TBOC, LLC |
|
|
2012 |
WA-FIN |
$8,500 |
AMPAK ENERGY COMPANY |
|
|
2002 |
VA-SEC |
$8,768 |
Waddell & Reed, Inc. |
Waddell & Reed Financial Inc. |
financial services |
2003 |
FL-OFR |
$8,800 |
My Social Income, Inc. |
|
|
2010 |
IN-SEC |
$8,938 |
TPEG Securities, LLC |
|
|
2020 |
CT-SEC |
$8,950 |
Weldon LLC |
|
|
2013 |
AZ-SEC |
$9,000 |
The Social Equity Group, Inc. |
|
|
2004 |
CA-DFPI |
$9,000 |
ProEquities, Inc. |
Dai-ichi Life |
financial services |
2010 |
IN-SEC |
$9,000 |
Saturn Capital Management, LLC |
|
|
2011 |
IN-SEC |
$9,000 |
Grabill Bank |
|
|
2011 |
IN-SEC |
$9,000 |
Window World, Inc. |
|
|
2013 |
IN-SEC |
$9,000 |
Spar Cove Associates, Inc. |
|
|
2015 |
ME-SEC |
$9,000 |
ShareValue, Inc. |
|
|
2009 |
MO-SEC |
$9,000 |
Brookstreet Securities Corporation Inc. |
|
|
2005 |
OR-FIN |
$9,000 |
American Express Financial Advisors Inc. |
Ameriprise Financial |
financial services |
2000 |
TX-SEC |
$9,000 |
Titan Wealth Management LLC |
|
|
2007 |
TX-SEC |
$9,000 |
Legacy Harbor |
|
|
2007 |
TX-SEC |
$9,000 |
FIREHOUSE RESTAURANT ET AL. |
|
|
2005 |
VA-SEC |
$9,000 |
CAPITAL BUSINESS CONSULTANTS LLC |
|
|
2013 |
VA-SEC |
$9,000 |
Berkshire Resources LLC and Berkshire (4OL) LLP |
|
|
2007 |
WA-FIN |
$9,000 |
Third Eye Systems, LLC |
|
|
2001 |
WA-FIN |
$9,000 |
Porterfield Investments, Inc. et al. |
|
|
2006 |
MO-SEC |
$9,020 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
MO-SEC |
$9,130 |
Flatlander Industries, Inc. |
|
|
2006 |
IL-SEC |
$9,135 |
Allen Company of Florida, Inc. |
|
|
2006 |
IL-SEC |
$9,250 |
DA-VI NAILS INTERNATIONAL |
|
|
2008 |
VA-SEC |
$9,250 |
Dixon Insurance Agency |
|
|
2005 |
TN-SEC |
$9,268 |
BIO-FUEL DEVELOPMENT COMPANY |
|
|
2014 |
VA-SEC |
$9,300 |
SUMMIT WEALTH MANAGEMENT, LLC |
|
|
2011 |
VA-SEC |
$9,350 |
Wesleyan Investment Foundation, Inc. |
|
|
2017 |
IN-SEC |
$9,500 |
Andrew Garrett, Inc. |
|
|
2006 |
MO-SEC |
$9,500 |
GenSafe Plastics, Inc. |
|
|
2009 |
MO-SEC |
$9,500 |
H. Beck Inc. |
|
|
2010 |
TX-SEC |
$9,500 |
Citigroup Global Markets Inc. |
Citigroup |
financial services |
2014 |
VA-SEC |
$9,500 |
Driver Opportunity Partners I, LP and Driver Management Company, LLC |
|
|
2020 |
MD-FIN |
$9,500 |
Larada Sciences, LLC |
|
|
2018 |
WA-FIN |
$9,725 |
Solium Financial Services LLC |
Morgan Stanley |
financial services |
2020 |
OK-SEC |
$9,968 |
Boston Trading Advisors, LLC |
|
|
2003 |
CFTC |
$10,000 |
Windsor Street Capital, L.P. fka Meyers Associates |
|
|
2017 |
SEC |
$10,000 |
Wyoming Investment Management Services, LLC |
|
|
2015 |
SEC |
$10,000 |
Securities Transfer Corporation |
|
|
2011 |
SEC |
$10,000 |
Lone Star Transfer, Inc. |
|
|
2002 |
SEC |
$10,000 |
ND Money Management, Inc. |
|
|
2002 |
SEC |
$10,000 |
RansonCapital Corporation |
|
|
2002 |
SEC |
$10,000 |
Stan D. Kiefer & Associates |
|
|
2002 |
SEC |
$10,000 |
United Stock Transfer Inc. |
|
|
2001 |
SEC |
$10,000 |
Focus Tech Investments, Inc. |
|
|
2000 |
SEC |
$10,000 |
Adar International |
|
|
2000 |
SEC |
$10,000 |
Longman & Associates, Inc. |
|
|
2000 |
SEC |
$10,000 |
Kading Companies, S.A. and Joning Corp. |
|
|
2000 |
SEC |
$10,000 |
Alpha Tech Stock Transfer Trust |
|
|
2000 |
SEC |
$10,000 |
Mutual Coin Fund LLC |
|
|
2019 |
SEC |
$10,000 |
Regal Securities |
