Michael T. McCaul — Sept. 7, 2017

Disclosure Details

Politician: Michael T. McCaul
Disclosure document
Year: 2017
Filing Date: Sept. 7, 2017
Branch: house

Periodic Transaction Report

Asset Ticker Category Type Transaction Date Amount
LUBBOCK TEX REPONG BOND PURCHASE Aug. 20, 2017 $15,001-50,000
RURAL RENTAL BNG REVON-AMT NON ACE-SERA REAL ESTATE PURCHASE Aug. 20, 2017 $15,001-50,000
LILLIAN M. RANCHETTES TRUST II LP (5.644% INTEREST) PRIVATE EQUITY PURCHASE Aug. 20, 2017 $15,001-$50,000
CONCOLE CORP C nan PURCHASE Aug. 20, 2017 $15,001-50,000
INDIANA TRANSIN FINAL MMPT REV REDTOPAG APPREC SER A BOND PURCHASE Aug. 20, 2017 $15,001-50,000
Ansys Products Inc ANSS STOCK PURCHASE Aug. 20, 2017 $1,000-$15,000
SAGE BRIDGE VIOLET DST REV REDTOP AMG FUND PURCHASE Aug. 20, 2017 $15,001-50,000
BALTIMORE MCO DIST CONSUMER MMPT REAL ESTATE PURCHASE Aug. 20, 2017 $15,001-50,000
Dun & Bradstreet Corp DNB STOCK PURCHASE Aug. 8, 2017 $1,000-$15,000
Dun & Bradstreet Corp DNB STOCK PURCHASE Aug. 8, 2017 $1,000-$15,000
Liny Energy Inc. LINY STOCK PURCHASE Aug. 2, 2017 $1,000-$15,000
Holdings Corp nan PURCHASE Aug. 2, 2017 $1,000-$15,000
Liny Energy Inc. LINY STOCK PURCHASE Aug. 2, 2017 $1,000-$15,000
SOUTH CAROLINA ST PUB SVC AUTH REVD-RTG REVD APPRECIATE SER A BOND PURCHASE Aug. 1, 2017 $15,001-$50,000
PDC ENERGY INC PDC STOCK PURCHASE Aug. 1, 2017 $15,001-$50,000
TEXAS WIND DESERTS PROMOTY IV REVOLVING UNSECURED NOTES NOTE PURCHASE Aug. 1, 2017 $15,001-$50,000
COOPERATIVE CORP PRIVATE EQUITY PURCHASE Aug. 1, 2017 $1,000-$10,000
MASSACHUSETTS STREPS 21810A FRYRA BOND PURCHASE Aug. 1, 2017 $1,000-$10,000
ALASKA ST NTL AIRPORTS REVD-RTG-FNG SER A BOND PURCHASE Aug. 1, 2017 $15,001-$50,000
SOUTH CAROLINA ST PUB SVC AUTH REVD-RTG-FNG REV C BOND PURCHASE Aug. 1, 2017 $15,001-$50,000
ANNOUNCE MILL ST NTL AIRPORTS COPP AXCC RTG REV REFUNDING FIXED INCOME PURCHASE Aug. 1, 2017 $15,001-$50,000
SCHLUMBERGER LTD SLB STOCK PURCHASE July 31, 2017 $1,000-$10,000
DETROIT CITY CHY CHY TEX H E A PACES BIRD REV RIVANDERBELT T UNIV SR B BOND PURCHASE July 31, 2017 $15,001-50,000
VANGUARD EMERGING MARKETS MKTS ETF VWO ETF PURCHASE July 29, 2017 $1,000-$15,000
LRS LTD PRIVATE EQUITY PURCHASE July 29, 2017 $1,000-$15,000
CITY-C METR TRUST DIST ONE REV PAYNOL TAX GRANT RCPT CASH PURCHASE July 29, 2017 $1,000-$15,000
Liny Energy Inc. LINY STOCK PURCHASE July 28, 2017 $1,000-$15,000
ABBOTTLABS ABT STOCK PURCHASE July 28, 2017 $1,000-$10,000
