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 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2019-01-15 | SCHW | Schwab Charles Corp | Craig Jonathan M. | Senior EVP | S - Sale+OE | $43.58 | -3,739 | 0 | -100% | -$162,946 | |||||
2019-01-03 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $2.46 | +5,000 | 1,256,517 | 0% | +$12,296 | ||||||
2019-01-02 | WDR | Waddell & Reed Financial Inc | Walton Jerry W | Dir | S - Sale | $0.00 | -6,922 | 78,827 | -8% | -$0 | ||||||
| M | 2018-12-31 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.01 | +4,500 | 6,344,667 | 0% | +$18,066 | |||||
2019-01-02 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $2.38 | +5,000 | 1,251,517 | 0% | +$11,875 | ||||||
2018-12-31 | BATRA | Liberty Media Corp | Gamco Investors, Inc. Et Al | 10% | P - Purchase | $24.82 | +1,000 | 66,410 | +2% | +$24,817 | ||||||
| DM | 2018-12-26 | GS | Goldman Sachs Group Inc | Palm Gregory K | EVP - GC | S - Sale+OE | $158.41 | -16,451 | 1,033,922 | -2% | -$2,606,021 | |||||
| M | 2018-12-24 | SCHW | Schwab Charles Corp | Bettinger Walter W | Pres, CEO | P - Purchase | $38.81 | +124,669 | 376,306 | +50% | +$4,838,074 | |||||
| D | 2018-12-24 | LTS | Ladenburg Thalmann Financial Services Inc. | Frost Phillip Md Et Al | Former 10% Owner | S - Sale+OE | $2.50 | -50,900,000 | 7,934,630 | -87% | -$127,250,000 | |||||
2018-11-23 | WETF | Wisdomtree Investments, Inc. | Schwartz Jeremy | Global Head of Research | P - Purchase | $7.49 | +1,290 | 555,404 | 0% | +$9,665 | ||||||
| M | 2018-12-21 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.08 | +2,594 | 6,340,167 | 0% | +$10,582 | |||||
2018-12-21 | COWN | Cowen Inc. | Barth Brett H | Dir | P - Purchase | $12.92 | +5,000 | 27,332 | +22% | +$64,579 | ||||||
2018-12-21 | ITG | Investment Technology Group, Inc. | Jones Timothy | Dir | S - Sale | $30.01 | -1,653 | 66,962 | -2% | -$49,607 | ||||||
| D | 2018-12-19 | SEIC | Sei Investments Co | Withrow Wayne | EVP | S - Sale+OE | $47.50 | -4,997 | 68,425 | -7% | -$237,358 | |||||
| D | 2018-12-18 | ITG | Investment Technology Group, Inc. | Troise Francis J | CEO, Pres | S - Sale+OE | $30.02 | -65,611 | 237,398 | -22% | -$1,969,314 | |||||
2018-12-17 | ITG | Investment Technology Group, Inc. | Wood Steven Sydney | Dir | S - Sale | $30.01 | -9,354 | 75,384 | -11% | -$280,748 | ||||||
2018-12-18 | ITG | Investment Technology Group, Inc. | Jones Timothy | Dir | S - Sale | $30.04 | -5,060 | 68,615 | -7% | -$152,013 | ||||||
2018-12-13 | COLD | Americold Realty Trust | Goldman Sachs Group Inc | 10% | S - Sale | $0.00 | -6,500,000 | 8,243,845 | -44% | -$0 | ||||||
| M | 2018-12-04 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.55 | +96,565 | 6,337,573 | +2% | +$439,642 | |||||
2018-12-13 | GBL | Gamco Investors, Inc. Et Al | Gabelli Mario J | COB, CEO, 10% | P - Purchase | $18.97 | +1,503 | 21,802,040 | 0% | +$28,508 | ||||||
| DM | 2018-12-12 | AC | Associated Capital Group, Inc. | Gabelli Mario J | Exec COB, 10% | P - Purchase | $33.51 | +2,098 | 2,098 | New | +$70,294 | |||||
| D | 2018-12-04 | SEIC | Sei Investments Co | McGonigle Dennis | Dir | S - Sale+OE | $51.63 | -15,000 | 1,169,068 | -1% | -$774,450 | |||||
2018-12-04 | RJF | Raymond James Financial Inc | Catanese George | SVP, Chief Risk Officer | S - Sale | $78.71 | -6,611 | 6,073 | -52% | -$520,352 | ||||||
| D | 2018-12-03 | SCHW | Schwab Charles Corp | Kallsen Terri R | EVP - Investor Services | S - Sale+OE | $46.09 | -4,913 | 1,180 | -81% | -$226,441 | |||||
