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 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
2020-03-25 | SF | Stifel Financial Corp | Peacock David A | Dir | P - Purchase | $40.99 | +1,000 | 14,415 | +7% | +$40,990 | ||||||
| D | 2020-03-23 | AC | Associated Capital Group, Inc. | Gabelli Mario J | Exec COB, 10% | P - Purchase | $26.00 | +1,831 | 70,502 | +3% | +$47,606 | |||||
2020-03-23 | SF | Stifel Financial Corp | Peacock David A | Dir | P - Purchase | $32.47 | +1,000 | 13,415 | +8% | +$32,468 | ||||||
2020-03-20 | PIPR | Piper Sandler Companies | Carter Timothy L | CFO | P - Purchase | $37.67 | +2,000 | 9,222 | +28% | +$75,340 | ||||||
| M | 2020-03-19 | PIPR | Piper Sandler Companies | Abraham Chad R | COB, CEO | P - Purchase | $35.21 | +2,000 | 75,816 | +3% | +$70,425 | |||||
2020-03-19 | SF | Stifel Financial Corp | Kruszewski Ronald J | CEO | P - Purchase | $31.85 | +10,000 | 865,000 | +1% | +$318,500 | ||||||
2020-03-19 | COWN | Cowen Inc. | Barth Brett H | Dir | P - Purchase | $6.29 | +10,000 | 91,052 | +12% | +$62,934 | ||||||
2020-03-18 | BATRA | Liberty Media Corp | Gamco Investors, Inc. Et Al | 10% | P - Purchase | $15.50 | +4,000 | 87,616 | +5% | +$62,000 | ||||||
2020-03-13 | PIPR | Piper Sandler Companies | Schoneman Debbra L. | Pres | P - Purchase | $47.04 | +5,000 | 63,185 | +9% | +$235,188 | ||||||
2020-03-16 | FRHC | Freedom Holding Corp. | Tashtitov Askar | Pres | P - Purchase | $13.23 | +30,000 | 77,200 | +64% | +$396,900 | ||||||
2020-03-12 | RJF | Raymond James Financial Inc | Godbold Francis S | Vice COB | P - Purchase | $61.49 | +12,500 | 161,273 | +8% | +$768,583 | ||||||
2020-03-12 | COWN | Cowen Inc. | Barth Brett H | Dir | P - Purchase | $10.04 | +10,000 | 81,052 | +14% | +$100,390 | ||||||
2020-03-12 | WETF | Wisdomtree Investments, Inc. | Schwartz Jeremy | Global Head of Research | P - Purchase | $2.32 | +20,000 | 692,496 | +3% | +$46,380 | ||||||
| D | 2020-03-12 | AC | Associated Capital Group, Inc. | Gabelli Mario J | Exec COB, 10% | P - Purchase | $34.00 | +1,671 | 68,671 | +2% | +$56,807 | |||||
2020-03-11 | PIPR | Piper Sandler Companies | Larue R Scott | Co-Head Global IB, Cap Mkts | P - Purchase | $54.50 | +10,000 | 78,780 | +15% | +$545,000 | ||||||
2020-03-11 | BATRA | Liberty Media Corp | Gamco Investors, Inc. Et Al | 10% | P - Purchase | $20.21 | +1,000 | 83,616 | +1% | +$20,210 | ||||||
2020-03-11 | WETF | Wisdomtree Investments, Inc. | Bossone Anthony | Dir | P - Purchase | $3.00 | +100,000 | 548,070 | +22% | +$300,000 | ||||||
2020-03-09 | SF | Stifel Financial Corp | Grady Robert Edward | Dir | S - Sale | $43.39 | -5,000 | 6,383 | -44% | -$216,950 | ||||||
2020-03-09 | RJF | Raymond James Financial Inc | Godbold Francis S | Vice COB | P - Purchase | $65.40 | +12,542 | 148,773 | +9% | +$820,224 | ||||||
2020-03-09 | COWN | Cowen Inc. | Solomon Jeffrey M | COB, CEO | P - Purchase | $12.13 | +10,000 | 860,675 | +1% | +$121,305 | ||||||
