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 |
Share Price |
Shares Traded |
Shares Owned |
Own chg |
Value Traded |
1d ret |
1w ret |
1m ret |
6m ret |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
2018-07-18 | BLK | Blackrock Inc. | Fink Laurence | COB, CEO | S - Sale | $507.67 | -19,800 | 1,086,329 | -2% | -$10,051,885 | ||||||
| D | 2018-07-18 | GS | Goldman Sachs Group Inc | Solomon David M | Pres, COO | S - Sale+OE | $232.08 | -8,382 | 222,625 | -4% | -$1,945,314 | |||||
2018-07-18 | BLK | Blackrock Inc. | Ford William E | Dir | P - Purchase | $507.98 | +1,000 | 4,400 | +29% | +$507,983 | ||||||
2018-07-02 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.40 | +5,000 | 2,417,592 | 0% | +$17,009 | ||||||
2018-06-29 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.43 | +5,000 | 2,412,592 | 0% | +$17,145 | ||||||
2018-06-28 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.50 | +10,000 | 2,407,592 | 0% | +$35,017 | ||||||
2018-06-27 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.57 | +5,000 | 2,397,592 | 0% | +$17,848 | ||||||
2018-06-27 | LTS | Ladenburg Thalmann Financial Services Inc. | Zeitchick Mark | EVP | P - Purchase | $3.47 | +5,000 | 3,564,981 | 0% | +$17,348 | ||||||
2018-06-27 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $3.44 | +5,000 | 1,199,364 | 0% | +$17,222 | ||||||
2018-06-25 | EACQ | Easterly Acquisition Corp. | Jefferies LLC | 10% | S - Sale | $10.30 | -500,000 | 2,000,000 | -20% | -$5,150,000 | ||||||
2018-06-25 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.57 | +5,000 | 2,392,592 | 0% | +$17,838 | ||||||
| E | 2018-06-20 | CPFH | Capital Financial Holdings, Inc | Dihle Gordon D. | CEO, 10% | P - Purchase | $500.00 | +2 | 51 | +4% | +$1,000 | |||||
2018-06-19 | GFF | Griffon Corp | Goldman Sachs Group Inc | 10% | S - Sale | $17.05 | -5,583,375 | 649,296 | -90% | -$95,224,461 | ||||||
| M | 2018-06-19 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.09 | -6,090 | 689,505 | -1% | -$91,903 | |||||
2018-06-14 | AMTD | Td Ameritrade Holding Corp | Moglia Joseph H | Dir | S - Sale | $60.00 | -10,000 | 125,000 | -7% | -$600,000 | ||||||
2018-06-18 | GBL | Gamco Investors, Inc. Et Al | Caterina Kieran | Co-Chief Accounting Officer | S - Sale | $25.24 | -663 | 6,000 | -10% | -$16,736 | ||||||
| DM | 2018-06-14 | VIRT | Virtu Financial, Inc. | Cifu Douglas A | CEO | S - Sale+OE | $29.91 | -117,043 | 150,000 | -44% | -$3,500,971 | |||||
| D | 2018-06-13 | VIRT | Virtu Financial, Inc. | Molluso Joseph | EVP, CFO | S - Sale+OE | $30.18 | -88,304 | 0 | -100% | -$2,665,280 | |||||
2018-06-13 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $5.05 | +16,500 | 6,011,014 | 0% | +$83,325 | ||||||
| D | 2018-06-15 | SCHW | Schwab Charles Corp | Craig Jonathan M. | Senior EVP | S - Sale+OE | $56.03 | -2,629 | 0 | -100% | -$147,297 | |||||
| M | 2018-06-13 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.23 | -5,000 | 695,595 | -1% | -$76,151 | |||||
| D | 2018-06-12 | SEIC | Sei Investments Co | Ujobai Joseph P | Exec OFFICER | S - Sale+OE | $66.52 | -20,000 | 45,080 | -31% | -$1,330,400 | |||||
| D | 2018-06-13 | VIRT | Virtu Financial, Inc. | Cifu Douglas A | CEO | S - Sale+OE | $30.17 | -82,521 | 242,116 | -25% | -$2,489,295 | |||||
2018-06-12 | WDR | Waddell & Reed Financial Inc | Raines James M | Dir | S - Sale | $19.93 | -2,640 | 24,826 | -10% | -$52,626 | ||||||
