Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

PACIFIC WEST SECURITIES, INC.
6390
JAMES F. CRAWFORD, JR.
1327638
PACIFIC WEST SECURITIES, INC.
6390
JAMES F. CRAWFORD JR
1327638
PACIFIC WEST SECURITIES INC.
6390
JAMES CRAWFORD JR.
1327638
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
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
2011-06-06
D/A
$3,250,000.00
Yes
$0.00
No
SELLING COMMISSIONS IN AN AMOUNT NOT TO EXCEED 6.50% OF THE GROSS PROCEEDS FROM THE SALE OF UNITS WILL BE PAID TO BROKER/DEALERS
2011-06-06
D/A
$3,250,000.00
Yes
$0.00
No
SELLING COMMISSIONS IN AN AMOUNT NOT TO EXCEED 6.50% OF THE GROSS PROCEEDS FROM THE SALE OF UNITS WILL BE PAID TO BROKER/DEALERS
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
2011-01-10
D/A
$3,250,000.00
Yes
$0.00
No
SELLING COMMISSIONS IN AN AMOUNT NOT TO EXCEED 6.50% OF THE GROSS PROCEEDS FROM THE SALE OF UNITS WILL BE PAID TO BROKER/DEALERS
2011-01-10
D/A
$3,250,000.00
Yes
$0.00
No
SELLING COMMISSIONS IN AN AMOUNT NOT TO EXCEED 6.50% OF THE GROSS PROCEEDS FROM THE SALE OF UNITS WILL BE PAID TO BROKER/DEALERS
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
2009-05-07
D/A
$2,250,000.00
No
$0.00
No