Peregrine Financial Group, Inc. |
|
|
2000 |
CFTC |
$90,000 |
Farmers Cooperative Company |
|
|
2000 |
CFTC |
$100,000 |
Sogemin Metals Inc. |
|
|
2000 |
CFTC |
$500,000 |
First Options of Chicago, Inc. |
|
|
2000 |
CFTC |
$163,000 |
ESL Partners, L.P. |
|
|
2008 |
FTC |
$525,000 |
ValueAct Capital Partners |
|
|
2007 |
FTC |
$1,100,000 |
ESL Partners L.P. and ZAM Holdings L.P. |
|
|
2008 |
DOJ_ANTITRUST |
$800,000 |
ValueAct Capital Partners L.P. |
|
|
2007 |
DOJ_ANTITRUST |
$1,100,000 |
Compass Capital Group, Inc. |
|
|
2009 |
SEC |
$800,000 |
Concorde America, Inc. |
|
|
2009 |
SEC |
$841,175 |
GMC Holding Corporation |
|
|
2009 |
SEC |
$2,090,000 |
Value Line Inc. |
|
|
2009 |
SEC |
$43,705,765 |
Thompson Price Holding Inc. |
|
|
2009 |
SEC |
$288,815 |
Lion Gate Capital, Inc. |
|
|
2009 |
SEC |
$150,000 |
Hazan Capital Management LLC |
|
|
2009 |
SEC |
$4,000,000 |
TJM Proprietary Trading LLC |
|
|
2009 |
SEC |
$541,000 |
Perry Corp. |
|
|
2009 |
SEC |
$150,000 |
Marshall Holdings International, Inc. |
|
|
2009 |
SEC |
$8,974,033 |
Colonial Fund LLC and Colonial Investment Management LLC |
|
|
2009 |
SEC |
$1,400,000 |
Golden State Equity Investors, Inc. |
|
|
2009 |
SEC |
$1,577,579 |
M.A.G. Capital LLC |
|
|
2009 |
SEC |
$100,000 |
Lazard Capital Markets LLC |
|
|
2008 |
SEC |
$2,847,008 |
H&M Petroleum Corporation and American Energy Resources Corporation |
|
|
2008 |
SEC |
$510,000 |
Oriental New Investments, Ltd. and Orienstar Finance, Ltd. |
|
|
2008 |
SEC |
$41,774,923 |
Quogue Capital LLC |
|
|
2008 |
SEC |
$390,000 |
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group |
|
|
2008 |
SEC |
$6,417,122 |
FacePrint Global Solutions, Inc. |
|
|
2008 |
SEC |
$1,573,825 |
Ritchie Multi-Strategy Global Trading Ltd. and Ritchie Capital Management LLC |
|
|
2008 |
SEC |
$39,900,000 |
AirTrac Inc. |
|
|
2008 |
SEC |
$2,005,401 |
Lazare Industries, Inc. |
|
|
2008 |
SEC |
$1,975,911 |
Armstrong Capital Ltd. and Bay Capital Investment Ltd. |
|
|
2007 |
SEC |
$1,795,000 |
TCMP3 Partners L.P., TCMP3 Capital LLC, and Titan Capital Management, LLC |
|
|
2007 |
SEC |
$1,045,060 |
Microphase Corp. |
|
|
2007 |
SEC |
$700,000 |
Sandell Asset Management Corp. |
|
|
2007 |
SEC |
$8,097,494 |
Regional Brokers, Inc. |
|
|
2007 |
SEC |
$100,000 |
Sure Trace Security Corporation |
|
|
2007 |
SEC |
$1,098,900 |
Commonwealth Equity Services, LLP |
|
|
2007 |
SEC |
$250,000 |
Detwiler, Mitchell, Fenton & Graves, Inc. |
|
|
2007 |
SEC |
$250,000 |
Platforms Wireless International Corp. |
|
|
2007 |
SEC |
$2,431,213 |
GLG Partners, L.P. |
|
|
2007 |
SEC |
$3,203,639 |
Camden Consulting, Inc. and SKS Consulting, Inc. |
|
|
2007 |
SEC |
$3,925,000 |
Blue Bottle Limited |
|
|
2007 |
SEC |
$10,846,785 |
Ashlin Capital, LLC and Kyoto Capital Group, LLC |
|
|
2007 |
SEC |
$455,700 |
Crestview Capital Partners |
|
|
2007 |
SEC |
$394,640 |
GetAnswers, Inc. |
|
|
2007 |
SEC |
$15,713,676 |
20th Century Jackson Equities, Inc. |
|
|
2007 |
SEC |
$470,269 |
1st Global Capital Corp. |
|
|
2006 |
SEC |
$100,000 |