2020-03-09 | COWN | Cowen Inc. | Littman Owen S | GC | P - Purchase | $12.13 | +2,000 | 182,699 | +1% | +$24,261 | ||||||
2020-03-09 | COWN | Cowen Inc. | Leibowitz Lawrence E | Dir | P - Purchase | $12.13 | +8,000 | 26,604 | +43% | +$97,044 | ||||||
2020-03-09 | COWN | Cowen Inc. | Lasota Stephen | CFO | P - Purchase | $12.13 | +2,000 | 229,911 | +1% | +$24,261 | ||||||
2020-03-09 | COWN | Cowen Inc. | Holmes John J | COO | P - Purchase | $12.13 | +2,000 | 187,074 | +1% | +$24,261 | ||||||
2020-03-09 | COWN | Cowen Inc. | Barth Brett H | Dir | P - Purchase | $12.13 | +10,000 | 71,052 | +16% | +$121,305 | ||||||
2020-03-06 | SCHW | Schwab Charles Corp | Clark Bernard J. | EVP - Advisor Services | S - Sale | $32.94 | -12,629 | 76,423 | -14% | -$416,001 | ||||||
| DM | 2020-03-02 | GBL | Gamco Investors, Inc. Et Al | Daniels Leslie B | Dir | P - Purchase | $15.33 | +10,000 | 10,000 | New | +$153,334 | |||||
| M | 2020-02-28 | WETF | Wisdomtree Investments, Inc. | Bossone Anthony | Dir | P - Purchase | $3.89 | +100,000 | 448,070 | +29% | +$389,494 | |||||
2020-02-28 | MS | Morgan Stanley | Luczo Stephen J | Dir | P - Purchase | $44.97 | +50,000 | 174,122 | +40% | +$2,248,735 | ||||||
2020-02-27 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $60.89 | -122,411 | 9,581,977 | -1% | -$7,453,606 | ||||||
2020-02-26 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $63.19 | -56,002 | 9,704,388 | -1% | -$3,538,766 | ||||||
2020-02-24 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $66.43 | -11,587 | 9,760,390 | 0% | -$769,724 | ||||||
2020-02-21 | MS | Morgan Stanley | Luczo Stephen J | Dir | P - Purchase | $53.00 | +50,000 | 124,122 | +67% | +$2,649,955 | ||||||
2020-02-20 | RJF | Raymond James Financial Inc | Allaire Bella Loykhter | EVP-RJA | S - Sale | $101.26 | -10,800 | 58,584 | -16% | -$1,093,608 | ||||||
2020-02-20 | BLK | Blackrock Inc. | Shedlin Gary | CFO, Senior MD | S - Sale | $571.49 | -4,000 | 16,891 | -19% | -$2,285,940 | ||||||
2020-02-20 | RJF | Raymond James Financial Inc | Dowdle Jeffrey A | COO, Head of Asset Mgmt. | S - Sale | $100.52 | -8,692 | 49,257 | -15% | -$873,744 | ||||||
| D | 2020-02-18 | LTS | Ladenburg Thalmann Financial Services Inc. | Kaufman Brett | SVP, CFO | S - Sale+OE | $25.00 | -205 | 0 | -100% | -$5,134 | |||||
2020-02-14 | BLK | Blackrock Inc. | Fink Laurence | COB, CEO | S - Sale | $565.35 | -44,300 | 837,017 | -5% | -$25,045,190 | ||||||
| AM | 2019-09-23 | VIVE | Viveve Medical, Inc. | Goldman Sachs Group Inc | None - See FN 3 | P - Purchase | $5.76 | +65,800 | 92,425 | +247% | +$379,032 | |||||
| AM | 2019-09-20 | VIVE | Viveve Medical, Inc. | Goldman Sachs Group Inc | None - See FN 3 | S - Sale | $5.08 | -26,417 | 92,425 | -22% | -$134,073 | |||||
| AM | 2019-10-01 | VIVE | Viveve Medical, Inc. | Goldman Sachs Group Inc | None - See FN 3 | S - Sale | $4.81 | -92,425 | 23,688 | -80% | -$444,464 | |||||