TE CONNECTIVITY LTD TEL STOCK PURCHASE July 28, 2017 $1,000-$10,000
ABBOTTLABS ABT STOCK PURCHASE July 28, 2017 $1,000-$10,000
MCLEAN VA HSPTL REVENUE BONDS SERIES 276 BOND Sale July 28, 2017 $1,000-15,000
Omni Financial Corp STOCK PURCHASE July 28, 2017 $1,000-$15,000
Liny Energy Inc. LINY STOCK PURCHASE July 28, 2017 $1,000-$15,000
Orient Financial Corp OHFC STOCK PURCHASE July 28, 2017 $1,000-$15,000
Omni Financial Corp STOCK PURCHASE July 28, 2017 $1,000-$15,000
ABBOTTLABS LTD ABT STOCK PURCHASE July 27, 2017 $1,000-$15,000
ABBOTTLABS LTD ABT STOCK PURCHASE July 27, 2017 $1,000-$15,000
SHIRE PLC SHR STOCK PURCHASE July 27, 2017 $1,000-$10,000
TE CONNECTIVITY LTD TEL STOCK PURCHASE July 27, 2017 $1,000-$10,000
ABBOTTLABS ABT STOCK PURCHASE July 27, 2017 $1,000-$10,000
Linn Energy Inc. STOCK PURCHASE July 26, 2017 $1,000-$15,000
Linn Energy Inc. STOCK PURCHASE July 26, 2017 $15,001-$50,000
METROPORTAL ATLANTAJRTPAND TRAIN BUILT GASES SA REV-RTG-SST-S-W MR nan PURCHASE July 26, 2017 $15,001-$50,000
SHIRE PLC SHR STOCK PURCHASE July 26, 2017 $50,001-$100,000
SIAKRE GEN BRIDGE BONDING RATES LT BOND PURCHASE July 26, 2017 $1,000-$10,000
Linn Energy Inc. STOCK PURCHASE July 26, 2017 $1,000-$10,000
GEORGIA MUN ELEC AUTH PWR REV RTG-TAKABLE-GEN-SER A BOND PURCHASE July 26, 2017 $15,001-$50,000
SNC INTERNATIONAL CORP STOCK PURCHASE July 26, 2017 $1,000-$15,000
NATIONWIDE MUTUAL PENSION FUND NEVADA MID-CAP GROWTH FD FUND PURCHASE July 26, 2017 $1,000-$15,000
PRICE BRIDGE CORP RFDG REV FIXED INCOME Sale July 26, 2017 $1,000-15,000
HOUSTON NEXT NPOH SCHT DST REVD-RTG-SST-S-W MR BOND PURCHASE July 26, 2017 $15,001-$50,000
EL PASO NATURAL GAS ELEC REV-RTG-SST-S-W MR COMMODITY PURCHASE July 26, 2017 $15,001-$50,000
OCEANFIRST FINANCIAL CORP OCF STOCK PURCHASE July 26, 2017 $1,000-$15,000
OCEANFIRST FINANCIAL CORP OCF STOCK PURCHASE July 26, 2017 $1,000-$15,000
OCEANFIRST FINANCIAL CORP OCF STOCK PURCHASE July 26, 2017 $1,000-$15,000
OCEANFIRST FINANCIAL CORP OCF STOCK PURCHASE July 26, 2017 $1,000-$15,000
Avion Products Inc PRIVATE EQUITY PURCHASE July 26, 2017 $1,000-$15,000
Avion Products Inc PRIVATE EQUITY PURCHASE July 26, 2017 $1,000-$15,000
DIGITA GLOBE INC DGLB STOCK Sale July 25, 2017 $1,000-15,000
ENPRO INDUSTRIES INC ENI STOCK Sale July 25, 2017 $1,000-15,000
Linn Energy Inc. STOCK PURCHASE July 25, 2017 $1,000-$10,000
Avion Products Inc. PRIVATE EQUITY PURCHASE July 25, 2017 $15,001-50,000
