| CMNTY SCH go 5% MUNI BoND |
|
BOND |
Purchase
|
|
$250,000 |
| CBoE MINI SPX INDEX [oT] PUT/XSP @ 286 EXP 11/02/2018 |
XSP |
OPTION |
P
|
Oct. 30, 2018 |
$50,001 |
| PUT/XSP @ 255 EXP 12/07/2018 CBoE MINI SPX INDEX |
XSP |
OPTION |
Sale (partial)
|
Oct. 30, 2018 |
$1,001 - $15,000 |
| GRAND RAPIDS MICH CMNTY S |
|
BOND |
Purchase
|
Oct. 24, 2018 |
$100,001 - $250,000 |
| MICHIGAN FIN AUTH REV REV S |
|
BOND |
Purchase
|
Oct. 24, 2018 |
$100,001 |
| KALAMAZOO MICH PUB SCHS S |
|
BOND |
Purchase
|
Oct. 24, 2018 |
$250,001 - $500,000 |
| CoNN ST go 5% 06/01/22 JD - S MUNI BoND |
|
BOND |
Purchase
|
Oct. 24, 2018 |
$250,001 - $500,000 |
| Valero Energy Partners LP Common Units representing limited partner interests (VLP) |
VLP |
STOCK |
Sale
|
Oct. 23, 2018 |
$1,001 - $15,000 |
| CREDIT SUISSE Ag LINKED To P S&P 500 INDEX CNTNgNT CPN W BUFFER 0% STRUCTURED NoTE DUE 11/20/2019 [CS] |
|
NOTE |
Purchase
|
Oct. 23, 2018 |
$50,001 - $100,000 |
| EQM Midstream Partners, LP Common Units (EQM) [ST] |
EQM |
STOCK |
Purchase
|
Oct. 23, 2018 |
$1,001 - $15,000 |
| PUT/XSP @ 260 EXP 01/18/2019 CBoE MINI SPX INDEX |
XSP |
OPTION |
Sale (partial)
|
Oct. 23, 2018 |
$15,001 - $50,000 |
| CBoE MINI SPX INDEX [oT] PUT/XSP @ 283 EXP 10/26/2018 |
XSP |
OPTION |
P
|
Oct. 23, 2018 |
$15,001 |
| PLYMoUTH-CANToN MICH P 5% MUNI BoND |
|
BOND |
Purchase
|
Oct. 22, 2018 |
$100,001 |
| Energy Transfer LP Common Units (ET) [ST] |
ET |
STOCK |
Sale
|
Oct. 19, 2018 |
$100,001 - $250,000 |
| Energy Transfer Partners, L.P. Common Units (ETP) [ST] |
ET |
STOCK |
Sale
|
Oct. 19, 2018 |
$100,001 - $250,000 |
| JACKSONVILLE FLA SPL REV S |
|
BOND |
Purchase
|
Oct. 18, 2018 |
$100,001 - $250,000 |
| JPMORGAN CHASE & Co. P |
JPM |
STOCK |
Purchase
|
Oct. 18, 2018 |
$100,001 - $250,000 |
| CITIgRoUP INC. LINKED To S&P 500 INDEX CNTNgNT CPN W BUFFER 0% STRUCTURED NoTE DUE 02/20/2020 |
C |
NOTE |
Purchase
|
Oct. 18, 2018 |
$100,001 - $250,000 |
| BoFA FINANCE LLC LINKED To P S&P 500 INDEX CNTNgNT CPN W BUFFER 0% STRUCTURED NoTE DUE 01/23/2020 |
|
NOTE |
Purchase
|
Oct. 18, 2018 |
$100,001 - $250,000 |
| CANADIAN IMPERIAL BANK oF P CoMM LINKED To S&P 500 |
|
BOND |
Purchase
|
Oct. 18, 2018 |
$100,001 - $250,000 |
| CREDIT SUISSE Ag LINKED To P S&P 500 INDEX CNTNgNT CPN W BUFFER 0% STRUCTURED NoTE DUE 08/20/2020 [CS] |
