Security Brokers, Dealers & Flotation Companies Industry - SEC Form 4 Insider Trading Screener
Financial Sector - Security and Commodity Brokers - Security Brokers, Dealers & Flotation Companies
100 results - 
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- - - - - - | TC | cnt | 1d | 1w | 1m | 6m |
X |
Filing Date |
Trade Date |
Ticker |
Company | Insider Name | Insider Title |
Trade Type |
Price |
Qty |
Owned |
ΔOwn |
Value |
1d |
1w |
1m |
6m |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
2019-09-12 | RJF | Raymond James Financial Inc | Dowdle Jeffrey A | CAO, Pres, Asset Mgmt. | S - Sale | $84.91 | -8,398 | 45,556 | -16% | -$713,080 | ||||||
2019-09-13 | SF | Stifel Financial Corp | Fisher Mark P | SVP, GC | S - Sale | $59.33 | -10,000 | 24,911 | -29% | -$593,290 | ||||||
2019-09-11 | RJF | Raymond James Financial Inc | Santelli Jonathan N | EVP, GC, Secy | S - Sale | $84.80 | -1,200 | 1,177 | -50% | -$101,756 | ||||||
2019-09-10 | SF | Stifel Financial Corp | Dubinsky John P | Dir | S - Sale | $56.79 | -2,150 | 25,306 | -8% | -$122,099 | ||||||
| D | 2019-09-11 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale+OE | $42.03 | -105,422 | 127,375,572 | 0% | -$4,430,950 | |||||
2019-09-09 | SF | Stifel Financial Corp | Plotkin Ben A | Vice COB, SVP | S - Sale | $55.73 | -9,012 | 97,728 | -8% | -$502,239 | ||||||
| D | 2019-09-06 | AC | Associated Capital Group, Inc. | Gabelli Mario J | Exec COB, 10% | P - Purchase | $33.04 | +28,000 | 50,987 | +122% | +$925,086 | |||||
2019-09-05 | SF | Stifel Financial Corp | Dubinsky John P | Dir | S - Sale | $54.71 | -1,500 | 27,456 | -5% | -$82,065 | ||||||
2019-09-03 | MKTX | Marketaxess Holdings Inc | Casper Stephen P | Dir | S - Sale | $402.82 | -1,000 | 56,375 | -2% | -$402,820 | ||||||
| DM | 2019-09-04 | AC | Associated Capital Group, Inc. | Gabelli Mario J | Exec COB, 10% | P - Purchase | $34.63 | +3,316 | 22,987 | +17% | +$114,824 | |||||
| D | 2019-09-05 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale+OE | $40.08 | -105,422 | 127,375,572 | 0% | -$4,225,409 | |||||
| D | 2019-09-04 | VIRT | Virtu Financial, Inc. | Cifu Douglas A | CEO | P - Purchase | $18.58 | +10,000 | 235,000 | +4% | +$185,791 | |||||
| D | 2019-09-03 | AC | Associated Capital Group, Inc. | Gabelli Mario J | Exec COB, 10% | P - Purchase | $34.70 | +2,125 | 19,671 | +12% | +$73,736 | |||||
| DM | 2019-09-03 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale+OE | $38.11 | -105,422 | 127,375,572 | 0% | -$4,017,933 | |||||
2019-08-30 | GBL | Gamco Investors, Inc. Et Al | Gabelli Mario J | COB, CEO, 10% | P - Purchase | $17.78 | +4,503 | 21,807,860 | 0% | +$80,050 | ||||||
2019-08-30 | SF | Stifel Financial Corp | Grady Robert Edward | Dir | S - Sale | $53.45 | -2,500 | 11,307 | -18% | -$133,625 | ||||||
2019-08-30 | RJF | Raymond James Financial Inc | Julien Jeffrey P | CFO, EVP - Fin | S - Sale | $78.59 | -15,756 | 46,682 | -25% | -$1,238,296 | ||||||
2019-08-28 | WETF | Wisdomtree Investments, Inc. | Schwartz Jeremy | Global Head of Research | P - Purchase | $4.73 | +10,000 | 628,954 | +2% | +$47,315 | ||||||