DEVON ENERGY CORP DVN STOCK PURCHASE July 25, 2017 $15,001-50,000
DENNY HOME CO company PRIVATE EQUITY PURCHASE July 25, 2017 $15,001-50,000
TELE CONNECTIVITY LTD TEL STOCK PURCHASE July 25, 2017 $1,000-$15,000
OCEANFIRST FINANCIAL CORP OCF STOCK PURCHASE July 25, 2017 $1,000-$15,000
OCEANFIRST FINANCIAL CORP OCF STOCK PURCHASE July 25, 2017 $1,000-$15,000
GEORGIA MUNLY ELEC S DISTH REV TAXABLE-AERENESS A BOND Sale July 25, 2017 $1,000-15,000
GREENVILLE UNITY S DISTH DIST INSTITUTIONAL REV RFDG FUND Sale July 25, 2017 $1,000-15,000
HARLEEN TEX WATER DIST-WDR WAR MPT BOND Sale July 25, 2017 $1,000-15,000
COMBINE KY NORT DST SCHOOKS FIN CORP SCHEDULS REV BOND PURCHASE July 25, 2017 $15,001-50,000
COMBINE KY NORT DST SCHOOKS FIN CORP SCHEDULS REV BOND PURCHASE July 25, 2017 $15,001-50,000
ALIBABA GROUP HOLDING LTD BABA STOCK PURCHASE July 25, 2017 $15,001-$50,000
NEW YORK ST LGSD RD FIN PYMT SYS REV SER B-1 BOND PURCHASE July 25, 2017 $1,000-$15,000
MR PRICE GROUP LTD RFQ MRP STOCK PURCHASE July 25, 2017 $1,000-$15,000
OCEANFIRST FINANCIAL CORP OCF STOCK PURCHASE July 25, 2017 $1,000-$15,000
DEKRA REVD FNG DEL AW HORN HORN EST FIRST PROD MTG REV-RTG-FNG FIXED INCOME PURCHASE July 25, 2017 $15,001-$50,000
LOWER COLUMBIA LEASE SYS REV PTS SYS REV SER B-1 BOND PURCHASE July 25, 2017 $1,000-$15,000
HANCOCK CNTY CHBD RFQ-REFUNDARY MKT CASH PURCHASE July 25, 2017 $1,000-$15,000
MAXWELL TEX TULE RIV REDTOP SYS-W R nan PURCHASE July 25, 2017 $15,001-50,000
SHIRE PRICE PLC STOCK PURCHASE July 25, 2017 $1,000-$15,000
MICRODORP CORP LTD MDORP STOCK PURCHASE July 25, 2017 $1,000-$15,000
GREENVILLE CNTY 5 CHSH DIST INSTALMENTPUR REV RFQG FIXED INCOME PURCHASE July 25, 2017 $1,000-$15,000
FOC ENERGY INC STOCK PURCHASE July 25, 2017 $15,001-50,000
HOUSTON TEX ENERGY INC STOCK PURCHASE July 25, 2017 $15,001-50,000
Origin Financial Corp. ORGN STOCK PURCHASE July 24, 2017 $1,000-$15,000
OCEANFIRST FINANCIAL CORP OCF STOCK PURCHASE July 24, 2017 $1,000-$15,000
Liny Energy Inc. LINY STOCK PURCHASE July 24, 2017 $1,000-$15,000
Nomone Bank Holdings Inc STOCK PURCHASE July 24, 2017 $1,000-$15,000
WAKE CNTY IL SUBCCP SERIES G BOND Sale July 24, 2017 $1,000-15,000
DIGITAL GLOBE INC STOCK PURCHASE July 24, 2017 $1,000-$15,000
Nomone Bank Holdings Inc STOCK PURCHASE July 24, 2017 $1,000-$15,000
DIGITAL GLOBE INC STOCK PURCHASE July 24, 2017 $1,000-$15,000
Liny Energy Inc. LINY STOCK PURCHASE July 23, 2017 $1,000-$15,000
OCEANFIRST FINANCIAL CORP OCF STOCK PURCHASE July 22, 2017 $1,000-$15,000
