| |
| |
| Exchange: |
OTC Bulletin Board |
| Security
Type: |
Common |
| Shares
Out: |
12,438,000 |
| Market
Cap: |
40.42(M) |
| Last
Volume: |
105,969 |
Avg
Vol: |
105,673 |
| 52
Week Range: |
$3.2501 - $3.2501 |
|
| Level
I Sector: |
Financials |
| Level
II Sector: |
Financial Services |
| Level
III Sector: |
Investment Brokerage - Regional |
|
Member Indexes:
|
Rankings:
|
|
| Insider 3 Months : - |
| Insider 6 Months : - |
| Insider 3/6 Months : - |
|
| Guru Rank Number : - |
| Guru Rank Value : - |
| Guru Occurances : - |
|
|
|
|
|
|
|
D/I:
|
|
|
D
is for direct shares.
I is
for indirect shares.
D/I
refers to the Direct or Indirect
shares traded vs. held. |
|
|
|
Forms:
|
|
|
A
Form 4 is a form filed
by an insider to indicate a change
in ownership.
A Form
3 is a form filed by
an insider to indicate an
initial ownership of a security. |
|
|
|
3m +/-:
|
|
|
|
This
represents the company's 3 month
price change. The initial price
is based on the closing price
of the stock on the day the transaction
took place. Purchases & sales
are viewed as long & short
positions respectively.
|
|
|
|
Actions:
|
|
|
| B |
Buy |
| S |
Sell |
| OE |
Option
Exercised |
| A |
Acquired |
| D |
Disposed |
| AB |
Automatic
Buy |
| AS |
Automatic
Sell |
| IO |
Initial
Ownership |
|
|
|
|
Download:
|
|
|
Download only Transactions
Forms. (Default)
Download
only Summary Infomation.
Download
both Transactions and Summary Data
|
|
|
|
|
| |
| |
Summary (Direct Transactions Only)  |
3 Months |
6 Months |
12 Months |
24 Months |
| Total Shares Bought |
0 |
0 |
0 |
0 |
| Total Buy Value |
$0 |
$0 |
$0 |
$0 |
| Total People Bought |
0 |
0 |
0 |
0 |
| Total Buy Transactions |
0 |
0 |
0 |
0 |
| Total Shares Sold |
0 |
0 |
0 |
0 |
| Total Sell Value |
$0 |
$0 |
$0 |
$0 |
| Total People Sold |
0 |
0 |
0 |
0 |
| Total Sell Transactions |
0 |
0 |
0 |
0 |
| End Date |
2024-03-21 |
2023-12-19 |
2023-06-20 |
2022-06-20 |
|
| Filer's Name |
Relation Title |
Off-Dir-10% |
Tran. Date |
Form |
Action |
Price |
Mkt Value |
D/I |
Shares |
Holdings |
Rank
|
|
|
| 3m +/- |
|
|
Form |
  Desena John C. |
Chief Operating Officer |
• • – |
2018-12-27 |
4 |
D |
$3.20 |
$6,797 |
D/D |
(2,124) |
10,316 |
|
- |
|
| Desena John C. |
Chief Operating Officer |
• • – |
2018-12-27 |
4 |
OE |
$0.00 |
$0 |
D/D |
6,250 |
12,440 |
|
- |
|
| Worman Glenn C. |
President and CFO |
• • – |
2018-12-27 |
4 |
D |
$3.20 |
$11,325 |
D/D |
(3,539) |
17,195 |
|
- |
|
| Worman Glenn C. |
President and CFO |
• • – |
2018-12-27 |
4 |
OE |
$0.00 |
$0 |
D/D |
10,417 |
20,734 |
|
- |
|
| Mullen Michael A |