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 |
Unified Fund Services, Inc. |
|
|
2006 |
SEC |
$125,000 |
Bio-Heal Laboratories, Inc. |
|
|
2006 |
SEC |
$618,135 |
National Clearing Corporation |
|
|
2006 |
SEC |
$2,000,000 |
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 |
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC |
|
|
2005 |
SEC |
$36,200,488 |
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management |
|
|
2005 |
SEC |
$148,000,000 |
House Asset Management, L.L.C. and House Edge, L.P. |
|
|
2005 |
SEC |
$1,375,767 |
DB Investment Managers, Inc. |
|
|
2005 |
SEC |
$33,159 |
Galleon Management, L.P. |
|
|
2005 |
SEC |
$2,020,450 |
Stracq, Inc. |
|
|
2005 |
SEC |
$660,000 |
Capital Concept Marketing, Inc. |
|
|
2005 |
SEC |
$580,000 |
Herman's World of Sports, Inc. |
|
|
2005 |
SEC |
$663,685 |
PanaMed Corp. |
|
|
2004 |
SEC |
$5,000 |
First Command Financial Planning, Inc. |
|
|
2004 |
SEC |
$12,000,000 |
Fremont Investment Advisors |
|
|
2004 |
SEC |
$4,146,000 |
Beacon Hill Asset Management, LLC |
|
|
2004 |
SEC |
$600,000 |
RS Investment Management L.P. |
|
|
2004 |
SEC |
$25,000,000 |
A.C.L.N. Ltd. and Scandinavian Car Carriers |
|
|
2004 |
SEC |
$27,000,000 |
Bridgeway Capital Management |
|
|
2004 |
SEC |
$5,116,464 |
National Institute Companies of America, Inc. |
|
|
2004 |
SEC |
$1,600,000 |
ACI Inc. |
|
|
2004 |
SEC |
$7,756,750 |
Van Wagoner Capital Management, Inc. |
|
|
2004 |
SEC |
$800,000 |
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc. |
|
|
2004 |
SEC |
$575,000 |
Needham & Company, Inc. |
|
|
2004 |
SEC |
$700,000 |
Inviva Inc. |
|
|
2004 |
SEC |
$5,000,000 |
World Class Limousines, Inc. and 1-800-GET-LIMO, Inc. |
|
|
2004 |
SEC |
$1,522,500 |
Performance Specialist Group LLC |
|
|
2004 |
SEC |
$2,171,932 |
SIG Specialists, Inc. |
|
|
2004 |
SEC |
$3,033,589 |
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices |
|
|
2004 |
SEC |
$1,431,369 |
Pilgrim Baxter & Associates, Ltd. |
|
|
2004 |
SEC |
$90,000,000 |
LNB Bancorp, Inc. |
|
|
2004 |
SEC |
$100,000 |
CDH & Affiliates, Inc. |
|
|
2004 |
SEC |
$4,317,616 |
Security Trust Company, N.A. |
|
|
2004 |
SEC |
$1,000,000 |
Bear Wagner Specialists LLC |
|
|
2004 |
SEC |
$16,259,446 |
Fleet Specialist, Inc. |
|
|
2004 |
SEC |
$59,097,469 |
LaBranche & Co., LLC |
|
|
2004 |
SEC |
$63,518,760 |
Van der Moolen Specialists USA, LLC |
|
|
2004 |
SEC |
$57,675,104 |
Ace Payday Plus, LLC |
|
|
2004 |
SEC |
$1,842,133 |
H.D. Vest Investment Securities, Inc. |
|
|
2004 |
SEC |
$725,216 |
Linsco/Private Ledger Corp. |
|
|
2004 |
SEC |
$2,232,805 |
Premier Marketing and Investments, Inc. |
|
|
2003 |
SEC |
$4,497,451 |
Nutrition Superstores.Com, Inc. and Advanced Wound Care, Inc. |
|
|
2003 |
SEC |
$10,500,000 |
The Gaming Factory, Inc. |
|
|
2003 |
SEC |
$2,100,102 |
Stratcomm Media Ltd. |
|
|
2003 |
SEC |
$45,400,000 |
EyeCashNetworks, Inc. and Alliance Equities, Inc. |
|
|
2003 |
SEC |
$688,230 |
North American Medical Products, Inc. |
|
|
2003 |
SEC |
$120,000 |
TrendsGroup International, Inc. |
|
|
2003 |
SEC |
$445,691 |