2018-12-03 | IBKR | Interactive Brokers Group, Inc. | Frank Thomas Aj | CIO | S - Sale | $62.00 | -564 | 1,126,516 | 0% | -$34,968 | ||||||
| M | 2018-11-27 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $53.41 | -212,995 | 10,031,713 | -2% | -$11,376,583 | |||||
| D | 2018-11-26 | BE | Bloom Energy Corp | Morgan Stanley | 10% | S - Sale+OE | $15.03 | -31 | 1,638 | -2% | -$466 | |||||
2018-11-27 | BATRA | Liberty Media Corp | Gamco Investors, Inc. Et Al | 10% | P - Purchase | $24.59 | +6,400 | 65,410 | +11% | +$157,375 | ||||||
2018-11-26 | BLK | Blackrock Inc. | Kushel J. Richard | Senior MD | S - Sale | $419.11 | -2,100 | 168,779 | -1% | -$880,129 | ||||||
| M | 2018-11-23 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $53.28 | -96,767 | 20,549,957 | 0% | -$5,155,656 | |||||
| M | 2018-11-21 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.94 | +6,700 | 6,241,008 | 0% | +$33,128 | |||||
2018-11-21 | COWN | Cowen Inc. | Barth Brett H | Dir | P - Purchase | $15.33 | +10,000 | 22,332 | +81% | +$153,271 | ||||||
| M | 2018-11-20 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $52.76 | -145,238 | 10,341,475 | -1% | -$7,662,352 | |||||
2018-11-20 | MKTX | Marketaxess Holdings Inc | McPherson Kevin M | Global Head of Sales | S - Sale | $216.89 | -2,500 | 77,692 | -3% | -$542,230 | ||||||
2018-11-20 | GHL | Greenhill & Co Inc | Hartzband Meryl D | Dir | P - Purchase | $23.82 | +1,030 | 1,030 | New | +$24,535 | ||||||
| M | 2018-11-16 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.91 | +4,200 | 6,234,308 | 0% | +$20,624 | |||||
2018-11-20 | BATRA | Liberty Media Corp | Gamco Investors, Inc. Et Al | 10% | P - Purchase | $23.86 | +5,600 | 59,010 | +10% | +$133,592 | ||||||
2018-11-16 | WDR | Waddell & Reed Financial Inc | Walton Jerry W | Dir | S - Sale | $19.05 | -9,427 | 71,905 | -12% | -$179,589 | ||||||
2018-11-15 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | CEO, Pres, COB | P - Purchase | $2.68 | +5,000 | 2,656,204 | 0% | +$13,418 | ||||||
2018-11-15 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $46.97 | -383,000 | 130,188,295 | 0% | -$17,989,804 | ||||||
| M | 2018-11-13 | GHL | Greenhill & Co Inc | Greenhill Robert F | Chairman | P - Purchase | $22.69 | +219,770 | 2,311,263 | +11% | +$4,987,361 | |||||
| M | 2018-11-12 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.92 | +12,376 | 6,230,108 | 0% | +$60,891 | |||||
| M | 2018-11-08 | GHL | Greenhill & Co Inc | Bok Scott L | CEO | P - Purchase | $22.60 | +220,634 | 1,596,537 | +16% | +$4,986,334 | |||||
| D | 2018-11-08 | MKTX | Marketaxess Holdings Inc | McVey Richard M | COB, CEO | S - Sale+OE | $205.38 | -20,000 | 1,044,846 | -2% | -$4,107,651 | |||||
2018-11-07 | SF | Stifel Financial Corp | Peacock David A | Dir | P - Purchase | $48.55 | +2,000 | 8,515 | +31% | +$97,096 | ||||||
2018-11-07 | BATRA | Liberty Media Corp | Gamco Investors, Inc. Et Al | 10% | P - Purchase | $25.89 | +8,000 | 53,410 | +18% | +$207,091 | ||||||
| M | 2018-11-05 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.99 | +13,923 | 6,217,732 | 0% | +$69,533 | |||||
2018-11-07 | SF | Stifel Financial Corp | Zimmerman Michael J | Dir | P - Purchase | $48.39 | +5,000 | 10,694 | +88% | +$241,950 | ||||||
| D | 2018-11-05 | SCHW | Schwab Charles Corp | Chandoha Marie A | Pres - CSIM | S - Sale+OE | $47.18 | -12,400 | 0 | -100% | -$585,016 | |||||
2018-11-01 | SF | Stifel Financial Corp | Zemlyak James M | Chief Fincial, Admin Officer | P - Purchase | $46.99 | +3,565 | 840,757 | 0% | +$167,519 | ||||||