| D | 2018-06-12 | VIRT | Virtu Financial, Inc. | Cifu Douglas A | CEO | S - Sale+OE | $29.92 | -99,218 | 242,116 | -29% | -$2,968,424 | |||||
| M | 2018-06-08 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.18 | -4,000 | 700,595 | -1% | -$60,706 | |||||
| D | 2018-06-11 | VIRT | Virtu Financial, Inc. | Cifu Douglas A | CEO | S - Sale+OE | $30.33 | -93,334 | 242,116 | -28% | -$2,830,707 | |||||
2018-06-06 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $5.05 | +5,425 | 5,994,514 | 0% | +$27,396 | ||||||
2018-06-01 | SCHW | Schwab Charles Corp | Goldfarb Mark A | Dir | S - Sale | $56.67 | -2,174 | 21,190 | -9% | -$123,209 | ||||||
| M | 2018-05-29 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.04 | -2,000 | 704,595 | 0% | -$30,075 | |||||
2018-05-30 | SCHW | Schwab Charles Corp | Chandoha Marie A | Pres - CSIM | S - Sale | $56.00 | -10,000 | 4,606 | -68% | -$560,026 | ||||||
| D | 2018-05-30 | RJF | Raymond James Financial Inc | Santelli Jonathan N | EVP, GC, Secy | S - Sale+OE | $96.99 | -2,270 | 20 | -99% | -$220,170 | |||||
2018-05-24 | BNFT | Benefitfocus,inc. | Goldman Sachs Group Inc | 10% | S - Sale | $33.03 | -2,500,000 | 3,774,735 | -40% | -$82,575,000 | ||||||
| M | 2018-05-23 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.16 | -8,372 | 706,595 | -1% | -$126,892 | |||||
2018-05-22 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $59.85 | -174,750 | 134,691,222 | 0% | -$10,458,386 | ||||||
| D | 2018-05-22 | SCHW | Schwab Charles Corp | Bettinger Walter W | Pres, CEO | S - Sale+OE | $59.71 | -251,300 | 251,643 | -50% | -$15,006,153 | |||||
| D | 2018-05-22 | SCHW | Schwab Charles Corp | Clark Bernard J. | EVP - Advisor Services | S - Sale+OE | $59.82 | -29,678 | 56,916 | -34% | -$1,775,196 | |||||
2018-05-18 | MKTX | Marketaxess Holdings Inc | Gomach David G | Dir | S - Sale | $204.90 | -7,553 | 18,760 | -29% | -$1,547,622 | ||||||
| M | 2018-05-21 | SIEB | Siebert Financial Corp | Cuttita Francis V | Dir | S - Sale | $9.30 | -4,000 | 156,000 | -3% | -$37,209 | |||||
2018-05-21 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $59.45 | -210,750 | 135,498,812 | 0% | -$12,529,003 | ||||||
| D | 2018-05-21 | SCHW | Schwab Charles Corp | Bettinger Walter W | Pres, CEO | S - Sale+OE | $59.72 | -113,832 | 251,643 | -31% | -$6,798,229 | |||||
| D | 2018-05-21 | SCHW | Schwab Charles Corp | Craig Jonathan M. | Senior EVP | S - Sale+OE | $60.00 | -10,000 | 0 | -100% | -$600,001 | |||||
| M | 2018-05-17 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.78 | -9,908 | 714,967 | -1% | -$156,375 | |||||
2018-05-21 | BLK | Blackrock Inc. | Smith Jeff A | Senior MD | S - Sale | $546.13 | -166 | 10,119 | -2% | -$90,657 | ||||||
2018-05-16 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $59.13 | -101,970 | 135,709,562 | 0% | -$6,029,313 | ||||||
| D | 2018-05-15 | VIRT | Virtu Financial, Inc. | Tjmt Holdings LLC | See Remarks, 10% | S - Sale+OE | $27.16 | -3,281,250 | 69,099,837 | -5% | -$89,118,750 | |||||
| M | 2018-05-14 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $5.05 | +34,906 | 5,989,089 | +1% | +$176,174 | |||||
| M | 2018-05-14 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.70 | -19,500 | 724,875 | -3% | -$306,163 | |||||
| DM | 2018-05-14 | GS | Goldman Sachs Group Inc | Solomon David M | Pres, COO | S - Sale+OE | $244.40 | -3,497 | 222,625 | -2% | -$854,665 | |||||
