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 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
2019-07-18 | 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 | ||||||
| M | 2019-04-16 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $3.99 | +16,306 | 6,616,131 | 0% | +$65,014 | |||||
2019-04-17 | SCHW | Schwab Charles Corp | Murtagh Nigel J | EVP - Corporate Risk | S - Sale | $45.70 | -23,200 | 39,875 | -37% | -$1,060,300 | ||||||
2019-04-17 | BLK | Blackrock Inc. | Shedlin Gary | CFO, Senior MD | S - Sale | $467.99 | -2,750 | 21,768 | -11% | -$1,286,982 | ||||||
2019-04-17 | BLK | Blackrock Inc. | Smith Jeff A | Senior MD | S - Sale | $468.22 | -300 | 11,014 | -3% | -$140,465 | ||||||
| D | 2019-04-16 | SCHW | Schwab Charles Corp | McLin Stephen T | Dir | S - Sale+OE | $45.59 | -4,000 | 154,835 | -3% | -$182,374 | |||||
| D | 2019-04-16 | SCHW | Schwab Charles Corp | Murtagh Nigel J | EVP - Corporate Risk | S - Sale+OE | $45.64 | -57,000 | 63,075 | -47% | -$2,601,611 | |||||
2019-04-15 | INAP | Internap Corp | Gamco Investors, Inc. Et Al | 10% | S - Sale | $4.63 | -75 | 12,037 | -1% | -$348 | ||||||
2019-04-15 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $3.47 | +15,000 | 1,512,541 | +1% | +$52,124 | ||||||
2019-04-15 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | CEO, Pres, COB | P - Purchase | $3.43 | +10,000 | 3,086,204 | 0% | +$34,301 | ||||||
| D | 2019-04-15 | SCHW | Schwab Charles Corp | Craig Jonathan M. | Senior EVP | S - Sale+OE | $46.52 | -3,740 | 0 | -100% | -$173,985 | |||||
2019-04-12 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $3.46 | +10,000 | 1,497,541 | +1% | +$34,600 | ||||||
2019-04-11 | LTS | Ladenburg Thalmann Financial Services Inc. | Zeitchick Mark | EVP | P - Purchase | $3.38 | +10,000 | 4,058,546 | 0% | +$33,768 | ||||||
2019-04-10 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | CEO, Pres, COB | P - Purchase | $3.24 | +20,000 | 3,076,204 | +1% | +$64,740 | ||||||
2019-04-10 | LTS | Ladenburg Thalmann Financial Services Inc. | Liebowitz Michael | Dir | P - Purchase | $3.23 | +12,902 | 196,398 | +7% | +$41,733 | ||||||
2019-04-08 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $3.95 | +1,000 | 6,599,825 | 0% | +$3,950 | ||||||
| A | 2019-03-12 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.05 | +3,150 | 4,960,730 | 0% | +$12,748 | |||||
2019-04-05 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $2.93 | +15,000 | 1,487,541 | +1% | +$43,988 | ||||||
2019-04-05 | LTS | Ladenburg Thalmann Financial Services Inc. | Davis Glenn C | Dir | P - Purchase | $2.93 | +5,000 | 39,000 | +15% | +$14,642 | ||||||
2019-04-05 | LTS | Ladenburg Thalmann Financial Services Inc. | Liebowitz Michael | Dir | P - Purchase | $2.92 | +10,000 | 183,496 | +6% | +$29,200 | ||||||
2019-03-28 | SIEB | Siebert Financial Corp | Kennedy Cabot Acquisition, LLC | Member of 10% owner group, 10% | S - Sale | $1.90 | -50,000 | 3,627,283 | -1% | -$95,000 | ||||||
2019-03-28 | SIEB | Siebert Financial Corp | Gebbia Gloria E | MEMBER OF 10% OWNER GROUP, 10% | S - Sale | $1.90 | -50,000 | 17,195,377 | 0% | -$95,000 | ||||||
2019-04-01 | RVA | Reva Medical, Inc. | Goldman Sachs Group Inc | 10% | S - Sale | $0.00 | -2,444,695 | 1,930,305 | -56% | -$0 | ||||||
| M | 2019-03-28 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $3.89 | +54,169 | 6,599,185 | +1% | +$210,583 | |||||
| M | 2019-03-25 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $3.99 | +31,469 | 6,545,016 | 0% | +$125,554 | |||||
2019-03-22 | WDR | Waddell & Reed Financial Inc | Logue Dennis E | Dir | S - Sale | $16.72 | -5,000 | 69,452 | -7% | -$83,600 | ||||||
| M | 2019-03-20 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.01 | +25,475 | 6,513,547 | 0% | +$102,226 | |||||
| A | 2017-12-27 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $0.00 | +0 | 4,918,477 | 0% | +$0 | |||||
| D | 2019-03-19 | SEIC | Sei Investments Co | Klauder Paul | EVP | S - Sale+OE | $52.89 | -7,500 | 44,682 | -14% | -$396,675 | |||||
| D | 2019-03-14 | SEIC | Sei Investments Co | Heilig Kathy | VP | S - Sale+OE | $51.50 | -16,000 | 19,782 | -45% | -$824,000 | |||||
| M | 2019-03-15 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $3.88 | +71,213 | 6,497,272 | +1% | +$276,004 | |||||
| M | 2019-03-08 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.01 | +13,034 | 6,426,059 | 0% | +$52,251 | |||||
2019-03-01 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $53.03 | -116,412 | 9,811,713 | -1% | -$6,173,328 | ||||||
2019-03-05 | BNFT | Benefitfocus,inc. | Goldman Sachs Group Inc | 10% | S - Sale | $46.80 | -3,254,735 | 567,871 | -85% | -$152,329,735 | ||||||
2019-03-06 | SCHW | Schwab Charles Corp | Craig Jonathan M. | Senior EVP | S - Sale | $45.93 | -12,604 | 0 | -100% | -$578,936 | ||||||
2019-03-06 | SCHW | Schwab Charles Corp | Kallsen Terri R | EVP - Investor Services | S - Sale | $45.93 | -16,346 | 1,249 | -93% | -$750,804 | ||||||
| M | 2019-03-05 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.03 | +45,738 | 7,725,968 | +1% | +$184,319 | |||||
2017-12-27 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $5.50 | +9,200 | 6,367,287 | 0% | +$50,554 | ||||||
| D | 2019-03-05 | SCHW | Schwab Charles Corp | Chandoha Marie A | CEO - CSIM | S - Sale+OE | $45.48 | -45,046 | 17,777 | -72% | -$2,048,679 |
| 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 |