| Company Name |
Form Type |
SEC Filings |
|
|
|
|
Paramount Gold Nevada Corp.
|
EFFECT
|
Financial Statements
|
|
SPLUNK INC
|
EFFECT
|
Financial Statements
|
|
ParaZero Technologies Ltd.
|
EFFECT
|
|
|
CancerVAX, Inc.
|
QUALIF
|
|
|
Knowles Timothy Ray
|
4
|
|
|
KULR Technology Group, Inc.
|
4
|
|
|
RBB Bancorp
|
4
|
Financial Statements
|
|
LEE JOHNNY C
|
4
|
|
|
Szymanski Brian
|
4
|
|
|
Select Water Solutions, Inc.
|
4
|
Financial Statements
|
|
Fan Gary
|
4/A
|
|
|
RBB Bancorp
|
4/A
|
Financial Statements
|
|
Ortowski Cody
|
4
|
|
|
George Christopher Kile
|
4
|
|
|
Skarke Michael
|
4
|
|
|
Morris David Richard
|
4
|
|
|
Schmitz John
|
4
|
|
|
Fan Gary
|
4
|
|
|
Stone Gregory
|
4
|
|
|
TMC the metals Co Inc.
|
4
|
|
|
Shesky Craig
|
4
|
|
|
HOPKINS LYNN M
|
4
|
|
|
O'Sullivan Anthony
|
4
|
|
|
Yeh Jeffrey
|
4
|
|
|
ESL PARTNERS, L.P.
|
SC 13D/A
|
|
|
AUTONATION, INC.
|
SC 13D/A
|
Financial Statements
|
|
Liu Vincent
|
4
|
|
|
ILVES Erika
|
4
|
|
|
KIDRON NADAV
|
SC 13D
|
|
|
ORAMED PHARMACEUTICALS INC.
|
SC 13D
|
Financial Statements
|
|
LAMPERT EDWARD S
|
4
|
|
|
AUTONATION, INC.
|
4
|
Financial Statements
|
|
Barron Gerard
|
4
|
|
|
Turner-Graham Cynthia
|
4
|
|
|
Kartoon Studios, Inc.
|
4
|
Financial Statements
|
|
THOMOPOULOS ANTHONY D
|
4
|
|
|
McKinley Kate
|
4
|
|
|
Rani Therapeutics Holdings, Inc.
|
4
|
Financial Statements
|
|
Frank Alan L
|
3
|
|
|
NEW YORK COMMUNITY BANCORP, INC.
|
3
|
Financial Statements
|
|
SICIGNANO HENRY III
|
4
|
|
|
Ares Management Corp
|
4
|
Financial Statements
|
|
RESSLER ANTONY P
|
4
|
|
|
SEGALL LYNNE A
|
4
|
|
|
Rosenthal Bennett
|
4
|
|
|
LOESCH MARGARET
|
4
|
|
|
KAPLAN DAVID B
|
4
|
|
|
Davis Gray
|
4
|
|
|
Arougheti Michael J
|
4
|
|
|
Dong Ming
|
144
|
|
|
UP Fintech Holding Ltd
|
144
|
Financial Statements
|
|
TORA TRADING SERVICES, LLC
|
X-17A-5
|
|
|
ALIGHT FINANCIAL SOLUTIONS, LLC
|
X-17A-5
|
|
|
Wilson Matthew R.
|
4
|
|
|
Light & Wonder, Inc.
|
4
|
|
|
Chow Oliver
|
4
|
|
|
Venker Eric
|
4
|
|
|
Roivant Sciences Ltd.
|
4
|
|
|
Kumar Rakhi
|
4
|
|
|
Gline Matthew
|
4
|
|
|
Berkovitch Eli
|
4
|
|
|
BOX INC
|
4
|
Financial Statements
|
|
Hashim Mir
|
4
|
|
|
Groen Eric
|
4
|
|
|
Imran Talat
|
4
|
|
|
Sanford Svai S
|
4
|
|
|
Kalabic Vanja
|
4
|
|
|
Smith Dylan C
|
4
|
|
|
MOHAJER KEYVAN
|
4
|
|
|
SOUNDHOUND AI, INC.
