| JPMORGAN CHASE & Co. LINKED To S&P 500 INDEX BUFFERED CAPPED BETA 0% STRUCTURED NoTE DUE 10/03/2018 |
|
NOTE |
Purchase
|
Dec. 28, 2016 |
$250,001 - $500,000 |
| PUT/XSP @ 217 EXP 02/03/2017 CBoE MINI SPX INDEX |
XSP |
OPTION |
Sale
|
Dec. 22, 2016 |
$1,001 - $15,000 |
| PENNFIELD MICH SCHS DIST Go 4% P |
|
BOND |
Purchase
|
Dec. 22, 2016 |
$250,001 - $500,000 |
| S C ST PUB SVC AUTH FoR ISS D REV 5.0000% 01/01/18 JJ TD PR To 12/21/10 PREUNDED-RF DG-oBLIGS-SER B INS SR LIEN - MUNI BoND |
|
BOND |
Purchase
|
Dec. 21, 2016 |
$100,001 - $250,000 |
| SoUTH CARoLINA PUB SVCE AUTH REV 5.0000% 01/01/18 JJ SANTEE CooPER MBIA BEo - MUNI BoND |
|
BOND |
Purchase
|
Dec. 21, 2016 |
$100,001 - $250,000 |
| SoUTH CARoLINA PUB SVCE AUTH REV 5.0000% 01/01/18 JJ SANTEE CooPER MBIA BEo - MUNI BoND |
|
BOND |
Purchase
|
Dec. 21, 2016 |
$50,001 - $100,000 |
| S C ST PUB SVC AUTH FoR ISS D REV E 5.0000% 01/01/18 JJ |
|
BOND |
Sale
|
Dec. 21, 2016 |
$50,001 - $100,000 |
| PENNSYLVANIA ST Go 5% 01/15/23 JJ |
|
BOND |
Purchase
|
Dec. 12, 2016 |
$50,001 - $100,000 |
| MoRGAN STANLEY FINANCE LLC LINKED To BASKET oF INDICES UPSIDE LEVERED CAPPED W BUFFER 0% STRUCTURED NoTE DUE 12/13/2018 |
|
NOTE |
Purchase
|
Dec. 9, 2016 |
$100,001 - $250,000 |
| PUT/XSP @ 209 EXP 03/17/2017 CBoE MINI SPX INDEX |
XSP |
OPTION |
Sale
|
Dec. 7, 2016 |
$1,001 - $15,000 |
| Valero Energy Partners LP Common Units representing limited partner interests (VLP) |
VLP |
STOCK |
Purchase
|
Dec. 1, 2016 |
$1,001 - $15,000 |
| EQT Midstream Partners, LP Common Units (EQM) |
EQM |
STOCK |
Purchase
|
Dec. 1, 2016 |
$15,001 - $50,000 |
| Phillips 66 Partners LP Common Units |
PSXLP |
STOCK |
Purchase
|
Dec. 1, 2016 |
$1,001 - $15,000 |
| Energy Transfer Partners, L.P. (ETP) |
ET |
STOCK |
Purchase
|
Dec. 1, 2016 |
$1,001 - $15,000 |