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 |
| P | 15 | +0 | +1 | +4 | +0 |
| S | 50 | -0 | -0 | -5 | +0 |
X |
Filing Date |
Trade Date |
Ticker |
Company | Insider Name | Insider Title |
Trade Type |
Share Price |
Shares Traded |
Shares Owned |
Own chg |
Value Traded |
1d ret |
1w ret |
1m ret |
6m ret |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
2017-07-20 | VIRT | Virtu Financial, Inc. | Temasek Holdings (Private) Ltd | 10% | P - Purchase | $15.60 | +6,346,155 | 18,663,837 | +52% | +$99,000,018 | ||||||
| D | 2017-07-20 | SCHW | Schwab Charles Corp | Martinetto Joseph R | Senior EVP | S - Sale+OE | $42.10 | -115,642 | 156,530 | -42% | -$4,868,528 | |||||
2017-07-20 | MS | Morgan Stanley | Pruzan Jonathan | CFO | S - Sale | $46.68 | -25,767 | 202,071 | -11% | -$1,202,834 | ||||||
| D | 2017-07-19 | SCHW | Schwab Charles Corp | Martinetto Joseph R | Senior EVP | S - Sale+OE | $42.51 | -89,330 | 156,530 | -36% | -$3,797,124 | |||||
| EM | 2017-07-18 | CPFH | Capital Financial Holdings, Inc | Dihle Gordon D. | CEO, 10% | P - Purchase | $286.96 | +23 | 49 | +88% | +$6,600 | |||||
2017-07-18 | BLK | Blackrock Inc. | Smith Jeff A | Senior MD | S - Sale | $421.52 | -522 | 15,864 | -3% | -$220,033 | ||||||
| D | 2017-07-17 | TMPS | Tempus Applied Solutions Holdings, Inc. | Cohen Peter A | 10% | S - Sale+OE | $0.31 | -248,002 | 393,750 | -39% | -$78,071 | |||||
| D | 2017-07-05 | JMP | Jmp Group LLC | Jackson Raymond | CFO | S - Sale+OE | $7.50 | -50,000 | 96,664 | -34% | -$375,000 | |||||
| D | 2017-07-05 | SCHW | Schwab Charles Corp | Chandoha Marie A | Pres - CSIM | S - Sale+OE | $44.02 | -200 | 14,002 | -1% | -$8,805 | |||||
| D | 2017-07-03 | SCHW | Schwab Charles Corp | Kallsen Terri R | EVP - Investor Services | S - Sale+OE | $43.15 | -10,536 | 5,367 | -66% | -$454,659 | |||||
| D | 2017-06-29 | SCHW | Schwab Charles Corp | Clark Bernard J. | EVP - Advisor Services | S - Sale+OE | $44.00 | -400 | 56,882 | -1% | -$17,600 | |||||
| D | 2017-06-29 | SCHW | Schwab Charles Corp | Chandoha Marie A | Pres - CSIM | S - Sale+OE | $44.00 | -100 | 14,002 | -1% | -$4,400 | |||||
| D | 2017-06-05 | KCG | Kcg Holdings, Inc. | Coleman Daniel | CEO | S - Sale+OE | $19.86 | -31,643 | 1,620,694 | -2% | -$628,430 | |||||
2017-06-29 | LTS | Ladenburg Thalmann Financial Services Inc. | Frost Phillip Md Et Al | Dir, 10% | P - Purchase | $2.47 | +100,000 | 67,029,630 | 0% | +$247,460 | ||||||
| D | 2017-06-20 | SEIC | Sei Investments Co | Ujobai Joseph P | EVP | S - Sale+OE | $53.70 | -25,000 | 50,080 | -33% | -$1,342,500 | |||||
2017-06-15 | AMTD | Td Ameritrade Holding Corp | Moglia Joseph H | Dir | S - Sale | $40.45 | -10,000 | 170,000 | -6% | -$404,500 | ||||||
2017-06-12 | SEIC | Sei Investments Co | Doran William | Dir | S - Sale | $52.40 | -5,000 | 681,015 | -1% | -$262,000 | ||||||
2017-06-12 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $52.46 | -15,884 | 10,886,282 | 0% | -$833,275 | ||||||
| D | 2017-06-13 | SEIC | Sei Investments Co | Klauder Paul | EVP | S - Sale+OE | $53.56 | -7,500 | 35,758 | -17% | -$401,700 | |||||
