |
|
|
2003 |
IL-SEC |
$20,000 |
Gold Capital Management, Inc. |
|
|
2003 |
IL-SEC |
$7,500 |
Polite and Company |
|
|
2003 |
IL-SEC |
$5,000 |
James L. Paris Financial Services, Inc. |
|
|
2003 |
ME-SEC |
$6,000 |
Mortgage Group III, LLC |
|
|
2003 |
MN-FIN |
$10,000 |
Berthel Fisher & Company |
Berthel Fisher |
financial services |
2003 |
MN-FIN |
$10,000 |
Eastern Energy Corp. |
|
|
2003 |
MN-FIN |
$8,000 |
CGF Securities, LLC |
|
|
2003 |
MN-FIN |
$5,000 |
U.S. Bancorp Piper Jaffray Inc. |
Piper Sandler |
financial services |
2003 |
MT-SEC |
$2,625,000 |