| DM | 2019-08-23 | AC | Associated Capital Group, Inc. | Gabelli Mario J | Exec COB, 10% | P - Purchase | $34.22 | +1,836 | 17,546 | +12% | +$62,826 | |||||
| M | 2019-08-22 | GHL | Greenhill & Co Inc | Bok Scott L | CEO | P - Purchase | $13.71 | +36,761 | 1,866,783 | +2% | +$504,129 | |||||
| D | 2019-08-21 | SCHW | Schwab Charles Corp | McLin Stephen T | Dir | S - Sale+OE | $37.56 | -5,093 | 161,585 | -3% | -$191,287 | |||||
| D | 2019-08-19 | AC | Associated Capital Group, Inc. | Gabelli Mario J | Exec COB, 10% | P - Purchase | $36.36 | +195 | 15,710 | +1% | +$7,090 | |||||
2019-08-15 | PROS | Prosight Global, Inc. | Goldman Sachs Group Inc | 10% | S - Sale | $14.00 | -589,285 | 17,005,016 | -3% | -$8,249,990 | ||||||
2019-08-15 | MKTX | Marketaxess Holdings Inc | Prager Richard Leon | Dir | P - Purchase | $358.49 | +1,000 | 1,288 | +347% | +$358,490 | ||||||
| M | 2018-03-15 | ENLK | Enlink Midstream Partners, LP | Goldman Sachs Group Inc | 10% | S - Sale | $13.31 | -238,142 | 437,937 | -35% | -$3,170,192 | |||||
| M | 2018-03-15 | ENLK | Enlink Midstream Partners, LP | Goldman Sachs Group Inc | 10% | P - Purchase | $13.31 | +238,138 | 437,937 | +119% | +$3,169,159 | |||||
| D | 2019-08-09 | SEIC | Sei Investments Co | McGonigle Dennis | EVP | S - Sale+OE | $57.38 | -10,228 | 1,164,296 | -1% | -$586,883 | |||||
| A | 2019-08-08 | SEIC | Sei Investments Co | McGonigle Dennis | EVP | S - Sale | $58.19 | -19,722 | 577,034 | -3% | -$1,147,623 | |||||
| D | 2019-08-08 | SEIC | Sei Investments Co | Blumenstein Sarah | Dir | S - Sale+OE | $58.25 | -5,000 | 16,362 | -23% | -$291,250 | |||||
| D | 2019-08-08 | SEIC | Sei Investments Co | McGonigle Dennis | EVP | S - Sale+OE | $58.19 | -19,722 | 1,173,840 | -2% | -$1,147,623 | |||||
2019-08-08 | MKTX | Marketaxess Holdings Inc | Themelis Nicholas | CIO | S - Sale | $347.38 | -2,750 | 50,814 | -5% | -$955,309 | ||||||
2019-08-08 | MKTX | Marketaxess Holdings Inc | McVey Richard M | COB, CEO | S - Sale | $350.07 | -20,000 | 1,027,989 | -2% | -$7,001,360 | ||||||
| M | 2019-08-05 | GHL | Greenhill & Co Inc | Bok Scott L | CEO | P - Purchase | $14.36 | +139,220 | 1,830,022 | +8% | +$1,998,526 | |||||
2019-08-05 | SCHW | Schwab Charles Corp | Goldfarb Mark A | Dir | P - Purchase | $38.68 | +2,595 | 25,626 | +11% | +$100,367 | ||||||
2019-07-29 | PROS | Prosight Global, Inc. | Goldman Sachs Group Inc | 10% | S - Sale | $14.00 | -1,785,715 | 17,594,301 | -9% | -$25,000,010 | ||||||
2019-07-29 | COWN | Cowen Inc. | Littman Owen S | GC | S - Sale | $17.88 | -10,000 | 164,870 | -6% | -$178,849 | ||||||
| D | 2019-07-26 | SEIC | Sei Investments Co | McCarthy Kathryn | Dir | S - Sale+OE | $60.90 | -9,500 | 150,900 | -6% | -$578,550 | |||||
2019-07-24 | NAVI | Navient Corp | Canyon Capital Advisors LLC | 10% | S - Sale | $14.95 | -3,500,000 | 22,149,480 | -14% | -$52,325,000 | ||||||
2019-07-18 | GS | Goldman Sachs Group Inc | Holmes Dane E | EVP, Global Head of HCM | S - Sale | $212.15 | -3,165 | 7,839 | -29% | -$671,446 | ||||||
| D | 2019-07-15 | SCHW | Schwab Charles Corp | Craig Jonathan M. | Senior EVP | S - Sale+OE | $40.20 | -3,740 | 0 | -100% | -$150,348 | |||||