| DM | 2017-06-08 | MKTX | Marketaxess Holdings Inc | McPherson Kevin M | Global Head of Sales | S - Sale+OE | $201.35 | -9,286 | 85,929 | -10% | -$1,869,739 | |||||
| D | 2017-06-09 | MKTX | Marketaxess Holdings Inc | Themelis Nicholas | CIO | S - Sale+OE | $200.84 | -5,596 | 62,167 | -8% | -$1,123,921 | |||||
| M | 2017-06-08 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $51.92 | -84,116 | 10,902,166 | -1% | -$4,367,591 | |||||
2017-06-02 | BLK | Blackrock Inc. | Wagner Susan | Dir | S - Sale | $414.31 | -2,500 | 490,686 | -1% | -$1,035,764 | ||||||
2017-05-31 | FBRC | Fbr & Co. | Strome William Frederick | Dir | P - Purchase | $10.09 | +5,271 | 0 | -100% | +$53,184 | ||||||
2017-05-31 | FBRC | Fbr & Co. | Hynes Thomas J Jr | Dir | P - Purchase | $10.09 | +6,817 | 0 | -100% | +$68,784 | ||||||
| D | 2017-05-26 | RJF | Raymond James Financial Inc | Santelli Jonathan N | EVP, GC, Secy | S - Sale+OE | $73.30 | -1,880 | 0 | -100% | -$137,804 | |||||
2017-05-26 | BLK | Blackrock Inc. | McCombe Mark | Senior MD | S - Sale | $405.98 | -500 | 28,495 | -2% | -$202,988 | ||||||
2017-05-23 | LTS | Ladenburg Thalmann Financial Services Inc. | Zeitchick Mark | EVP | P - Purchase | $2.25 | +5,000 | 3,294,042 | 0% | +$11,247 | ||||||
2017-05-22 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $2.23 | +5,000 | 1,990,004 | 0% | +$11,137 | ||||||
2017-05-19 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $2.15 | +5,000 | 1,036,929 | 0% | +$10,750 | ||||||
2017-05-17 | KCG | Kcg Holdings, Inc. | Ogurtsov Nick | COO, Chief Risk Officer | S - Sale | $19.85 | -58,549 | 0 | -100% | -$1,162,198 | ||||||
| D | 2017-05-17 | MKTX | Marketaxess Holdings Inc | Casper Stephen P | Dir | S - Sale+OE | $184.70 | -230 | 50,234 | 0% | -$42,481 | |||||
| DM | 2017-05-15 | KCG | Kcg Holdings, Inc. | Ogurtsov Nick | COO, Chief Risk Officer | S - Sale+OE | $0.00 | -171,461 | 58,549 | -75% | -$0 | |||||
2017-04-25 | IBKR | Interactive Brokers Group, Inc. | Galik Milan | Pres | S - Sale | $34.52 | -1 | 849,751 | 0% | -$35 | ||||||
| D | 2017-05-10 | MS | Morgan Stanley | Gorman James P | COB, CEO | S - Sale+OE | $42.93 | -212,365 | 1,420,542 | -13% | -$9,117,530 | |||||
| D | 2017-05-11 | SEIC | Sei Investments Co | Romeo Carmen | Dir | S - Sale+OE | $51.60 | -5,000 | 3,196,904 | 0% | -$258,000 | 0 | ||||
| D | 2017-05-09 | SEIC | Sei Investments Co | Ujobai Joseph P | EVP | S - Sale+OE | $51.16 | -30,000 | 55,080 | -35% | -$1,534,800 | +1 | ||||
| D | 2017-05-05 | SEIC | Sei Investments Co | Romeo Carmen | Dir | S - Sale+OE | $51.30 | -15,000 | 3,206,904 | 0% | -$769,500 | +1 | ||||
2017-05-08 | MKTX | Marketaxess Holdings Inc | McVey Richard M | COB, CEO | S - Sale | $185.70 | -20,000 | 1,065,844 | -2% | -$3,713,920 | +1 | |||||
| D | 2017-05-02 | KCG | Kcg Holdings, Inc. | McCarthy John A | GC | S - Sale+OE | $19.94 | -26,951 | 34,878 | -44% | -$537,403 | 0 | 0 | |||
2017-05-02 | COWN | Cowen Group, Inc. | Holmes John J | COO | S - Sale | $15.71 | -35,000 | 121,256 | -22% | -$549,710 | +1 | -4 | ||||