| M | 2018-10-31 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.94 | +2,797 | 6,203,809 | 0% | +$13,815 | |||||
| DM | 2018-10-29 | MKTX | Marketaxess Holdings Inc | McVey Richard M | COB, CEO | S - Sale+OE | $211.93 | -23,842 | 1,064,846 | -2% | -$5,052,763 | |||||
| M | 2018-10-26 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $5.02 | +36,395 | 6,201,012 | +1% | +$182,866 | |||||
2018-10-29 | RJF | Raymond James Financial Inc | Elwyn Tashtego S | Pres - RJA | P - Purchase | $73.75 | +1,500 | 16,358 | +10% | +$110,625 | ||||||
2018-10-30 | JMP | Jmp Group LLC | Mack Carter D | Pres | P - Purchase | $5.00 | +20,000 | 1,368,631 | +1% | +$99,966 | ||||||
| M | 2018-10-26 | JMP | Jmp Group LLC | Wright Thomas Rowe | Dir of Equities | P - Purchase | $4.98 | +12,469 | 381,565 | +3% | +$62,075 | |||||
| M | 2018-10-23 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $5.05 | +87,629 | 6,164,617 | +1% | +$442,178 | |||||
2018-10-19 | ENLK | Enlink Midstream Partners, LP | Goldman Sachs Group Inc | 10% | P - Purchase | $18.26 | +16,700 | 449,622 | +4% | +$304,942 | ||||||
| M | 2018-10-19 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $5.05 | +14,514 | 6,076,988 | 0% | +$73,230 | |||||
2018-10-22 | BLK | Blackrock Inc. | Ford William E | Dir | P - Purchase | $395.21 | +2,000 | 9,466 | +27% | +$790,419 | ||||||
| E | 2018-10-19 | CPFH | Capital Financial Holdings, Inc | Dihle Gordon D. | CEO, 10% | P - Purchase | $325.00 | +4 | 55 | +8% | +$1,300 | |||||
2018-10-16 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $5.05 | +700 | 6,062,474 | 0% | +$3,535 | ||||||
2018-10-17 | BLK | Blackrock Inc. | Ford William E | Dir | P - Purchase | $409.59 | +2,000 | 7,466 | +37% | +$819,176 | ||||||
| D | 2018-10-16 | SCHW | Schwab Charles Corp | Chandoha Marie A | Pres - CSIM | S - Sale+OE | $48.01 | -8,424 | 4,606 | -65% | -$404,394 | |||||
| D | 2018-10-15 | SCHW | Schwab Charles Corp | Craig Jonathan M. | Senior EVP | S - Sale+OE | $48.84 | -2,629 | 0 | -100% | -$128,390 | |||||
2018-10-15 | LTS | Ladenburg Thalmann Financial Services Inc. | Giovanniello Joseph | SVP | P - Purchase | $2.55 | +4,000 | 359,547 | +1% | +$10,190 | ||||||
| M | 2018-10-11 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $5.05 | +30,766 | 6,061,774 | +1% | +$155,368 | |||||
2018-10-12 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | CEO, Pres, COB | P - Purchase | $2.54 | +10,000 | 2,482,592 | 0% | +$25,388 | ||||||
| M | 2018-10-08 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $5.04 | +19,994 | 6,031,008 | 0% | +$100,740 | |||||
2018-10-08 | LTS | Ladenburg Thalmann Financial Services Inc. | Zeitchick Mark | EVP | P - Purchase | $2.61 | +15,000 | 3,584,981 | 0% | +$39,107 | ||||||
2018-10-02 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $2.50 | +10,000 | 1,214,364 | +1% | +$25,000 | ||||||
2018-09-21 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | CEO, Pres, COB | P - Purchase | $2.53 | +50,000 | 2,472,592 | +2% | +$126,430 | ||||||
2018-09-19 | EVV | Eaton Vance Ltd Duration Income Fund | Morgan Stanley | 10% | S - Sale | $23,000.00 | -557 | 584 | -49% | -$12,811,000 | ||||||
2018-09-19 | EVF | Eaton Vance Senior Income Trust | Morgan Stanley | 10% | S - Sale | $23,000.00 | -327 | 94 | -78% | -$7,521,000 | ||||||
| M | 2017-09-20 | IBKR | Interactive Brokers Group, Inc. | Galik Milan | Pres | P - Purchase | $59.04 | +2,128 | 860,993 | 0% | +$125,645 | |||||
2018-09-18 | COLD | Americold Realty Trust | Goldman Sachs Group Inc | 10% | S - Sale | $0.00 | -9,083,280 | 14,746,324 | -38% | -$0 | ||||||