2019-07-10 | SF | Stifel Financial Corp | Nesi Victor | Co-Pres | S - Sale | $60.12 | -1,415 | 183,998 | -1% | -$85,070 | ||||||
2019-07-01 | SF | Stifel Financial Corp | Nesi Victor | Co-Pres | S - Sale | $60.00 | -3,585 | 185,413 | -2% | -$215,100 | ||||||
2019-07-01 | HOFD | Homefed Corp | Jefferies Financial Group Inc. | 10% | P - Purchase | $0.00 | +4,648,123 | 15,500,246 | +43% | +$0 | ||||||
| D | 2019-06-27 | AC | Associated Capital Group, Inc. | Gabelli Mario J | Exec COB, 10% | P - Purchase | $34.91 | +6,200 | 15,515 | +67% | +$216,454 | |||||
| DM | 2019-06-21 | AC | Associated Capital Group, Inc. | Gabelli Mario J | Exec COB, 10% | P - Purchase | $35.39 | +3,031 | 9,315 | +48% | +$107,265 | |||||
2019-06-19 | SF | Stifel Financial Corp | Dubinsky John P | Dir | S - Sale | $57.25 | -2,000 | 57,912 | -3% | -$114,500 | ||||||
| DM | 2019-06-19 | AC | Associated Capital Group, Inc. | Gabelli Mario J | Exec COB, 10% | P - Purchase | $35.60 | +3,544 | 6,284 | +129% | +$126,171 | |||||
| D | 2019-06-18 | AC | Associated Capital Group, Inc. | Gabelli Mario J | Exec COB, 10% | P - Purchase | $35.72 | +642 | 2,740 | +31% | +$22,931 | |||||
| D | 2019-06-07 | MKTX | Marketaxess Holdings Inc | Casper Stephen P | Dir | S - Sale+OE | $337.30 | -102 | 56,863 | 0% | -$34,405 | |||||
2019-06-05 | FRGI | Fiesta Restaurant Group, Inc. | Jefferies Financial Group Inc. | 10% | P - Purchase | $14.00 | +93,257 | 5,262,189 | +2% | +$1,305,374 | ||||||
2019-06-03 | FRGI | Fiesta Restaurant Group, Inc. | Jefferies Financial Group Inc. | 10% | P - Purchase | $13.99 | +10,000 | 5,168,932 | 0% | +$139,900 | ||||||
2019-05-31 | COWN | Cowen Inc. | Barth Brett H | Dir | P - Purchase | $15.29 | +20,000 | 47,332 | +73% | +$305,780 | ||||||
2019-06-03 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | CEO, Pres, COB | P - Purchase | $3.13 | +10,000 | 3,412,449 | 0% | +$31,326 | ||||||
2019-05-31 | GBL | Gamco Investors, Inc. Et Al | Gabelli Mario J | COB, CEO, 10% | P - Purchase | $17.05 | +1,317 | 21,803,357 | 0% | +$22,455 | ||||||
2019-05-31 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | CEO, Pres, COB | P - Purchase | $3.23 | +10,000 | 3,402,449 | 0% | +$32,295 | ||||||
2019-05-31 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $3.20 | +10,000 | 1,621,290 | +1% | +$32,011 | ||||||
2019-05-31 | FRGI | Fiesta Restaurant Group, Inc. | Jefferies Financial Group Inc. | 10% | P - Purchase | $13.93 | +60,000 | 5,158,932 | +1% | +$836,076 | ||||||
2019-05-30 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | CEO, Pres, COB | P - Purchase | $3.37 | +10,000 | 3,392,449 | 0% | +$33,668 | ||||||
| M | 2019-05-28 | FRGI | Fiesta Restaurant Group, Inc. | Jefferies Financial Group Inc. | 10% | P - Purchase | $13.75 | +429,389 | 5,098,932 | +9% | +$5,901,982 | |||||
| D | 2019-05-29 | RJF | Raymond James Financial Inc | Santelli Jonathan N | EVP, GC, Secy | S - Sale+OE | $84.82 | -725 | 2,347 | -24% | -$61,498 | |||||
| M | 2019-05-23 | FRGI | Fiesta Restaurant Group, Inc. | Jefferies Financial Group Inc. | 10% | P - Purchase | $13.65 | +226,557 | 4,669,543 | +5% | +$3,093,340 | |||||