|
NOTE |
Purchase
|
Oct. 18, 2018 |
$100,001 - $250,000 |
| THE BANK oF NoVA SCoTIA LINKED To S&P 500 INDEX $250,000 CNTNgNT CPN W BUFFER 0% STRUCTURED NoTE DUE 10/21/2020 [CS] |
|
NOTE |
P
|
Oct. 18, 2018 |
$100,001 |
| PUT/XSP @ 276 EXP 10/19/2018 CBoE MINI SPX INDEX |
XSP |
OPTION |
Purchase
|
Oct. 17, 2018 |
$1,001 - $15,000 |
| MATTAWAN MICH CONS SCH P |
|
BOND |
Purchase
|
Oct. 17, 2018 |
$50,001 - $100,000 |
| PUT/XSP @ 268 EXP 12/21/2018 CBoE MINI SPX INDEX |
XSP |
OPTION |
Sale (partial)
|
Oct. 17, 2018 |
$1,001 - $15,000 |
| CANADIAN IMPERIAL BANK oF S CoMM LINKED To S&P 500 INDEX BUFFERED CAPPED BETA 0% STRUCTURED NoTE DUE 05/28/2020 |
|
NOTE |
Purchase
|
Oct. 16, 2018 |
$250,001 - $500,000 |
| UBS Ag LINKED To S&P 500 INDEX CNTNgNT CPN W $100,000 BUFFER 0% STRUCTURED NoTE DUE 06/18/2020 |
|
NOTE |
Purchase
|
Oct. 16, 2018 |
$50,001 - $100,000 |
| SoCIETE gENERALE LINKED To S (partial) |
|
FIXED INCOME |
S
|
Oct. 16, 2018 |
$100,001 |
| CREDIT SUISSE Ag LINKED To S&P 500 INDEX BUFFERED CAPPED BETA 0% STRUCTURED NoTE DUE 03/13/2020 |
|
NOTE |
Purchase
|
Oct. 16, 2018 |
$50,001 - $100,000 |
| ToRoNTo DoMINIoN BANK LINKED To S&P 500 INDEX $500,000 BUFFERED CAPPED BETA, 2901.52 STRUCTURED NoTE DUE 06/03/2020 [CS] |
|
NOTE |
S (partial)
|
Oct. 16, 2018 |
$250,001 |
| BNP PARIBAS LINKED To S&P 500 INDEX CNTNgNT CPN W BUFFER 0% STRUCTURED NoTE DUE 09/11/2020 |
|
NOTE |
Purchase
|
Oct. 9, 2018 |
$50,001 - $100,000 |
| CREDIT SUISSE Ag LINKED To S&P 500 INDEX BUFFERED CAPPED BETA 0% STRUCTURED NoTE DUE 03/13/2020 |
|
NOTE |
Purchase
|
Oct. 5, 2018 |
$250,001 - $500,000 |
| CANADIAN IMPERIAL BANK OF P INDEX CNTNgNT CPN W BUFFER 0% STRUCTURED NoTE DUE 06/22/2020 |
|
NOTE |
Purchase
|
Oct. 5, 2018 |
$50,001 - $100,000 |
| PUT/XSP @ 281 EXP 11/23/2018 CBoE MINI SPX INDEX |
XSP |
OPTION |
Sale (partial)
|
Oct. 4, 2018 |
$1,001 - $15,000 |
| MADISON WIS go 4% 10/01/25 P |
|
BOND |
Purchase
|
Oct. 4, 2018 |
$50,001 - $100,000 |
| HASLETT MICH PUB SCH DIST P |
|
BOND |
Purchase
|
Oct. 4, 2018 |
$100,001 - $250,000 |
| UNIVERSITY MICH UNIV REVS P REV 5% 04/01/23 Ao - MUNI BoND |
|
BOND |
Purchase
|
Oct. 3, 2018 |
$500,001 - $1,000,000 |
| DoWAgIAC MICH UN SCH DIST P go 4% 05/01/23 MN - MUNI BoND [gS] |
|
BOND |
Purchase
|
Oct. 1, 2018 |
$250,001 - $500,000 |