Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
CREDIT SUISSE SECURITIES (USA) LLC ("CS")
816
RICHARD ZINMAN
1212093
CREDIT SUISSE SECURITIES (USA) LLC ("CS")
816
RICHARD S. ZINMAN
1212093
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$7,500,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$6,300,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$4,300,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$4,400,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$3,300,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$3,900,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$2,300,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$3,400,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$2,300,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$2,100,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$3,400,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$1,300,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