2018-09-17 | SF | Stifel Financial Corp | Hanser Frederick O | Director of a Subsidiary | S - Sale | $54.42 | -10,000 | 39,905 | -20% | -$544,200 | ||||||
2018-09-12 | WDR | Waddell & Reed Financial Inc | Kosloff Alan W | Dir | S - Sale | $20.42 | -19,614 | 40,077 | -33% | -$400,551 | ||||||
2018-09-11 | WDR | Waddell & Reed Financial Inc | Raines James M | Dir | S - Sale | $20.53 | -2,642 | 22,184 | -11% | -$54,240 | ||||||
| M | 2018-08-23 | ENLK | Enlink Midstream Partners, LP | Goldman Sachs Group Inc | 10% | P - Purchase | $18.74 | +433,421 | 474,731 | >999% | +$8,120,490 | |||||
| D | 2018-09-12 | SEIC | Sei Investments Co | McGonigle Dennis | EVP | S - Sale+OE | $62.83 | -15,000 | 1,169,068 | -1% | -$942,450 | |||||
| D | 2018-09-12 | SEIC | Sei Investments Co | Ujobai Joseph P | EVP | S - Sale+OE | $62.72 | -15,000 | 70,293 | -18% | -$940,800 | |||||
| D | 2018-09-10 | RJF | Raymond James Financial Inc | Carson John C Jr. | Pres | S - Sale+OE | $92.66 | -5,698 | 58,976 | -9% | -$527,986 | |||||
| M | 2018-09-04 | IBKR | Interactive Brokers Group, Inc. | Frank Thomas Aj | CIO | S - Sale | $62.49 | -29,840 | 1,127,080 | -3% | -$1,864,756 | |||||
2018-08-31 | IBKR | Interactive Brokers Group, Inc. | Frank Thomas Aj | CIO | S - Sale | $62.19 | -6,871 | 1,156,920 | -1% | -$427,307 | ||||||
| M | 2018-08-29 | IBKR | Interactive Brokers Group, Inc. | Frank Thomas Aj | CIO | S - Sale | $62.11 | -24,756 | 1,163,791 | -2% | -$1,537,533 | |||||
| M | 2018-08-27 | IBKR | Interactive Brokers Group, Inc. | Frank Thomas Aj | CIO | S - Sale | $62.17 | -54,972 | 1,188,547 | -4% | -$3,417,504 | |||||
2018-08-20 | GSBD | Goldman Sachs Bdc, Inc. | Goldman Sachs Group Inc | 10% | S - Sale | $22.27 | -468 | 6,483,653 | 0% | -$10,422 | ||||||
2018-08-21 | GSBD | Goldman Sachs Bdc, Inc. | Goldman Sachs Group Inc | 10% | P - Purchase | $22.26 | +468 | 6,483,653 | 0% | +$10,418 | ||||||
2018-08-21 | AMTD | Td Ameritrade Holding Corp | Desilva Peter J | EVP, Retail Distribution | P - Purchase | $56.73 | +5,000 | 29,000 | +21% | +$283,650 | ||||||
| M | 2018-08-20 | IBKR | Interactive Brokers Group, Inc. | Frank Thomas Aj | CIO | S - Sale | $62.11 | -28,776 | 1,243,519 | -2% | -$1,787,136 | |||||
2018-08-17 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.20 | +5,000 | 2,422,592 | 0% | +$16,000 | ||||||
2018-08-17 | LTS | Ladenburg Thalmann Financial Services Inc. | Zeitchick Mark | EVP | P - Purchase | $3.20 | +5,000 | 3,569,981 | 0% | +$16,000 | ||||||
2018-08-17 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $3.20 | +5,000 | 1,204,364 | 0% | +$16,020 | ||||||
| D | 2018-08-16 | SCHW | Schwab Charles Corp | Dodds Christopher V | Dir | S - Sale+OE | $51.14 | -15,718 | 467,160 | -3% | -$803,823 | |||||
2018-08-17 | LTS | Ladenburg Thalmann Financial Services Inc. | Gilinski Saul | Dir | S - Sale | $3.23 | -50,000 | 1,562,007 | -3% | -$161,670 | ||||||
2018-08-16 | SF | Stifel Financial Corp | Nesi Victor | Co-Pres | S - Sale | $55.02 | -1,250 | 190,868 | -1% | -$68,773 | ||||||
2018-08-14 | MKTX | Marketaxess Holdings Inc | Themelis Nicholas | CIO | S - Sale | $186.51 | -12,831 | 41,896 | -23% | -$2,393,094 | ||||||
| D | 2018-08-13 | SEIC | Sei Investments Co | Ujobai Joseph P | EVP | S - Sale+OE | $59.84 | -1,473 | 56,766 | -3% | -$88,144 | |||||
| D | 2018-08-10 | SEIC | Sei Investments Co | Ujobai Joseph P | EVP | S - Sale+OE | $59.80 | -1,500 | 56,793 | -3% | -$89,700 |
| 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 |