2019-05-23 | VIRT | Virtu Financial, Inc. | Cavoli Stephen | EVP | S - Sale | $23.48 | -7,500 | 46,840 | -14% | -$176,100 | ||||||
2019-05-23 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | CEO, Pres, COB | P - Purchase | $3.34 | +10,000 | 3,382,449 | 0% | +$33,399 | ||||||
2019-05-23 | WETF | Wisdomtree Investments, Inc. | Steinberg Jonathan L | CEO | P - Purchase | $6.25 | +79,365 | 8,005,270 | +1% | +$496,253 | ||||||
2019-05-22 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | CEO, Pres, COB | P - Purchase | $3.35 | +10,000 | 3,372,449 | 0% | +$33,515 | ||||||
2019-05-22 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $3.35 | +10,000 | 1,611,290 | +1% | +$33,459 | ||||||
| M | 2019-05-20 | FRGI | Fiesta Restaurant Group, Inc. | Jefferies Financial Group Inc. | 10% | P - Purchase | $13.96 | +18,917 | 4,442,986 | 0% | +$264,123 | |||||
| AD | 2019-03-19 | SEIC | Sei Investments Co | Klauder Paul | EVP | S - Sale+OE | $52.89 | -7,500 | 48,318 | -13% | -$396,675 | |||||
2019-05-16 | NAVI | Navient Corp | Hauber Stephen M | EVP, Chief Risk, Compliance Of | S - Sale | $13.63 | -9,000 | 112,506 | -7% | -$122,674 | ||||||
| M | 2019-05-15 | FRGI | Fiesta Restaurant Group, Inc. | Jefferies Financial Group Inc. | 10% | P - Purchase | $13.96 | +252,295 | 4,424,069 | +6% | +$3,520,890 | |||||
2019-05-16 | LTS | Ladenburg Thalmann Financial Services Inc. | Liebowitz Michael | Dir | P - Purchase | $3.27 | +25,000 | 241,498 | +12% | +$81,750 | ||||||
2019-05-16 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | CEO, Pres, COB | P - Purchase | $3.31 | +10,000 | 3,096,204 | 0% | +$33,139 | ||||||
| D | 2019-05-16 | SCHW | Schwab Charles Corp | McLin Stephen T | Dir | S - Sale+OE | $43.85 | -4,356 | 154,835 | -3% | -$191,024 | |||||
2019-05-15 | SF | Stifel Financial Corp | Nesi Victor | Co-Pres | S - Sale | $56.04 | -1,250 | 188,998 | -1% | -$70,046 | ||||||
2019-05-14 | LTS | Ladenburg Thalmann Financial Services Inc. | Liebowitz Michael | Dir | P - Purchase | $3.24 | +20,100 | 216,498 | +10% | +$65,214 | ||||||
2019-04-16 | INAP | Internap Corp | Gamco Investors, Inc. Et Al | 10% | S - Sale | $4.68 | -37 | 12,000 | 0% | -$173 | ||||||
2019-05-13 | WETF | Wisdomtree Investments, Inc. | Steinberg Jonathan L | CEO | P - Purchase | $6.57 | +75,000 | 7,925,905 | +1% | +$492,765 | ||||||
| M | 2019-05-09 | FRGI | Fiesta Restaurant Group, Inc. | Jefferies Financial Group Inc. | 10% | P - Purchase | $13.31 | +385,153 | 4,171,774 | +10% | +$5,127,146 | |||||
| D | 2019-05-10 | SEIC | Sei Investments Co | Blumenstein Sarah | Dir | S - Sale+OE | $51.96 | -5,000 | 16,362 | -23% | -$259,800 | |||||
2019-05-09 | SF | Stifel Financial Corp | Oates James M | Dir | S - Sale | $58.61 | -20,000 | 17,397 | -53% | -$1,172,200 | ||||||
2019-05-08 | MKTX | Marketaxess Holdings Inc | McVey Richard M | COB, CEO | S - Sale | $281.14 | -20,000 | 990,189 | -2% | -$5,622,817 | ||||||
| D | 2019-05-06 | RJF | Raymond James Financial Inc | Raney Steven M | Pres, CEO RJBank | S - Sale+OE | $90.60 | -2,926 | 35,257 | -8% | -$265,096 | |||||
