| |
| |
| Exchange: |
Nasdaq National Market |
| Security
Type: |
Common |
| Shares
Out: |
122,818,000 |
| Market
Cap: |
N/A |
| Last
Volume: |
41,936 |
Avg
Vol: |
19,544 |
| 52
Week Range: |
$6.15 - $6.15 |
|
| Level
I Sector: |
Financials |
| Level
II Sector: |
Financial Services |
| Level
III Sector: |
Investment Brokerage - Regional |
|
Member Indexes:
|
| |
NASDAQ COMPOSITE |
|
NASDAQ OTHER FINANCE |
| |
NASDAQ NNM COMPOSITE |
|
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 |
2024-02-01 |
2023-10-31 |
2023-05-02 |
2022-05-02 |
|
| Filer's Name |
Relation Title |
Off-Dir-10% |
Tran. Date |
Form |
Action |
Price |
Mkt Value |
D/I |
Shares |
Holdings |
Rank
|
|
|
| 3m +/- |
|
|
Form |
  Giancarlo J Christopher |
Executive Vice President |
• – – |
2013-03-31 |
4 |
OE |
$0.00 |
$0 |
D/D |
39,963 |
62,539 |
|
- |
|
| Gooch Michael |
Executive Chairman |
• • • |
2013-03-31 |
4 |
D |
$3.34 |
$162,257 |
D/D |
(48,580) |
193,024 |
|
- |
|
| Gooch Michael |
Executive Chairman |
• • • |
2013-03-31 |
4 |
OE |
$0.00 |
$0 |
D/D |
132,858 |
211,794 |
|
- |
|
| Pintoff Scott |
General Counsel and Secretary |
• – – |
2013-03-31 |
4 |
D |
$3.34 |
$53,824 |
D/D |
(16,115) |
45,360 |
|
- |
|
| Pintoff Scott |
General Counsel and Secretary |
• – – |
2013-03-31 |
4 |
OE |
$0.00 |
$0 |
D/D |
39,963 |
52,327 |
|
- |
|
| Levi Ronald Daniel |
Chief Operating Officer |
• – – |
2013-03-31 |
4 |
D |
$3.34 |
$400,917 |
D/D |
(120,035) |
708,827 |
|
- |
|
| Levi Ronald Daniel |
Chief Operating Officer |
• – – |
2013-03-31 |
4 |
OE |
$0.00 |
$0 |
D/D |
292,510 |
744,080 |
|
- |
|
| Ward John W |
Director |
– • – |
2013-02-25 |
4/A |
S |
$0.00 |
$0 |
D/D |
(0) |
61,682 |
|
- |
|
| Ward John W |
Director |
– • – |
2013-02-25 |
4 |
S |
$3.58 |
$26,202 |
D/D |
(7,319) |
54,363 |
|
- |
|
| Pintoff Scott |
General Counsel and Secretary |
• – – |
2013-02-01 |
4 |
AS |
$3.50 |
$175,000 |
D/D |
(50,000) |
21,512 |
|
- |
|
| Magee Richard William |
Director |
– • – |
2013-01-31 |
4/A |
OE |
$0.00 |
$0 |
D/D |
14,432 |
21,289 |
|
- |
|
| Fanzilli Frank J |
Director |
– • – |
2013-01-31 |
4 |
OE |
$0.00 |
$0 |
D/D |
15,453 |
55,126 |
|
- |
|
| Magee Richard William |
Director |
– • – |
2013-01-31 |
4 |
OE |
$0.00 |
$0 |
D/D |
14,432 |
61,289 |
|
- |
|
| Ward John W |
Director |
– • – |
2013-01-31 |
4 |
OE |
$0.00 |
$0 |
D/D |
11,038 |
61,682 |
|
- |
|
| Cassoni Marisa |
Director |
– • – |
2013-01-31 |
4 |
D |
$3.40 |
$34,000 |
D/D |
(10,000) |
149,406 |
|
- |
|
| Cassoni Marisa |
Director |
– • – |
2013-01-31 |
4 |
OE |
$0.00 |
$0 |
D/D |
33,333 |
159,406 |
|
- |
|
| Gooch Michael |
Chairman and CEO |
• • • |
2012-12-28 |
4 |
D |
$3.02 |
$2,999,999 |
I/I |
(993,377) |
47,420,128 |
|
- |
|
| Jersey Partners Inc. |
10% Owner |
– – • |
2012-12-28 |
4 |
D |
$3.02 |
$2,999,999 |
D/D |
(993,377) |
47,420,128 |
|
- |
|
| Ward John W |
Director |
– • – |
2012-11-08 |
4 |
S |
$0.00 |
$0 |
D/D |
(1,820) |
50,644 |
|
- |
|
| Peers James |
Chief Financial Officer |
• – – |
2012-09-01 |
4 |
D |
$2.80 |
$19,751 |
D/D |
(7,054) |
52,235 |
|
- |
|
| Peers James |
Chief Financial Officer |
• – – |
2012-09-01 |
4 |
OE |
$0.00 |
$0 |
D/D |
19,556 |
59,289 |
|
- |
|
| Fanzilli Frank J |
Director |
– • – |
2012-06-30 |
4 |
OE |
$0.00 |
$0 |
D/D |
2,554 |
39,673 |
|
- |
|
| Heffron Colin |
President |
• • – |
2012-04-30 |
4 |
D |
$3.30 |
$121,625 |
D/D |
(36,856) |
737,856 |
|
- |
|
| Heffron Colin |
President |
• • – |
2012-04-30 |
4 |
OE |
$0.00 |
$0 |
D/D |
80,000 |
774,712 |
|
- |
|
| Pintoff Scott |
General Counsel and Secretary |
• – – |
2012-03-31 |
4 |
D |
$3.76 |
$34,005 |
D/D |
(9,044) |
71,512 |
|
- |
|
680 Records found
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Page 7 of 28 |
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