Omni Financial Corp STOCK PURCHASE July 22, 2017 $1,000-$15,000
SHARE PRICE PLC STOCK PURCHASE July 22, 2017 $1,000-$15,000
CTS CORP CTS STOCK PURCHASE July 21, 2017 $1,000-$15,000
SITES CORP STOCK PURCHASE July 21, 2017 $1,000-$15,000
ELION EDU KNIGHT SCHRSFT RFQG nan PURCHASE July 21, 2017 $1,000-$15,000
SITES CORP STOCK PURCHASE July 21, 2017 $1,000-$15,000
EFAM Systems Inc PRIVATE EQUITY PURCHASE July 21, 2017 $1,000-$15,000
EFAM Systems Inc PRIVATE EQUITY PURCHASE July 21, 2017 $1,000-$15,000
Liny Energy Inc. LINY STOCK PURCHASE July 21, 2017 $1,000-$15,000
Bank-Holdings Inc STOCK PURCHASE July 21, 2017 $15,001-50,000
COLORADO RIVER TEX MAIN WTR DST VITS REV TAXABLE RFDG BOND Sale July 21, 2017 $1,000-15,000
ALASKA ST ALB T APTTS RFDG RES PVT PLCD RFDG BOND Sale July 21, 2017 $1,000-15,000
ENPRO INDUSTRIES INC ENI STOCK PURCHASE July 21, 2017 $1,000-$15,000
National Bank Holdings Inc NBH STOCK PURCHASE July 21, 2017 $1,000-$15,000
National Bank Holdings Inc NBH STOCK PURCHASE July 21, 2017 $1,000-$15,000
WYNN RESORTS LTD WYNN STOCK PURCHASE July 21, 2017 $1,000-$10,000
BAYTON RTG-FNG TOLT REAL ESTATE PURCHASE July 20, 2017 $15,001-$50,000
MONDELEZ INT INC MDLZ STOCK Sale July 20, 2017 $1,000-15,000
OCEANFIRST FINANCIAL CORP OCF STOCK PURCHASE July 20, 2017 $1,000-$15,000
OceanFirst Financial Corp. OCF STOCK PURCHASE July 20, 2017 $1,000-$15,000
BAY AREA TOLU AUTH CALL TOLU BIRD REV REPONG SAN FRANCISCO BAY AREA-SER A BOND PURCHASE July 20, 2017 $15,001-50,000
BATON ROUGE TEX REPONG BOND PURCHASE July 20, 2017 $15,001-50,000
WATERWORKS INT INTERNATIONAL WWS STOCK PURCHASE July 20, 2017 $15,001-50,000
Nation Bank Holdings Inc. NBHC STOCK PURCHASE July 20, 2017 $1,000-$15,000
OCEANFIRST FINANCIAL CORP OCF STOCK PURCHASE July 20, 2017 $1,000-$15,000
OKLAHOMA CITY ONLY POLK INSP DST SCH BOND Sale July 20, 2017 $1,000-15,000
BAY AREA TOLT ALL CAUL CALT TOLL BRIG REVD FNG SAN FRANCISCO BAY AREA-SER A BOND PURCHASE July 20, 2017 $15,001-$50,000
GEORGIA MUN ELEC AUTH PWR REV RTG-TAKABLE-GEN-SER A BOND PURCHASE July 20, 2017 $15,001-$50,000
LONE STAR COLLEGE SYS TEX REV FNG SYS REV SER B-1 BOND Sale July 20, 2017 $1,000-15,000
PENNSYLVANIA ECONOMIC DEV FINANCING AUTH BOND PURCHASE July 19, 2017 $1,000-$15,000
WATT N Dcnty CL B PRMT DIST RFDX VIA FLEX SACS REV FIXED INCOME PURCHASE July 19, 2017 $1,000-$15,000
WCCMHS HGS RFD-ECON-TEMP MTS SER 278 FIXED INCOME PURCHASE July 19, 2017 $1,000-$15,000