CEO and Chairman of the Board |
• • – |
2018-12-26 |
4 |
D |
$3.20 |
$56,618 |
D/D |
(17,693) |
97,875 |
|
- |
|
| Mullen Michael A |
CEO and Chairman of the Board |
• • – |
2018-12-26 |
4 |
OE |
$0.00 |
$0 |
D/D |
52,083 |
115,568 |
|
- |
|
| Worman Glenn C. |
President and CFO |
• • – |
2018-07-19 |
4 |
D |
$3.21 |
$17,039 |
D/D |
(5,308) |
10,317 |
|
- |
|
| Worman Glenn C. |
President and CFO |
• • – |
2018-07-19 |
4 |
OE |
$0.00 |
$0 |
D/D |
15,625 |
15,625 |
|
- |
|
| Mullen Michael A |
CEO and Chairman of the Board |
• • – |
2018-01-03 |
4 |
D |
$3.10 |
$82,274 |
D/D |
(26,540) |
63,485 |
|
- |
|
| Mullen Michael A |
CEO and Chairman of the Board |
• • – |
2018-01-03 |
4 |
OE |
$0.00 |
$0 |
D/D |
78,125 |
90,025 |
|
- |
|
| Mullen Michael A |
Co-Chief Executive OfficerOffi |
• – – |
2017-01-03 |
3 |
IO |
$0.00 |
$0 |
D/D |
0 |
625,000 |
|
- |
|
| Rosenwald Lindsay A Md |
10% Owner |
– – • |
2016-09-12 |
3 |
IO |
$0.00 |
$0 |
I/I |
0 |
522,292 |
|
- |
|
| Rosenwald Lindsay A Md |
10% Owner |
– – • |
2016-09-12 |
3 |
IO |
$0.00 |
$0 |
D/D |
0 |
7,037,482 |
|
- |
|
| Goldwasser Mark |
Director |
• • – |
2016-09-12 |
4 |
D |
$3.25 |
$401,827 |
I/I |
(123,639) |
0 |
|
- |
|
| Goldwasser Mark |
Director |
• • – |
2016-09-12 |
4 |
D |
$3.25 |
$76,148 |
D/D |
(23,430) |
0 |
|
- |
|
| Ciocia James |
Director |
• • – |
2016-09-12 |
4 |
D |
$3.25 |
$60,726 |
D/D |
(18,685) |
18,685 |
|
- |
|
| Levin Alan B |
Chief Financial Officer |
• • – |
2016-09-12 |
4 |
D |
$3.25 |
$45,663 |
D/D |
(14,050) |
0 |
|
- |
|
| Plimpton Frank |
Director |
• • – |
2016-09-12 |
4 |
D |
$3.25 |
$491,169 |
D/D |
(151,129) |
0 |
|
- |
|
| Fagenson Robert B |
CEO and Executive Chairman |
• • – |
2016-09-12 |
4 |
D |
$3.25 |
$1,771,448 |
I/I |
(545,061) |
33,394 |
|
- |
|
| Fagenson Robert B |
CEO and Executive Chairman |
• • – |
2016-09-12 |
4 |
D |
$3.25 |
$16,250 |
D/D |
(5,000) |
7,000 |
|
- |
|
| Powers Frederic B Iii |
Director |
• • – |
2016-09-12 |
4 |
D |
$3.25 |
$544,918 |
I/I |
(167,667) |
0 |
|
- |
|
| Abbe Richard |
Director |
• • – |
2016-09-12 |
4 |
D |
$3.25 |
$1,400,721 |
I/I |
(430,991) |
0 |
|
- |
|
| Worman Glenn C. |
Chief Operating Officer |
• • – |
2016-09-12 |
4 |
D |
$3.25 |
$32,500 |
D/D |
(10,000) |
0 |
|
- |
|
| Wasserman Frederick Gerald |
Director |
• • – |
2016-09-12 |
4 |
D |
$3.25 |
$16,552 |
D/D |
(5,093) |
5,092 |
|
- |
|
| Silverman Joshua |
Director |
• • – |
2016-09-12 |
4 |
D |
$3.25 |
$1,346,550 |
I/I |
(414,323) |
414,323 |
|
- |
|
146 Records found
|
|
Page 5 of 6 |
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