| DM | 2017-05-01 | MKTX | Marketaxess Holdings Inc | McVey Richard M | COB, CEO | S - Sale+OE | $191.20 | -27,000 | 1,085,844 | -2% | -$5,162,434 | 0 | 0 | |||
| M | 2017-04-28 | JMP | Jmp Group LLC | Tongue Glenn H | Dir | P - Purchase | $5.76 | +20,864 | 177,297 | +13% | +$120,075 | -1 | -2 | |||
2017-04-27 | SCHW | Schwab Charles Corp | Goldfarb Mark A | Dir | P - Purchase | $26.97 | +1,850 | 1,850 | New | +$49,888 | +2 | +3 | ||||
| D | 2017-04-25 | KCG | Kcg Holdings, Inc. | Tusar Gregory A | See Remarks | S - Sale+OE | $0.00 | -113,300 | 0 | -100% | -$0 | 0 | 0 | |||
| M | 2017-04-25 | KCG | Kcg Holdings, Inc. | Allison Philip | CEO of KCG Europe Limited | S - Sale | $0.00 | -397,781 | 65,662 | -86% | -$0 | 0 | 0 | |||
2017-04-26 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $50.94 | -50,000 | 10,986,282 | 0% | -$2,547,000 | 0 | -1 | ||||
| D | 2017-04-26 | SEIC | Sei Investments Co | Romeo Carmen | Dir | S - Sale+OE | $50.91 | -10,000 | 3,186,904 | 0% | -$509,150 | 0 | -1 | |||
| D | 2017-04-24 | NAVI | Navient Corp | Suitt Gilleland Diane | Dir | S - Sale+OE | $15.89 | -5,467 | 105,760 | -5% | -$86,889 | -2 | -3 | |||
2017-04-26 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $40.25 | -300,000 | 141,625,329 | 0% | -$12,075,150 | -2 | 0 | ||||
2017-04-24 | KCG | Kcg Holdings, Inc. | Ogurtsov Nick | COO, Chief Risk Officer | S - Sale | $0.00 | -104,021 | 58,549 | -64% | -$0 | 0 | +1 | ||||
| M | 2017-04-24 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $50.78 | -125,000 | 11,036,282 | -1% | -$6,347,500 | 0 | -1 | |||
| D | 2017-04-26 | SCHW | Schwab Charles Corp | Bechtle Nancy H | Dir | S - Sale+OE | $39.85 | -7,823 | 215,476 | -4% | -$311,710 | +1 | +1 | |||
| D | 2017-04-25 | SCHW | Schwab Charles Corp | McLin Stephen T | Dir | S - Sale+OE | $39.69 | -7,823 | 161,687 | -5% | -$310,518 | +1 | 0 | |||
| DM | 2017-04-21 | KCG | Kcg Holdings, Inc. | Tusar Gregory A | See Remarks | S - Sale+OE | $0.00 | -190,180 | 109,900 | -63% | -$0 | 0 | +1 | |||
| D | 2017-04-19 | SCHW | Schwab Charles Corp | Kallsen Terri R | EVP - Investor Services | S - Sale+OE | $38.36 | -27,122 | 5,367 | -83% | -$1,040,467 | -1 | +4 | |||
2017-04-19 | SCHW | Schwab Charles Corp | Bettinger Walter W | Pres, CEO | S - Sale | $38.57 | -15,056 | 271,956 | -5% | -$580,636 | +1 | +5 | ||||
| M | 2017-04-12 | VIRT | Virtu Financial, Inc. | Tjmt Holdings LLC | See Viola, Vincent J., 10% | P - Purchase | $15.46 | +144,542 | 1,205,752 | +14% | +$2,234,172 | -1 | +4 | |||
| M | 2017-04-10 | VIRT | Virtu Financial, Inc. | Tjmt Holdings LLC | See Viola, Vincent J., 10% | P - Purchase | $15.62 | +100,000 | 1,061,210 | +10% | +$1,562,255 | +2 | -3 | 0 | ||
| M | 2017-01-10 | VIRT | Virtu Financial, Inc. | Tjmt Holdings LLC | See Viola, Vincent J., 10% | P - Purchase | $15.87 | +151,128 | 961,210 | +19% | +$2,398,621 | 0 | 0 | -2 | ||
| D | 2017-03-09 | SEIC | Sei Investments Co | Withrow Wayne | EVP | S - Sale+OE | $51.38 | -30,000 | 94,518 | -24% | -$1,541,400 | +1 | +2 | +1 | ||