2020-02-14 | MKTX | Marketaxess Holdings Inc | McPherson Kevin M | Global Head of Sales | S - Sale | $342.42 | -3,000 | 78,892 | -4% | -$1,027,260 | ||||||
2020-02-13 | MKTX | Marketaxess Holdings Inc | Delise Antonio L | CFO | S - Sale | $334.25 | -2,500 | 37,265 | -6% | -$835,638 | ||||||
| D | 2020-02-12 | LTS | Ladenburg Thalmann Financial Services Inc. | Zeitchick Mark | Former Director and Officer | S - Sale+OE | $25.07 | -4,000 | 0 | -100% | -$100,280 | |||||
| D | 2020-02-12 | LTS | Ladenburg Thalmann Financial Services Inc. | Simkin Jacqueline M | Former Director | S - Sale+OE | $25.08 | -8,000 | 0 | -100% | -$200,664 | |||||
| D | 2020-02-12 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | Former Director and Officer | S - Sale+OE | $25.10 | -3,900 | 100 | -98% | -$97,899 | |||||
| D | 2020-02-12 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Former Director and Officer | S - Sale+OE | $25.11 | -4,000 | 200 | -95% | -$100,456 | |||||
| D | 2020-02-12 | LTS | Ladenburg Thalmann Financial Services Inc. | Giovanniello Joseph | Former Officer | S - Sale+OE | $25.11 | -2,000 | 0 | -100% | -$50,220 | |||||
| D | 2020-02-12 | LTS | Ladenburg Thalmann Financial Services Inc. | Genson Brian S | Former Director | S - Sale+OE | $25.08 | -2,000 | 0 | -100% | -$50,160 | |||||
| D | 2020-02-13 | SCHW | Schwab Charles Corp | McLin Stephen T | Dir | S - Sale+OE | $47.29 | -5,364 | 164,406 | -3% | -$253,640 | |||||
2020-02-10 | MKTX | Marketaxess Holdings Inc | Themelis Nicholas | CIO | S - Sale | $342.01 | -4,000 | 38,451 | -9% | -$1,368,040 | ||||||
2020-02-10 | MKTX | Marketaxess Holdings Inc | McVey Richard M | COB, CEO | S - Sale | $339.25 | -25,000 | 952,944 | -3% | -$8,481,255 | ||||||
2020-02-11 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $47.76 | -8,500 | 123,070,582 | 0% | -$405,934 | ||||||
2020-02-07 | BLK | Blackrock Inc. | Comerchero Marc D. | Principal Accounting Officer | S - Sale | $553.01 | -600 | 2,184 | -22% | -$331,806 | ||||||
2020-02-06 | BLK | Blackrock Inc. | Wiedman Mark | Senior MD | S - Sale | $542.00 | -3,750 | 16,140 | -19% | -$2,032,504 | ||||||
2020-02-05 | BLK | Blackrock Inc. | Kushel J. Richard | Senior MD | S - Sale | $541.81 | -4,998 | 163,038 | -3% | -$2,707,966 | ||||||
2020-02-04 | BLK | Blackrock Inc. | McCombe Mark | Senior MD | S - Sale | $539.01 | -2,300 | 27,146 | -8% | -$1,239,723 | ||||||
2020-02-04 | BLK | Blackrock Inc. | Goldstein Robert L. | COO | S - Sale | $539.09 | -5,089 | 41,857 | -11% | -$2,743,429 | ||||||
| M | 2020-01-31 | GS | Goldman Sachs Group Inc | Viniar David A | Dir | S - Sale | $242.36 | -25,000 | 885,368 | -3% | -$6,059,087 | |||||
2020-01-31 | GS | Goldman Sachs Group Inc | Stein Laurence | Chief Administrative Officer | S - Sale | $239.26 | -9,533 | 28,474 | -25% | -$2,280,866 | ||||||
