Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

SANDERS MORRIS HARRIS INC.
20580
DALE RUBIN
1304312
CAPITAL ANALYSTS, INCORPORATED
5478
DALE RUBIN
1304312
CAPITAL ANALYSTS INCORPORATED
5478
DALE RUBIN
1304312
LINCOLN INVESTMENT
519
DALE RUBIN
1304312
LINCOLN INVESTMENT
519
DALE RUBIN
1304312
MCDERMOTT INVESTMENT SERVICES, LLC
154926
CORBIN S. THOMAS
1304312
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2017-10-30
D/A
$492,828.00
Yes
$0.00
No
2017-08-11
D/A
$6,004,844.00
Yes
$0.00
No
2017-06-09
D/A
$492,828.00
Yes
$0.00
No
2017-05-24
D/A
$492,828.00
Yes
$0.00
No
2017-05-10
D/A
$492,828.00
Yes
$0.00
No
2017-04-27
D/A
$492,828.00
Yes
$0.00
No
2017-04-05
D/A
$492,828.00
Yes
$0.00
No
2017-03-27
D/A
$492,828.00
Yes
$0.00
No
2017-02-24
D/A
$492,828.00
Yes
$0.00
No
2017-02-10
D/A
$492,828.00
Yes
$0.00
No
2017-01-18
D/A
$6,004,844.00
Yes
$0.00
No
2016-12-29
D/A
$492,828.00
Yes
$0.00
No
2016-12-28
D/A
$6,004,844.00
Yes
$0.00
No
2011-02-15
D
$3,250,000.00
Yes
$0.00
No
SELLING COMMISSIONS IN AN AMOUNT NOT TO EXCEED 6.5% OF THE GROSS PROCEEDS FROM THE SALE OF UNITS WILL BE PAID TO BROKER/DEALERS
2011-02-15
D
$3,250,000.00
Yes
$0.00
No
SELLING COMMISSIONS IN AN AMOUNT NOT TO EXCEED 6.5% OF THE GROSS PROCEEDS FROM THE SALE OF UNITS WILL BE PAID TO BROKER/DEALERS
2011-01-11
D/A
$867,300.00
No
$0.00
No
2010-11-02
D/A
$867,300.00
No
$0.00
No
2010-10-15
D/A
$867,300.00
No
$0.00
No
2010-03-03
D/A
$3,250,000.00
Yes
$0.00
No
BASED ON MAXIMUM OFFERING AMOUNT