|
|
2010 |
NJ-AG |
$10,000 |
School Services of California, Inc. |
|
|
2019 |
SEC |
$10,000 |
Securian Financial Services, Inc. |
Securian Financial |
financial services |
2020 |
AK-DBS |
$10,000 |
Triton EP, LLC |
|
|
2006 |
AL-SEC |
$10,000 |
Texas Securities Partners, Inc. |
|
|
2008 |
AL-SEC |
$10,000 |
Northstar Energy, Inc. |
|
|
2008 |
AL-SEC |
$10,000 |
WiFiMed Holdings Company, Inc. |
|
|
2008 |
AR-SEC |
$10,000 |
Allied Home Mortgage Capital Corp. |
Americus Mortgage |
financial services |
2009 |
AR-SEC |
$10,000 |
First Standard Financial Company, LLC |
|
|
2017 |
AR-SEC |
$10,000 |
Wesleyan Investment |
|
|
2018 |
AR-SEC |
$10,000 |
Fidelity National Legal Systems, Inc. |
|
|
2010 |
AR-SEC |
$10,000 |
Phoenix Performance Enhancement Group |
|
|
2010 |
AR-SEC |
$10,000 |
Edge Business Services, Inc. |
|
|
2001 |
AZ-SEC |
$10,000 |
Bar-Lo Millennium Corp. |
|
|
2001 |
AZ-SEC |
$10,000 |
Aeromax, Inc. and Aeromag Corp. |
|
|
2001 |
AZ-SEC |
$10,000 |
Netgo, Inc. and SDIC Partnership and Camelback, Ltd. |
|
|
2002 |
AZ-SEC |
$10,000 |
Bella Funding, L.L.C. |
|
|
2008 |
AZ-SEC |
$10,000 |
Westcap Energy, Inc. dba Westcap Solar |
|
|
2013 |
AZ-SEC |
$10,000 |
Neoteric Energy, Inc. |
|
|
2014 |
AZ-SEC |
$10,000 |
Turan Petroleum, Inc. and NRG Resources, Inc. |
|
|
2013 |
CA-DFPI |
$10,000 |
Hayes and Associates Accountancy Corp. |
|
|
2013 |
CA-DFPI |
$10,000 |
Artience Capital Management, LLC |
|
|
2013 |
CA-DFPI |
$10,000 |
Highland Capital Group, Inc. |
|
|
2013 |
CA-DFPI |
$10,000 |
Rama Capital Partners, LLC |
|
|
2016 |
CA-DFPI |
$10,000 |
Defensive Portfolio Management Corp. |
|
|
2017 |
CA-DFPI |
$10,000 |
Crawford Capital, LLC |
|
|
2018 |
CA-DFPI |
$10,000 |
Francis Capital Management, LLC |
|
|
2019 |
CA-DFPI |
$10,000 |
Amada Franchise, Inc. |
|
|
2020 |
CA-DFPI |
$10,000 |
Sandlapper Securities, LLC |
|
|
2013 |
CO-SEC |
$10,000 |
Choice Investment Management, LLC |
|
|
2016 |
CO-SEC |
$10,000 |
GunnAllen Financial, Inc. |
|
|
2006 |
CT-SEC |
$10,000 |
Tax Recovery Group, Inc. |
|
|
2006 |
CT-SEC |
$10,000 |
Bayou Technologies, Inc. |
|
|
2008 |
CT-SEC |
$10,000 |
JHS Capital Advisors, Inc. fka Pointe Capital, Inc. |
|
|
2010 |
CT-SEC |
$10,000 |
Grove Electronics, LLC dba Chip Partners LLC |
|
|
2010 |
CT-SEC |
$10,000 |
Newbridge Securities Corp. |
|
|
2011 |
CT-SEC |
$10,000 |
Mullaney Management & Trust, LLC |
|
|
2012 |
CT-SEC |
$10,000 |
RMV Investments, LLC |
|
|
2013 |
CT-SEC |
$10,000 |
New Heart LLC, Progenesis LLC and Oz III, LLC |
|
|
2013 |
CT-SEC |
$10,000 |
Syndicated Capital, Inc. |
|
|
2014 |
CT-SEC |
$10,000 |
P & C Capital Group LLC |
|
|
2014 |
CT-SEC |
$10,000 |
YoFresh Yogurts Franchising, Inc. |
|
|
2015 |
CT-SEC |
$10,000 |
Cooper Capital, Inc. |
|
|
2015 |
CT-SEC |
$10,000 |
Senior Financial Advisors, Inc. |
|
|
2017 |
CT-SEC |
$10,000 |
Moreau Investment Management Co. |
|
|
2018 |
CT-SEC |
$10,000 |
Allied Energy, Inc. fka Allied Syndications, Inc. |
|
|
2018 |
CT-SEC |
$10,000 |
SE Ohio Shale & Oriskany Development |
|
|
2018 |
CT-SEC |
$10,000 |
Prophet Financial Planning, LLC |
|
|
2019 |
CT-SEC |
$10,000 |
Securities Services Network, Inc. |
Reverence Capital Partners |
private equity (including portfolio companies) |
2000 |
FL-OFR |
$10,000 |