| CFI Trigger Jump based on the price of gold due 9/29/14 |
|
DERIVATIVE |
Sale (Full)
|
Sept. 29, 2014 |
$1,001 - $15,000 |
| JPM Contingent Autocall Apple Inc 9.50% due 9/29/2017 |
|
STRUCTURED NOTE |
Purchase
|
Sept. 26, 2014 |
$1,001 - $15,000 |
| JPM Contingent Autocall STX Inc 9.75% due 9/22/2017 |
STX |
FIXED INCOME |
Purchase
|
Sept. 19, 2014 |
$15,001 - $50,000 |
| Nike Inc B |
NKE |
STOCK |
Purchase
|
Sept. 18, 2014 |
$1,001 - $15,000 |
| JPM Contingent Autocall Applied Materials 10.85% due 6/11/2015 |
AMAT |
FIXED INCOME |
Sale (Full)
|
Sept. 11, 2014 |
$15,001 - $50,000 |
| Powershares NASDAQ Internet |
PNQI |
ETF |
Purchase
|
Sept. 9, 2014 |
$1,001 - $15,000 |
| Barclays Contingent Autocall on Bristol Myers 8% due 6/2/2017 |
|
FIXED INCOME |
Sale (Full)
|
Sept. 5, 2014 |
$1,001 - $15,000 |