| D | 2017-03-31 | SEIC | Sei Investments Co | McCarthy Kathryn | Dir | S - Sale+OE | $50.44 | -2,500 | 142,900 | -2% | -$126,100 | 0 | +2 | +1 | ||
2017-03-21 | VIRT | Virtu Financial, Inc. | Tjmt Holdings LLC | See Viola, Vincent J., 10% | P - Purchase | $15.98 | +28,273 | 810,082 | +4% | +$451,780 | +2 | +1 | -6 | |||
2017-03-22 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $2.20 | +5,000 | 1,031,929 | 0% | +$11,000 | +5 | +13 | +8 | |||
2017-03-20 | FPT | Federated Premier Intermediate Municipal Income Fund | Bank of America Corp /de/ | 10% | P - Purchase | $12.94 | +52 | 0 | -100% | +$673 | 0 | 0 | +1 | |||
2017-03-22 | FPT | Federated Premier Intermediate Municipal Income Fund | Bank of America Corp /de/ | 10% | S - Sale | $12.89 | -52 | 0 | -100% | -$670 | 0 | 0 | +1 | |||
2017-03-20 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $2.38 | +5,000 | 1,026,929 | 0% | +$11,900 | -4 | +5 | +6 | |||
2017-03-16 | VIRT | Virtu Financial, Inc. | Tjmt Holdings LLC | See Viola, Vincent J., 10% | P - Purchase | $16.00 | +300 | 781,809 | 0% | +$4,800 | -1 | +2 | -7 | |||
2017-03-17 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $2.33 | +10,000 | 1,985,004 | +1% | +$23,342 | 0 | +1 | +9 | |||
2017-03-17 | LTS | Ladenburg Thalmann Financial Services Inc. | Zeitchick Mark | EVP | P - Purchase | $2.36 | +10,000 | 3,289,042 | 0% | +$23,600 | 0 | +1 | +9 | |||
2017-03-17 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $2.36 | +5,000 | 1,021,929 | 0% | +$11,791 | 0 | +1 | +9 | |||
| D | 2017-03-16 | SCHW | Schwab Charles Corp | Chandoha Marie A | Pres - CSIM | S - Sale+OE | $43.50 | -6,317 | 14,002 | -31% | -$274,809 | -2 | -8 | -14 | ||
| M | 2017-03-14 | AMTD | Td Ameritrade Holding Corp | Moglia Joseph H | Dir | S - Sale | $39.18 | -20,000 | 180,000 | -10% | -$783,600 | 0 | -6 | -9 | ||
| M | 2017-03-14 | WETF | Wisdomtree Investments, Inc. | Steinberg Jonathan L | CEO | P - Purchase | $9.14 | +97,971 | 7,463,666 | +1% | +$895,334 | +2 | -6 | -10 | ||
| D | 2017-03-13 | SCHW | Schwab Charles Corp | Chandoha Marie A | Pres - CSIM | S - Sale+OE | $43.01 | -8,903 | 14,002 | -39% | -$382,940 | -1 | 0 | -9 | ||
| D | 2017-03-07 | SEIC | Sei Investments Co | Romeo Carmen | Dir | S - Sale+OE | $51.13 | -2,500 | 3,184,404 | 0% | -$127,825 | 0 | +2 | -1 | ||
| D | 2017-03-08 | SEIC | Sei Investments Co | Meyer Stephen | EVP | S - Sale+OE | $51.26 | -10,000 | 196,448 | -5% | -$512,600 | 0 | +2 | -1 | ||
| M | 2017-03-07 | SCHW | Schwab Charles Corp | Clark Bernard J. | EVP - Advisor Services | S - Sale | $42.20 | -5,038 | 56,880 | -8% | -$212,586 | 0 | +2 | -5 | ||
2017-03-03 | RJF | Raymond James Financial Inc | Ackart Jennifer C | SVP, Controller | S - Sale | $80.00 | -2,500 | 19,501 | -11% | -$200,000 | -1 | 0 | -4 | |||
| D | 2017-03-03 | SEIC | Sei Investments Co | Heilig Kathy | VP, Controller | S - Sale+OE | $51.30 | -22,500 | 26,282 | -46% | -$1,154,250 | 0 | +2 | -2 | ||
2017-03-06 | SCHW | Schwab Charles Corp | Clark Bernard J. | EVP - Advisor Services | S - Sale | $42.08 | -5,098 | 61,918 | -8% | -$214,524 | -1 | +1 | -4 | |||