| DM | 2018-05-11 | LTS | Ladenburg Thalmann Financial Services Inc. | Gilinski Saul | Dir | S - Sale+OE | $3.78 | -42,000 | 1,582,007 | -3% | -$158,929 | |||||
2018-05-15 | VIRT | Virtu Financial, Inc. | Temasek Holdings (Private) Ltd | 10% | S - Sale | $27.16 | -3,450,000 | 16,880,503 | -17% | -$93,702,000 | ||||||
| M | 2018-05-09 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.64 | -19,500 | 744,375 | -3% | -$305,018 | |||||
| M | 2018-05-10 | GHL | Greenhill & Co Inc | Wyles David | Pres | S - Sale | $25.62 | -29,242 | 0 | -100% | -$749,042 | |||||
| M | 2018-05-09 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.13 | +5,235 | 990,861 | +1% | +$53,023 | |||||
| M | 2018-05-08 | MKTX | Marketaxess Holdings Inc | McVey Richard M | COB, CEO | S - Sale | $203.22 | -35,000 | 1,045,702 | -3% | -$7,112,740 | |||||
2018-05-09 | BLK | Blackrock Inc. | Ford William E | Dir | P - Purchase | $530.95 | +1,000 | 3,360 | +42% | +$530,949 | ||||||
2018-05-08 | SF | Stifel Financial Corp | Grady Robert Edward | Dir | S - Sale | $60.15 | -5,000 | 5,828 | -46% | -$300,750 | ||||||
2018-05-09 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $57.99 | -300,000 | 135,948,532 | 0% | -$17,397,150 | ||||||
2018-05-08 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $57.23 | -250,000 | 136,248,532 | 0% | -$14,307,050 | ||||||
| M | 2018-05-04 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.23 | +12,143 | 985,626 | +1% | +$124,239 | |||||
| M | 2018-05-04 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.53 | -19,500 | 763,875 | -2% | -$302,929 | |||||
| M | 2018-05-04 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $56.65 | -450,000 | 136,519,197 | 0% | -$25,491,960 | |||||
2018-05-04 | WDR | Waddell & Reed Financial Inc | Raines James M | Dir | S - Sale | $18.38 | -964 | 27,466 | -3% | -$17,714 | ||||||
| D | 2018-05-07 | SCHW | Schwab Charles Corp | Garfield David R | EVP, GC | S - Sale+OE | $57.01 | -37,330 | 18,096 | -67% | -$2,128,068 | |||||
| M | 2018-05-01 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.21 | +5,515 | 973,483 | +1% | +$56,321 | |||||
| M | 2018-05-01 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.29 | -14,500 | 783,375 | -2% | -$221,688 | |||||
| D | 2018-05-01 | SCHW | Schwab Charles Corp | Chandoha Marie A | Pres - CSIM | S - Sale+OE | $55.24 | -36,798 | 14,606 | -72% | -$2,032,710 | |||||
| D | 2018-04-30 | SCHW | Schwab Charles Corp | Chandoha Marie A | Pres - CSIM | S - Sale+OE | $56.29 | -100 | 14,606 | -1% | -$5,629 | |||||
| D | 2018-04-27 | SCHW | Schwab Charles Corp | Murtagh Nigel J | EVP - Corporate Risk | S - Sale+OE | $55.97 | -13,000 | 32,630 | -28% | -$727,580 | |||||
| M | 2018-04-26 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.31 | +971 | 967,968 | 0% | +$10,007 | |||||
| M | 2018-04-26 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.89 | -19,000 | 797,875 | -2% | -$301,951 | |||||
2018-04-25 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $55.23 | -165,000 | 137,258,867 | 0% | -$9,113,396 | ||||||
2018-04-25 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $54.60 | -200,000 | 137,223,867 | 0% | -$10,919,440 | ||||||
| M | 2018-04-23 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.29 | +6,901 | 966,997 | +1% | +$71,015 | |||||