2019-05-03 | SCHW | Schwab Charles Corp | Ruffel Charles A. | Dir | P - Purchase | $46.10 | +2,500 | 3,288 | +317% | +$115,250 | ||||||
2019-05-03 | RJF | Raymond James Financial Inc | Allison Paul D | Chair, Pres, CEO RJ Ltd. | S - Sale | $90.46 | -5,000 | 33,980 | -13% | -$452,284 | ||||||
2019-05-03 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $46.27 | -56,280 | 127,648,682 | 0% | -$2,604,270 | ||||||
| M | 2019-04-29 | MKTX | Marketaxess Holdings Inc | McPherson Kevin M | Global Head of Sales | S - Sale | $278.50 | -4,000 | 85,317 | -4% | -$1,113,984 | |||||
2019-04-29 | RJF | Raymond James Financial Inc | Trocin Jeffrey E | Co-Pres-GlobEq, Inv Banking-RJ | S - Sale | $91.11 | -13,157 | 187,992 | -7% | -$1,198,717 | ||||||
2019-04-29 | RJF | Raymond James Financial Inc | Julien Jeffrey P | CFO, EVP - Fin | S - Sale | $90.99 | -28,073 | 57,387 | -33% | -$2,554,288 | ||||||
2019-04-30 | BLK | Blackrock Inc. | Fink Laurence | COB, CEO | S - Sale | $481.79 | -31,250 | 975,255 | -3% | -$15,055,837 | ||||||
2019-04-29 | BLK | Blackrock Inc. | Smith Jeff A | Senior MD | S - Sale | $479.40 | -75 | 10,789 | -1% | -$35,955 | ||||||
2019-04-29 | RJF | Raymond James Financial Inc | Reilly Paul C | CEO | S - Sale | $91.35 | -60,000 | 81,326 | -42% | -$5,481,048 | ||||||
2019-04-29 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $45.97 | -250,000 | 127,704,962 | 0% | -$11,492,100 | ||||||
2019-04-26 | MKTX | Marketaxess Holdings Inc | Themelis Nicholas | CIO | S - Sale | $265.61 | -1,489 | 53,564 | -3% | -$395,495 | ||||||
2019-04-25 | BLK | Blackrock Inc. | Smith Jeff A | Senior MD | S - Sale | $478.29 | -150 | 10,864 | -1% | -$71,744 | ||||||
2019-04-25 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $45.56 | -250,000 | 127,954,962 | 0% | -$11,390,300 | ||||||
2019-04-23 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $45.57 | -250,000 | 128,204,962 | 0% | -$11,391,300 | ||||||
2019-04-22 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $3.98 | +1,000 | 6,617,131 | 0% | +$3,980 | ||||||
2019-04-22 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $45.29 | -250,000 | 205,967,208 | 0% | -$11,321,550 | ||||||
2019-04-18 | MS | Morgan Stanley | Simkowitz Daniel A | Head of Investment Management | P - Purchase | $47.57 | +7,000 | 194,554 | +4% | +$332,979 | ||||||
2019-04-18 | GBL | Gamco Investors, Inc. Et Al | Frederick J. Mancheski Revocable Trust Indenture, Dated June 8, 1999, As Amended | 10% | S - Sale | $21.00 | -1,136,704 | 0 | -100% | -$23,870,784 |
| A | Amended filing |
| D | Derivative transaction in filing (usually option exercise) |
| E | Error detected in filing |
| M | Multiple transactions in filing; earliest reported transaction date and weighted average transaction price |
| S - Sale | Sale of securities on an exchange or to another person |
| S - Sale+OE | Sale of securities on an exchange or to another person (after option exercise) |
| F - Tax | Payment of exercise price or tax liability using portion of securities received from the company |
| P - Purchase | Purchase of securities on an exchange or from another person |