Nation Bank Holdings Inc. NBHC STOCK PURCHASE July 19, 2017 $1,000-$15,000
Nation Bank Holdings Inc. NBHC STOCK PURCHASE July 19, 2017 $1,000-$15,000
Nation Bank Holdings Inc. NBHC STOCK PURCHASE July 19, 2017 $1,000-$15,000
Nation Bank Holdings Inc. NBHC STOCK PURCHASE July 19, 2017 $1,000-$15,000
Tristate Capital Holdings Inc. TTH STOCK PURCHASE July 19, 2017 $1,000-$15,000
RSP Peruvian EPV ETF PURCHASE July 19, 2017 $1,000-$15,000
Tristate Capital Holdings Inc. TTH STOCK PURCHASE July 19, 2017 $1,000-$15,000
Tristate Capital Holdings Inc. TTH STOCK PURCHASE July 19, 2017 $1,000-$15,000
MATERIAL LIFE SECURITY GROUP INC STOCK PURCHASE July 19, 2017 $1,000-$10,000
Linn Energy Inc. STOCK PURCHASE July 19, 2017 $1,000-$10,000
DECOMCO INC DCO STOCK PURCHASE July 19, 2017 $1,000-$10,000
Tributary Capital Holdings Inc PRIVATE EQUITY PURCHASE July 19, 2017 $1,000-$15,000
National Bank Holdings Inc NBH STOCK PURCHASE July 19, 2017 $1,000-$15,000
Insignia Capital Holdings Inc PRIVATE EQUITY PURCHASE July 19, 2017 $1,000-$15,000
VAN WERT CITY ORBD CHSH LTD REV RFDX-SCHMPT BOND PURCHASE July 19, 2017 $1,000-$15,000
WEST Virginia COLLEGE BLDG AUTH EDU FACS REV BOND Sale July 18, 2017 $1,000-15,000
CRAYON REVD WIRERST TXT NEXT RTG REVD-FNG IMPT nan PURCHASE July 18, 2017 $15,001-$50,000
DESCOMC INC nan PURCHASE July 18, 2017 $1,000-$15,000
ORACLE CORP ORCL STOCK PURCHASE July 18, 2017 $15,001-$50,000
CITY OF HOUSTON TEX RFDG ASTS FIXED INCOME Sale July 18, 2017 $1,000-15,000
Omni Energy Inc OMNI STOCK PURCHASE July 18, 2017 $1,000-$15,000
Nomone Bank Holdings Inc STOCK PURCHASE July 18, 2017 $1,000-$15,000
BALTIMORE CITY CONSUMER MSP CORP COMPOSITE REV C BOND PURCHASE July 18, 2017 $15,001-$50,000
DESCOMC INC nan PURCHASE July 18, 2017 $1,000-$15,000
First Corp FPLC STOCK PURCHASE July 18, 2017 $1,000-$15,000
Omni Energy Inc OMNI STOCK PURCHASE July 18, 2017 $1,000-$15,000
PENNSYLVANIA ECON DEV FNG AUTH BOND Sale July 18, 2017 $1,000-15,000
NEEMAN PAPER INC NEEM STOCK Sale July 18, 2017 $1,000-15,000
CTB CORP STOCK PURCHASE July 18, 2017 $1,000-$15,000
MICHIGAN ST DSSS REBUTAL DENTH HSN REVD-AMOUNT-NON ACC SEIRA-SFTRA FUND PURCHASE July 18, 2017 $15,001-$50,000
Insignia Capital Holdings Inc PRIVATE EQUITY PURCHASE July 17, 2017 $1,000-$15,000
INDEPENDENCE KY FED BOND PURCHASE July 17, 2017 $1,000-$15,000
Ansys Products Inc ANSS STOCK PURCHASE July 17, 2017 $1,000-$15,000