|
4
|
|
|
Lane Siobhan
|
4
|
|
|
Sottile James
|
4
|
|
|
HARTFORD FUNDS DISTRIBUTORS, LLC
|
FOCUSN
|
|
|
OBERWEIS SECURITIES, INC.
|
FOCUSN
|
|
|
LINCOLN INTERNATIONAL LLC
|
FOCUSN
|
|
|
TIMOTHY PARTNERS, LTD.
|
FOCUSN
|
|
|
YOUNG & PARTNERS LLC
|
FOCUSN
|
|
|
RICE, VOELKER, LLC
|
FOCUSN
|
|
|
Columbia Capital Management, LLC
|
MA-A
|
|
|
GVC CAPITAL LLC
|
FOCUSN
|
|
|
P.J. ROBB VARIABLE, LLC
|
FOCUSN
|
|
|
ASCENSUS BROKER DEALER SERVICES, LLC
|
FOCUSN
|
|
|
CGA SECURITIES, LLC
|
FOCUSN
|
|
|
CLARKSONS SECURITIES, INC.
|
FOCUSN
|
|
|
STONEX OUTSOURCED SERVICES LLC
|
FOCUSN
|
|
|
PMA SECURITIES, LLC
|
FOCUSN
|
|
|
GREIF & CO.
|
FOCUSN
|
|
|
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
|
FOCUSN
|
|
|
MIRUS SECURITIES, INC.
|
FOCUSN
|
|
|
AXIOM CAPITAL MANAGEMENT, INC.
|
FOCUSN
|
|
|
B. RILEY SECURITIES, INC.
|
FOCUSN
|
|
|
BENEDETTO, GARTLAND & COMPANY, INC.
|
FOCUSN
|
|
|
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
|
FOCUSN
|
|
|
WELLFLEET INVESTMENTS LLC
|
FOCUSN
|
|
|
NBC SECURITIES, INC.
|
FOCUSN
|
|
|
TRUIST INVESTMENT SERVICES, INC.
|
FOCUSN
|
|
|
SCOTT-MACON SECURITIES, INC.
|
FOCUSN
|
|
|
FINANCIAL NORTHEASTERN SECURITIES, INC.
|
FOCUSN
|
|
|
EXCEL SECURITIES & ASSOCIATES, INC.
|
FOCUSN
|
|
|
SF INVESTMENTS, INC.
|
FOCUSN
|
|
|
BOLTON GLOBAL CAPITAL
|
FOCUSN
|
|
|
DMG SECURITIES,INC.
|
FOCUSN
|
|
|
THORNBURG SECURITIES LLC
|
FOCUSN
|
|
|
PRETIUM SECURITIES, LLC
|
FOCUSN
|
|
|
NELSON IVEST BROKERAGE SERVICES, INC.
|
FOCUSN
|
|
|
LESKO SECURITIES INC
|
FOCUSN
|
|
|
REGAL SECURITIES, INC.
|
FOCUSN
|
|
|
Callowhill Capital Advisors LLC
|
MA-A
|
|
|
CTBH Partners LLC
|
MA-A
|
|
|
Cyclacel Pharmaceuticals, Inc.
|
S-1
|
Financial Statements
|
|
Fisker Inc./DE
|
PRE 14A
|
|
|
GOLDMAN SACHS & CO. LLC
|
MA/A
|
|
|
SIDOTI & COMPANY, LLC
|
FOCUSN
|
|
|
BNP PARIBAS SECURITIES CORP.
