Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CIM SECURITIES, LLC (BROOKLINE CAPITAL MARKETS)
120852
SCOTT A. KATZMANN
1087840
BROOKLINE CAPITAL MARKETS, A DIVISION OF ARCADIA SECURITIES, LLC
44656
SCOTT A. KATZMANN
1087840
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2020-02-27
D
$833,776.00
Yes
$0.00
No
2019-02-27
D
$50,000.00
No
$0.00
No
IN ADDITION TO $50,000, BROOKLINE CAPITAL MARKETS OR ITS DESIGNEES WILL BE GIVEN WARRANTS TO PURCHASE COMMON STOCK.