AVALON CITY AND MIN REV CORP SERIES X XX REV RFDG BOND Sale July 17, 2017 $1,000-15,000
DALLAS TEX AREA BAND TRUST SAL able TAX REV RFDG BOND Sale July 17, 2017 $1,000-15,000
LIBERTY INTERACTIVE CORP ATVI STOCK PURCHASE July 17, 2017 $1,000-$15,000
CTS CORP CTS STOCK PURCHASE July 17, 2017 $1,000-$15,000
THOROUGHBRED BROK'N TULIP AUTH NY REVS GENL PURP-SER Y-RFDGO PRIVATE EQUITY PURCHASE July 17, 2017 $1,000-$15,000
CTS CORP CTS STOCK PURCHASE July 17, 2017 $1,000-$15,000
OCEANFIRST FINANCIAL CORP OCF STOCK PURCHASE July 17, 2017 $1,000-$15,000
EDDERSON WST KD ANTIC NSTS SER B BOND PURCHASE July 17, 2017 $15,001-$50,000
ORACLE LL P RTG ORCL STOCK PURCHASE July 17, 2017 $15,001-$50,000
EDDERSON WST KD ANTIC NSTS SER B BOND PURCHASE July 17, 2017 $15,001-$50,000
Tristate Capital Holdings Inc. TTH STOCK PURCHASE July 17, 2017 $1,000-$15,000
TRANSPEPTIDE CORP PRIVATE EQUITY Sale July 17, 2017 $1,000-15,000
TEXAS WITH DEV BERESFORD LT (1.70% INTEREST) BOND PURCHASE July 17, 2017 $15,001-50,000
TIDWATER NEPT SCH DST RINGFINGER B PE OFD PRIVATE EQUITY PURCHASE July 17, 2017 $15,001-50,000
INCENTIVES TRUSTS STRD SPMA INC INDEXER A FUND PURCHASE July 17, 2017 $1,000-$15,000
LUMA FAMILY INVESTMENTS LLC (17.170% INTEREST) PRIVATE EQUITY PURCHASE July 17, 2017 $15,001-50,000
LIBERTY INTERACTIVE CORP ATVI STOCK PURCHASE July 17, 2017 $1,000-$10,000
ORACLE LL P RTG ORCL STOCK PURCHASE July 17, 2017 $15,001-$50,000
ORACLE CORP ORCL STOCK PURCHASE July 17, 2017 $15,001-$50,000
OROBELL JUNT S F P FUND PURCHASE July 17, 2017 $15,001-50,000
ORBITAL ATK ASTA LATE-PLAN TRAN LTH BOND Sale July 17, 2017 $1,000-15,000
BROADRIDGE FINANCIAL SOLUTIONS INC BR STOCK Sale July 17, 2017 $1,000-15,000
ENPRO INDUSTRIES INC ENI STOCK PURCHASE July 17, 2017 $1,000-$15,000
ELPASO SYSTEMS INC STOCK PURCHASE July 17, 2017 $1,000-$15,000
PT NORTHWEST MEDSURE-STRUCTURE-FMN RFQ PRIVATE EQUITY PURCHASE July 17, 2017 $1,000-$15,000
NL NORTHWST-SITES NET-WES-LUMINA-BD-CAP-GROWTH FD FUND PURCHASE July 17, 2017 $1,000-$15,000
OCEANFIRST FINANCIAL CORP OCF STOCK PURCHASE July 17, 2017 $1,000-$15,000
ENPRO MOULDST INC-WTR FINL ASSISTANCE-SUBSERN A-2 BOND Sale July 17, 2017 $1,000-15,000
LLM FAMILY INVESTMENTS LP (1.2% INTEREST) PRIVATE EQUITY PURCHASE July 17, 2017 $1,000-$15,000
National Bank Holdings Inc NBH STOCK PURCHASE July 17, 2017 $1,000-$15,000
Omni Energy Inc OMNI STOCK PURCHASE July 14, 2017 $1,000-$15,000
Ansys Products Inc ANSS STOCK PURCHASE July 14, 2017 $1,000-$15,000