|
ATS-N/MA
|
|
|
FIDX MARKETS LLC
|
FOCUSN
|
|
|
OPTIVER EXECUTION SERVICES LLC
|
FOCUSN
|
|
|
PEDERSON&CO LLC
|
FOCUSN
|
|
|
MONDEUM CAPITAL, LLC
|
FOCUSN
|
|
|
FALLS BRIDGE SECURITIES, LLC
|
FOCUSN
|
|
|
LAZEAR CAPITAL SECURITIES, LLC
|
FOCUSN
|
|
|
DSP SECURITIES, LLC
|
FOCUSN
|
|
|
LS SECURITIES, LLC
|
FOCUSN
|
|
|
CARSON GROUP BROKERAGE, LLC
|
FOCUSN
|
|
|
MILLIMAN INVESTMENT MANAGEMENT SERVICES LLC
|
FOCUSN
|
|
|
EIG GLOBAL ENERGY PARTNERS CAPITAL MARKETS, LLC
|
FOCUSN
|
|
|
REDBRIDGE SECURITIES LLC
|
FOCUSN
|
|
|
METRIC POINT CAPITAL, LLC
|
FOCUSN
|
|
|
BLUESQUARE CAPITAL ADVISORS, LLC
|
FOCUSN
|
|
|
OCEAN PARK SECURITIES, LLC
|
FOCUSN
|
|
|
NVSTR FINANCIAL LLC
|
FOCUSN
|
|
|
MIAC CAPITAL MARKETS LLC
|
FOCUSN
|
|
|
REGIONS SECURITIES LLC
|
FOCUSN
|
|
|
CANAM INVESTOR SERVICES, LLC
|
FOCUSN
|
|
|
CARR, RIGGS & INGRAM CAPITAL ADVISORS, L.L.C.
|
FOCUSN
|
|
|
MICROVENTURE MARKETPLACE INC.
|
FOCUSN
|
|
|
BENTALLGREENOAK REAL ESTATE US LLC
|
FOCUSN
|
|
|
PALAZZO SECURITIES LLC
|
FOCUSN
|
|
|
BLACKARCH SECURITIES LLC
|
FOCUSN
|
|
|
7M SECURITIES, LLC
|
FOCUSN
|
|
|
KKR CAPITAL MARKETS II LLC
|
FOCUSN
|
|
|
VALOR FINANCIAL SECURITIES LLC
|
FOCUSN
|
|
|
BOLTON SECURITIES CORPORATION
|
FOCUSN
|
|
|
MARRIOTT SECURITIES, LLC
|
FOCUSN
|
|
|
RAINMAKERS PARTNERS, LLC
|
FOCUSN
|
|
|
MCLAUGHLIN RYDER INVESTMENTS, INC.
|
FOCUSN
|
|
|
ZELMAN PARTNERS, LLC
|
FOCUSN
|
|
|
TPG CAPITAL BD, LLC
|
FOCUSN
|
|
|
KKR CAPITAL MARKETS LLC
|
FOCUSN
|
|
|
CLEVELAND RESEARCH COMPANY LLC
|
FOCUSN
|
|
|
COLORADO FINANCIAL SERVICE CORPORATION
|
FOCUSN
|
|
|
AGECROFT PARTNERS, LLC
|
FOCUSN
|
|
|
COLUMBIA WEST CAPITAL, LLC
|
FOCUSN
|
|
|
TRADELINK SECURITIES, LLC
|
FOCUSN
|
|
|
STANLEY LAMAN GROUP SECURITIES, LLC
|
FOCUSN
|
|
|
GLEN EAGLE WEALTH, LLC
|
FOCUSN
|
|
|
BLUEFIN RESEARCH PARTNERS, INC.
|
FOCUSN
|
|
|
WILLIAM J. MAYER SECURITIES, LLC
|
FOCUSN
|
|
|
Meristem Advisors LLC
|
MA-A
|
|
|
JPMORGAN DISTRIBUTION SERVICES, INC.
|
FOCUSN
|
|
|
WHITE MOUNTAIN CAPITAL, LLC
|
FOCUSN
|
|
|
TEMPLUM MARKETS LLC
|
FOCUSN
|
|
|
cfX Inc
|
MA-A
|
|
|
OLDE MONMOUTH STOCK TRANSFER CO INC /TA
|
TA-1/A
|
|
|
ASCENSUS INVESTMENT ADVISORS, LLC
|
MA-A
|
|
