| |
| |
| Exchange: |
Nasdaq National Market |
| Security
Type: |
Common |
| Shares
Out: |
6,183,000 |
| Market
Cap: |
N/A |
| Last
Volume: |
0 |
Avg
Vol: |
0 |
| 52
Week Range: |
$0.805 - $0.805 |
|
| 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 |
2024-01-28 |
2023-10-27 |
2023-04-28 |
2022-04-28 |
|
| Filer's Name |
Relation Title |
Off-Dir-10% |
Tran. Date |
Form |
Action |
Price |
Mkt Value |
D/I |
Shares |
Holdings |
Rank
|
|
|
| 3m +/- |
|
|
Form |
  Plimpton Frank |
Director |
– • – |
2007-09-21 |
3 |
IO |
$0.00 |
$0 |
I/I |
0 |
37,909,383 |
|
- |
|
| Mcnierney Peter J |
President and COO |
• • – |
2007-09-21 |
4 |
A |
$0.00 |
$0 |
D/D |
600,000 |
994,802 |
|
- |
|
| Coad C Brian |
Chief Financial Officer |
• – – |
2007-09-21 |
4 |
A |
$0.00 |
$0 |
D/D |
200,000 |
245,641 |
|
- |
|
| Fensterstock Lee |
Chief Executive Officer |
• • – |
2007-09-21 |
4 |
A |
$0.00 |
$0 |
D/D |
1,000,000 |
1,000,000 |
|
- |
|
| Arciero-Craig Patricia |
General Counsel |
• – – |
2007-09-21 |
4 |
A |
$0.00 |
$0 |
D/D |
75,000 |
93,217 |
|
- |
|
| Arciero-Craig Patricia |
General CounselOfficer |
• – – |
2007-05-29 |
3/A |
IO |
$0.00 |
$0 |
D/D |
0 |
18,217 |
|
- |
|
| Arciero-Craig Patricia |
General CounselOfficer |
• – – |
2007-05-29 |
3 |
IO |
$0.00 |
$0 |
D/D |
0 |
23,729 |
|
- |
|
| Mcnamee George C |
Chairman |
• • • |
2007-02-15 |
4 |
A |
$1.88 |
$26,000 |
D/D |
13,830 |
1,628,090 |
|
- |
|
| Fox Gordon J |
Executive Managing Director |
• – – |
2007-02-15 |
4 |
A |
$1.88 |
$26,000 |
D/D |
13,830 |
152,709 |
|
- |
|
| Goldberg Alan P |
Director |
– • – |
2006-12-22 |
5 |
GD |
$0.00 |
$0 |
D/D |
100,000 |
878,640 |
|
- |
|
| Fox Gordon J |
Executive Managing Director |
• – – |
2006-11-14 |
4 |
S |
$2.30 |
$16,129 |
D/D |
(6,768) |
138,880 |
|
- |
|
| Fox Gordon J |
Executive Managing Director |
• – – |
2006-11-13 |
4 |
S |
$2.68 |
$6,719 |
D/D |
(2,500) |
145,648 |
|
- |
|
| Roth Arthur J |
Director |
– • – |
2006-08-03 |
4 |
A |
$0.00 |
$0 |
D/D |
1,000 |
31,000 |
|
- |
|
| Obrien Shannon P |
Director |
– • – |
2006-08-03 |
4 |
A |
$0.00 |
$0 |
D/D |
1,000 |
3,437 |
|
- |
|
| Kutnick Dale |
Director |
– • – |
2006-08-03 |
4 |
A |
$0.00 |
$0 |
D/D |
1,000 |
38,564 |
|
- |
|
| Carlucci Carl P Phd |
Director |
– • – |
2006-08-03 |
4 |
A |
$0.00 |
$0 |
D/D |
1,000 |
18,001 |
|
- |
|
| Gravante Nicholas A Jr |
Director |
– • – |
2006-08-03 |
4 |
A |
$0.00 |
$0 |
D/D |
1,000 |
41,134 |
|
- |
|
| Fiederowicz Walter M |
Director |
– • – |
2006-08-03 |
4 |
A |
$0.00 |
$0 |
D/D |
1,000 |
6,160 |
|
- |
|
| Coad C Brian |
Chief Financial Officer |
• – – |
2006-06-30 |
4 |
A |
$0.00 |
$0 |
D/D |
30,000 |
45,642 |
|
- |
|
| Mcnierney Peter J |
Chief Executive Officer |
• • – |
2006-06-30 |
4 |
A |
$0.00 |
$0 |
D/D |
50,000 |
394,802 |
|
- |
|
| Mcnierney Peter J |
Chief Executive OfficerOfficer |
• • – |
2006-06-29 |
3 |
IO |
$0.00 |
$0 |
D/D |
0 |
344,802 |
|
- |
|
| Coad C Brian |
Chief Financial OfficerOfficer |
• – – |
2006-06-29 |
3 |
IO |
$0.00 |
$0 |
D/D |
0 |
15,642 |
|
- |
|
| Fox Gordon J |
Executive Managing Director |
• – – |
2006-05-16 |
4 |
A |
$0.00 |
$0 |
D/D |
93,024 |
148,148 |
|
- |
|
| Kutey Paul W |
Chief Financial Officer |
• – – |
2006-02-28 |
4 |
B |
$5.77 |
$2,002 |
D/D |
347 |
9,277 |
2.66 |
- |
|
| Kutey Paul W |
officerTitle |
• – – |
2005-12-30 |
4 |
B |
$6.95 |
$334 |
D/D |
48 |
10,288 |
2.66 |
- |
|
212 Records found
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Page 4 of 9 |
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