Ansys Products Inc ANSS STOCK PURCHASE July 14, 2017 $1,000-$15,000
Nation Bank Holdings Inc. NBHC STOCK PURCHASE July 14, 2017 $1,000-$15,000
Nation Bank Holdings Inc. NBHC STOCK PURCHASE July 14, 2017 $1,000-$15,000
Tristate Capital Holdings Inc. TTH STOCK PURCHASE July 14, 2017 $1,000-$15,000
National Bank Holdings Inc NBH STOCK PURCHASE July 14, 2017 $1,000-$15,000
National Bank Holdings Inc NBH STOCK PURCHASE July 14, 2017 $1,000-$15,000
Omni Energy Inc OMNI STOCK PURCHASE July 14, 2017 $1,000-$15,000
TX COSS INC NEW TXCO STOCK PURCHASE July 13, 2017 $1,000-$15,000
MICRON ST LOUIS DST RENTAL BNG REVON-AMT NON ACE-SERA REAL ESTATE PURCHASE July 12, 2017 $15,001-50,000
Holdings Corp nan PURCHASE July 12, 2017 $1,000-$10,000
WICHITA KANS HSG RFD-ECON-MKT REV AUTH BOND PURCHASE July 12, 2017 $1,000-$15,000
PRELINE GROUP INC PRIVATE EQUITY PURCHASE July 12, 2017 $1,000-$10,000
Linn Energy Inc. STOCK PURCHASE July 12, 2017 $1,000-$10,000
DALAI LAMA TEX CRYPTO PURCHASE July 12, 2017 $15,001-50,000
COLLEGE STATE TEX NON TEPP SCH BOND Sale July 12, 2017 $1,000-15,000
COSTCO WHOLESALE CORP COST STOCK PURCHASE July 12, 2017 $1,000-$15,000
Dun & Bradstreet Corp DNB STOCK PURCHASE July 12, 2017 $1,000-$15,000
Applied Inc PRIVATE EQUITY PURCHASE July 12, 2017 $1,000-$15,000
SPRING BRANCH I NEXT NPOH SCHT DST RECH RVD REV UNDERWRITE UNIV S B BOND PURCHASE July 12, 2017 $15,001-$50,000
SPRING BRANCH I NEXT NPOH SCHT DST RECH RVD REPURCHASE-SFTRA FIXED INCOME PURCHASE July 12, 2017 $15,001-$50,000
MICHIGAN ST DEBT SECURITY RENTAL HSG REVISER A BOND PURCHASE July 12, 2017 $1,000-$10,000
YONKERS CNT S S C BOND PURCHASE July 12, 2017 $15,001-$50,000
TCI NETT BENEF TRUST ORI ONE REV PAYTOL TAX GRANT RCPT FUND PURCHASE July 12, 2017 $1,000-$10,000
National Bank Holdings NBHC STOCK PURCHASE July 11, 2017 $1,000-$10,000
Dun & Bradstreet Corp DNB STOCK PURCHASE July 11, 2017 $1,000-$15,000
Liny Energy Inc. LINY STOCK PURCHASE July 11, 2017 $1,000-$15,000
Avion Products Inc. PRIVATE EQUITY PURCHASE July 11, 2017 $1,000-15,000
COLORADO CREEK REV TRLY NEXT RTG REV WIR RST REV TX TAKABLE-FNG FIXED INCOME PURCHASE July 10, 2017 $15,001-$50,000
INDIANA TRANSMISSION TRLY NEXT RTG REV WIR RST REV TX TAKABLE-FNG BOND PURCHASE July 10, 2017 $15,001-$50,000
INDIANA TRANSIN FINAL MMPT REV REDTOPAG APPREC SER A BOND PURCHASE July 10, 2017 $15,001-50,000
SPARES MARKET EMERGING MARKETS MKTS ETF VWO ETF PURCHASE July 6, 2017 $100,001-$250,000