| M | 2018-04-23 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.20 | -16,502 | 816,875 | -2% | -$250,817 | |||||
2018-04-24 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $55.02 | -262,000 | 137,423,867 | 0% | -$14,414,888 | ||||||
| D | 2018-04-24 | SCHW | Schwab Charles Corp | Kallsen Terri R | EVP - Investor Services | S - Sale+OE | $55.89 | -36,285 | 2,476 | -94% | -$2,027,871 | |||||
2018-04-24 | BLK | Blackrock Inc. | Smith Jeff A | Senior MD | S - Sale | $515.84 | -500 | 10,285 | -5% | -$257,922 | ||||||
| D | 2018-04-20 | SCHW | Schwab Charles Corp | Martinetto Joseph R | Senior EVP, COO | S - Sale+OE | $54.80 | -280,685 | 172,952 | -62% | -$15,381,426 | |||||
| M | 2018-04-19 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.30 | +4,800 | 960,096 | +1% | +$49,440 | |||||
| D | 2018-04-20 | SCHW | Schwab Charles Corp | Chandoha Marie A | Pres - CSIM | S - Sale+OE | $54.79 | -31,386 | 14,606 | -68% | -$1,719,777 | |||||
2018-04-23 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $54.99 | -250,000 | 137,685,867 | 0% | -$13,747,475 | ||||||
| M | 2018-04-18 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.08 | -24,000 | 833,377 | -3% | -$361,986 | |||||
| M | 2018-04-16 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.47 | +7,200 | 955,296 | +1% | +$75,365 | |||||
2018-04-18 | BLK | Blackrock Inc. | Comerchero Marc D. | Principal Accounting Officer | S - Sale | $524.84 | -400 | 2,714 | -13% | -$209,935 | ||||||
| M | 2018-04-13 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $14.81 | -16,500 | 857,377 | -2% | -$244,447 | |||||
| D | 2018-04-16 | SCHW | Schwab Charles Corp | Craig Jonathan M. | Senior EVP | S - Sale+OE | $52.11 | -2,629 | 0 | -100% | -$136,984 | |||||
2018-04-13 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.30 | +5,000 | 2,387,592 | 0% | +$16,511 | ||||||
2018-04-13 | LTS | Ladenburg Thalmann Financial Services Inc. | Zeitchick Mark | EVP | P - Purchase | $3.30 | +5,000 | 3,559,981 | 0% | +$16,483 | ||||||
2018-04-13 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $3.28 | +5,000 | 1,194,364 | 0% | +$16,400 | ||||||
| M | 2018-04-11 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.45 | +7,446 | 948,096 | +1% | +$77,778 | |||||
2018-04-12 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.20 | +5,000 | 2,382,592 | 0% | +$15,982 | ||||||
| M | 2018-04-10 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $14.53 | -12,000 | 873,877 | -1% | -$174,303 | |||||
| M | 2018-04-06 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.31 | +7,019 | 940,650 | +1% | +$72,349 | |||||
| M | 2018-04-05 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $14.20 | -4,000 | 885,877 | 0% | -$56,785 | |||||
2018-04-06 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.10 | +5,000 | 2,377,592 | 0% | +$15,500 | ||||||
| M | 2018-04-03 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.25 | +6,220 | 933,631 | +1% | +$63,764 | |||||
2018-04-02 | LTS | Ladenburg Thalmann Financial Services Inc. | Krasno Richard M | Dir | P - Purchase | $3.10 | +5,000 | 353,089 | +1% | +$15,513 | ||||||
2018-04-02 | LTS | Ladenburg Thalmann Financial Services Inc. | Zeitchick Mark | EVP | P - Purchase | $3.12 | +5,000 | 3,554,981 | 0% | +$15,600 | ||||||
2018-04-02 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.09 | +5,000 | 2,372,592 | 0% | +$15,473 |
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 |