Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

STEPHEN A. KOHN + ASSOCIATES, LTD
41067
CRAIG W. HUBLER
1194371
STEPHEN A. KOHN + ASSOCIATES, LTD
41067
CRAIG W. HUBLER
1194371
STEPHEN A. KOHN + ASSOCIATES, LTD.
141067
CRAIG W. HUBLER
1194371
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2014-01-08
D/A
$714,927.00
Yes
$0.00
No
COMMISSIONS FROM SALES OF SECURITIES ARE REFLECTED ABOVE. ADD. FEES WERE PAID TO ONE OR MORE PERSONS IDENTIFIED IN ITEM 12 FOR DUE DILIGENCE FEES, MANAGING BD FEES AND WHOLESALE FEES OF APPROX. $504,133
2013-08-26
D/A
$5,500,000.00
Yes
$0.00
No
2013-07-02
D/A
$5,500,000.00
Yes
$0.00
No
2013-04-04
D/A
$5,500,000.00
Yes
$0.00
No
2013-01-28
D/A
$2,625,000.00
Yes
$0.00
No
2012-12-07
D/A
$5,500,000.00
Yes
$0.00
No
2012-10-23
D/A
$5,500,000.00
Yes
$0.00
No
2012-09-07
D/A
$5,500,000.00
Yes
$0.00
No
2012-05-21
D/A
$5,500,000.00
Yes
$0.00
No
2012-04-26
D/A
$1,100,000.00
Yes
$0.00
No
2012-03-12
D/A
$1,100,000.00
Yes
$0.00
No
2012-01-27
D/A
$2,625,000.00
Yes
$0.00
No
2012-01-25
D/A
$2,625,000.00
Yes
$0.00
No
2012-01-04
D/A
$2,625,000.00
Yes
$0.00
No
2011-10-07
D/A
$2,625,000.00
Yes
$0.00
No
2011-06-08
D/A
$2,625,000.00
Yes
$0.00
No
2011-05-17
D/A
$2,625,000.00
Yes
$0.00
No
2011-05-03
D/A
$2,625,000.00
Yes
$0.00
No
2011-04-12
D/A
$2,625,000.00
Yes
$0.00
No
2011-03-23
D/A
$2,625,000.00
Yes
$0.00
No
2011-01-21
D/A
$2,625,000.00
Yes
$0.00
No
2010-11-17
D/A
$2,625,000.00
Yes
$0.00
No
2010-09-28
D/A
$2,625,000.00
Yes
$0.00
No
2010-09-03
D/A
$2,625,000.00
Yes
$0.00
No
2010-08-24
D/A
$2,625,000.00
Yes
$0.00
No
2010-07-01
D/A
$2,625,000.00
Yes
$0.00
No
2010-06-18
D/A
$2,625,000.00
Yes
$0.00
No
2010-06-14
D/A
$2,625,000.00
Yes
$0.00
No
2010-06-03
D/A
$2,625,000.00
Yes
$0.00
No
2010-05-19
D/A
$2,625,000.00
Yes
$0.00
No
2010-04-28
D/A
$2,625,000.00
Yes
$0.00
No