EUROBOND BOND PURCHASE July 5, 2017 $15,001-$50,000
NEUBEN PAPER MILL INC PRIVATE EQUITY PURCHASE July 5, 2017 $1,000-$15,000
Capital One Financial COF STOCK PURCHASE July 5, 2017 $1,000-$15,000
Electronic Arts Inc / AMPTA RATN TRAN AUTH EA STOCK PURCHASE July 5, 2017 $1,000-$15,000
TREASURIES INC FIXED INCOME PURCHASE July 5, 2017 $1,000-$15,000
Excellus Insurance Corp STOCK PURCHASE July 5, 2017 $1,000-$15,000
ANNOUNCE MILL ST NTL AIRPORTS COPP AXCC RTG REV REFUNDING FIXED INCOME PURCHASE July 5, 2017 $15,001-$50,000
OHIO DST FNG MST SINGLE FAMILY MTG REV SER 1 FIXED INCOME Sale July 5, 2017 $1,000-15,000
AMAZON.COM INC AMZN STOCK Sale July 5, 2017 $1,000-15,000
DIGITAL GLOBE INC STOCK PURCHASE July 5, 2017 $1,000-$15,000
EUROCARAS nan PURCHASE July 5, 2017 $15,001-50,000
Linn Energy Holdings LTD STOCK PURCHASE July 5, 2017 $50,001-$100,000
WAVEFRONT INC STOCK PURCHASE July 5, 2017 $1,000-$15,000
ALBERTA ENERGY HOLDINGS LTD PRIVATE EQUITY PURCHASE July 5, 2017 $50,001-$100,000
PROPRO INDUSTRIES INC PRPR STOCK PURCHASE July 5, 2017 $1,000-$15,000
EUROCARAS nan PURCHASE July 5, 2017 $15,001-50,000
NEUBEN PAPER MILL INC PRIVATE EQUITY PURCHASE July 5, 2017 $1,000-$15,000
TEXAS ST TRANSP-SWRY-FIN ASSISTANCE-SUBSER A-2 BOND PURCHASE July 5, 2017 $1,000-$15,000
INDIPENDENCIA FUND INC - ALTHIA NY REA GENL PURA-BEAR Y-REFG FUND PURCHASE July 3, 2017 $1,000-$10,000
FLORIDA ST DEPT OF ENVIRONMENTAL PROTECTION HERRY RTG-FNG-EVERGLADESRESTORATION BOND PURCHASE July 3, 2017 $15,001-$50,000
Linn Energy Inc. STOCK PURCHASE July 3, 2017 $50,001-$100,000
NORTON YANK CITY S C MORTGAGES REAL ESTATE PURCHASE July 3, 2017 $15,001-50,000
LUBBOCK TEX SMITH CITY HOME FIRST MORTG MTG REVENDING REAL ESTATE PURCHASE July 3, 2017 $15,001-50,000
BAY AREA TOLU AUTH CALL TOLU BIRD REV REPONG SAN FRANCISCO BAY AREA-SER A BOND PURCHASE July 3, 2017 $15,001-50,000
INDEPENDENCE FUND INC IFN FUND PURCHASE July 3, 2017 $1,000-$10,000
METROLOGY MITA ATLANTIC-APATAAMS TRAN AUTH GASES TAX REVYAN-SEASON-A FIXED INCOME PURCHASE July 3, 2017 $15,001-50,000
FLORIDA ST DEPT OF DETERMINATION-PROTINERY REV-FOC-EVERGLADES RESTORATION TOA BOND PURCHASE July 3, 2017 $15,001-50,000
Linn Energy Inc. STOCK PURCHASE July 1, 2017 $1,000-$10,000
Alba Energy Group Holding LTD PRIVATE EQUITY PURCHASE July 1, 2017 $1,000-$10,000
Vista Investment Partners Inc PRIVATE EQUITY Sale June 6, 2017 $1,000-15,000
SEE SCHEDULES ATTACHED nan Exchange Feb. 5, 2015 $50,001-$100,000