| M | 2020-01-31 | SF | Stifel Financial Corp | Weisel Thomas W | Dir | S - Sale | $65.39 | -27,583 | 41,737 | -40% | -$1,803,552 | |||||
2020-02-03 | WETF | Wisdomtree Investments, Inc. | Ziemba Peter M | Chief Administrative Officer | P - Purchase | $4.19 | +25,000 | 1,004,201 | +3% | +$104,685 | ||||||
2020-02-03 | WETF | Wisdomtree Investments, Inc. | Steinberg Jonathan L | CEO | P - Purchase | $4.26 | +177,099 | 8,325,289 | +2% | +$754,017 | ||||||
2020-02-03 | WETF | Wisdomtree Investments, Inc. | Schwartz Jeremy | Global Head of Research | P - Purchase | $4.20 | +20,000 | 672,496 | +3% | +$84,086 | ||||||
2020-02-03 | WETF | Wisdomtree Investments, Inc. | Lilien R Jarrett | Pres | P - Purchase | $4.23 | +23,529 | 531,933 | +5% | +$99,483 | ||||||
2020-02-03 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $45.73 | -220,000 | 123,079,082 | 0% | -$10,061,150 | ||||||
| D | 2020-01-30 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale+OE | $47.19 | -327,360 | 123,299,082 | 0% | -$15,446,891 | |||||
| D | 2020-01-31 | SCHW | Schwab Charles Corp | Morgan Peter J. III | EVP, GC | S - Sale+OE | $46.11 | -16,738 | 14,710 | -53% | -$771,774 | |||||
2020-01-30 | BLK | Blackrock Inc. | McCombe Mark | Senior MD | S - Sale | $534.05 | -1,336 | 28,267 | -5% | -$713,489 | ||||||
2020-01-30 | BLK | Blackrock Inc. | Fink Laurence | COB, CEO | S - Sale | $536.74 | -46,730 | 869,347 | -5% | -$25,081,918 | ||||||
2020-01-29 | RJF | Raymond James Financial Inc | Bunn James E | Pres-GlobEq, Inv Banking-RJA | S - Sale | $91.05 | -5,120 | 10,606 | -33% | -$466,176 | ||||||
| D | 2020-01-28 | WETF | Wisdomtree Investments, Inc. | Muni Amit | CFO | S - Sale+OE | $3.87 | -28,500 | 668,987 | -4% | -$110,329 | |||||
2020-01-24 | SIEB | Siebert Financial Corp | Gebbia Gloria E | MEMBER OF 10% OWNER GROUP, 10% | S - Sale | $1.90 | -350,000 | 19,221,799 | -2% | -$665,000 | ||||||
2020-01-24 | SIEB | Siebert Financial Corp | Kennedy Cabot Acquisition, LLC | Member of 10% owner group, 10% | S - Sale | $1.90 | -350,000 | 3,177,283 | -10% | -$665,000 | ||||||
2020-01-24 | BATRA | Liberty Media Corp | Gamco Investors, Inc. Et Al | 10% | P - Purchase | $29.55 | +1,200 | 82,616 | +1% | +$35,460 | ||||||
2020-01-22 | BATRA | Liberty Media Corp | Gamco Investors, Inc. Et Al | 10% | P - Purchase | $29.25 | +1,000 | 81,416 | +1% | +$29,250 | ||||||
2020-01-17 | SF | Stifel Financial Corp | Nesi Victor | Co-Pres | S - Sale | $65.06 | -3,750 | 177,554 | -2% | -$243,975 | ||||||
2020-01-17 | SF | Stifel Financial Corp | Himelfarb Richard J | SVP | S - Sale | $65.07 | -10,000 | 95,177 | -10% | -$650,700 | ||||||
2020-01-16 | BLK | Blackrock Inc. | Kushel J. Richard | Senior MD | S - Sale | $535.21 | -2,276 | 163,898 | -1% | -$1,218,133 | ||||||
| D | 2020-01-16 | SCHW | Schwab Charles Corp | Craig Jonathan M. | Senior EVP | S - Sale+OE | $49.00 | -3,153 | 0 | -100% | -$154,497 | |||||