| D | 2017-03-06 | SEIC | Sei Investments Co | Klauder N Jeffrey | EVP | S - Sale+OE | $51.07 | -30,000 | 134,388 | -18% | -$1,532,100 | 0 | +1 | -2 | ||
2017-03-02 | RJF | Raymond James Financial Inc | Ackart Jennifer C | SVP, Controller | S - Sale | $79.44 | -2,500 | 22,001 | -10% | -$198,602 | -1 | -1 | -4 | |||
2017-03-01 | RJF | Raymond James Financial Inc | Zank Dennis W | COO | S - Sale | $81.57 | -6,054 | 192,272 | -3% | -$493,815 | -2 | -3 | -6 | |||
| D | 2017-03-01 | SCHW | Schwab Charles Corp | Chandoha Marie A | Pres - CSIM | S - Sale+OE | $41.63 | -15,134 | 3,018 | -83% | -$630,097 | -2 | -3 | -6 | ||
| D | 2017-03-01 | SCHW | Schwab Charles Corp | Clark Bernard J. | EVP - Advisor Services | S - Sale+OE | $43.08 | -35,930 | 56,880 | -39% | -$1,547,832 | -2 | -3 | -6 | ||
2017-02-23 | PJC | Piper Jaffray Companies | Winges Martin Bradley | CIO, Head of Fixed Income | S - Sale | $73.50 | -2,000 | 44,710 | -4% | -$147,000 | 0 | -3 | -13 | |||
2017-02-22 | BLK | Blackrock Inc. | Stork Ryan | Senior MD | S - Sale | $390.00 | -5,150 | 17,442 | -23% | -$2,008,500 | 0 | +1 | -3 | |||
2017-02-22 | BLK | Blackrock Inc. | Fairbairn Robert W | Senior MD | S - Sale | $390.02 | -1,300 | 48,568 | -3% | -$507,026 | 0 | +1 | -3 | |||
| D | 2017-02-23 | SEIC | Sei Investments Co | Blumenstein Sarah | Dir | S - Sale+OE | $50.45 | -3,063 | 14,425 | -18% | -$154,528 | +1 | +1 | 0 | ||
2017-02-21 | GS | Goldman Sachs Group Inc | Salame Pablo J | Vice COB | S - Sale | $251.80 | -10,000 | 185,747 | -5% | -$2,518,039 | 0 | +1 | -8 | |||
| D | 2017-02-21 | GS | Goldman Sachs Group Inc | Solomon David M | Pres, Co-COO | S - Sale+OE | $252.18 | -7,954 | 200,014 | -4% | -$2,005,839 | 0 | +1 | -8 | ||
| D | 2017-02-22 | SEIC | Sei Investments Co | Crudup Robert | EVP | S - Sale+OE | $50.28 | -12,500 | 367,500 | -3% | -$628,500 | 0 | +2 | 0 | ||
2017-02-17 | KCG | Kcg Holdings, Inc. | Fisher Peter R. | Dir | P - Purchase | $0.00 | +17,500 | 23,370 | +298% | +$0 | 0 | -3 | +27 | |||
| D | 2017-02-22 | RJF | Raymond James Financial Inc | Raney Steven M | Pres, CEO RJBank | S - Sale+OE | $79.10 | -2,115 | 27,360 | -7% | -$167,297 | +1 | -1 | -6 | ||
| DM | 2017-02-17 | SEIC | Sei Investments Co | Klauder Paul | EVP | S - Sale+OE | $50.50 | -20,000 | 35,091 | -36% | -$1,010,000 | +1 | 0 | +1 | ||
2017-02-21 | RJF | Raymond James Financial Inc | Elwyn Tashtego S | Pres - RJA | S - Sale | $79.21 | -4,000 | 17,530 | -19% | -$316,823 | 0 | +1 | -6 | |||
| D | 2017-02-16 | GS | Goldman Sachs Group Inc | Cohen Alan M | EVP, Global Head of Compliance | S - Sale+OE | $250.16 | -5,599 | 67,719 | -8% | -$1,400,649 | +1 | 0 | -7 | ||
2017-02-15 | PJC | Piper Jaffray Companies | Larue R Scott | Co-Head Global IB, Cap Mkts | S - Sale | $81.51 | -5,000 | 62,524 | -7% | -$407,530 | 0 | -5 | -11 | |||
2017-02-15 | BLK | Blackrock Inc. | Smith Jeff A | Senior MD | S - Sale | $391.29 | -300 | 16,386 | -2% | -$117,388 | 0 | 0 | -2 |
Real-time CSV? Options? Alerts? Contact us!
| 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 |