| D | 2020-01-15 | SCHW | Schwab Charles Corp | Craig Jonathan M. | Senior EVP | S - Sale+OE | $47.33 | -3,162 | 0 | -100% | -$149,648 | |||||
2019-12-31 | GBL | Gamco Investors, Inc. Et Al | Gabelli Mario J | COB, CEO, 10% | P - Purchase | $19.43 | +1,200 | 21,732,085 | 0% | +$23,318 | ||||||
2019-12-19 | SEIC | Sei Investments Co | Doran William | Dir | S - Sale | $66.63 | -2,000 | 669,915 | 0% | -$133,260 | ||||||
2019-12-26 | SF | Stifel Financial Corp | Zemlyak James M | Co-Pres | S - Sale | $61.65 | -3,303 | 840,182 | 0% | -$203,630 | ||||||
2019-12-27 | GBL | Gamco Investors, Inc. Et Al | Gabelli Mario J | COB, CEO, 10% | P - Purchase | $19.43 | +702 | 21,730,885 | 0% | +$13,639 | ||||||
| M | 2019-12-30 | BATRA | Liberty Media Corp | Gamco Investors, Inc. Et Al | 10% | P - Purchase | $28.85 | +8,006 | 80,416 | +11% | +$230,978 | |||||
2019-12-26 | GBL | Gamco Investors, Inc. Et Al | Gabelli Mario J | COB, CEO, 10% | P - Purchase | $19.59 | +500 | 21,730,183 | 0% | +$9,795 | ||||||
2019-12-24 | GBL | Gamco Investors, Inc. Et Al | Wilson Elisa M. | Dir | S - Sale | $19.13 | -3,500 | 23,808 | -13% | -$66,965 | ||||||
2019-12-20 | SF | Stifel Financial Corp | Oates James M | Dir | S - Sale | $61.99 | -10,000 | 9,435 | -51% | -$619,940 | ||||||
| M | 2019-12-18 | FRHC | Freedom Holding Corp. | Ler Evgeny | CFO | S - Sale | $14.75 | -30,000 | 47,600 | -39% | -$442,588 | |||||
2019-12-18 | SEIC | Sei Investments Co | Doran William | Dir | S - Sale | $66.94 | -3,000 | 671,915 | 0% | -$200,820 | ||||||
2019-12-17 | AMTD | Td Ameritrade Holding Corp | Koplow Ellen L S | EVP, GC, Sec. | S - Sale | $52.01 | -17,241 | 104,862 | -14% | -$896,704 | ||||||
2019-12-16 | AMTD | Td Ameritrade Holding Corp | Boyle Stephen J | Pres, CEO | S - Sale | $52.25 | -18,180 | 186,522 | -9% | -$949,905 | ||||||
2019-12-16 | SEIC | Sei Investments Co | Doran William | Dir | S - Sale | $66.28 | -5,000 | 674,915 | -1% | -$331,400 | ||||||
2019-12-16 | SIEB | Siebert Financial Corp | Gebbia Gloria E | MEMBER OF 10% OWNER GROUP, 10% | S - Sale | $1.90 | -50,000 | 17,086,977 | 0% | -$95,000 | ||||||
2019-12-16 | SIEB | Siebert Financial Corp | Kennedy Cabot Acquisition, LLC | Member of 10% owner group, 10% | S - Sale | $1.90 | -50,000 | 3,527,283 | -1% | -$95,000 | ||||||
| M | 2019-12-16 | GBL | Gamco Investors, Inc. Et Al | Gabelli Mario J | COB, CEO, 10% | S - Sale | $18.59 | -81,100 | 21,729,683 | 0% | -$1,507,814 | |||||
2019-12-16 | SF | Stifel Financial Corp | Nesi Victor | Co-Pres | S - Sale | $62.22 | -1,875 | 180,248 | -1% | -$116,654 | ||||||
| D | 2019-12-16 | AC | Associated Capital Group, Inc. | Gabelli Mario J | Exec COB, 10% | P - Purchase | $35.92 | +900 | 73,177 | +1% | +$32,329 | |||||
| D | 2019-12-13 | RJF | Raymond James Financial Inc | Reilly Paul C | COB, CEO | S - Sale+OE | $90.62 | -11,621 | 111,862 | -9% | -$1,053,115 |
| 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 |