Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

NONE
NONE
FOREFRONT CAPITAL MARKETS LLC
151812
FOREFRONT CAPITAL MARKETS LLC
151812
CHRISTOPHER E. ENGEL
1495822
FOREFRONT CAPITAL MARKETS, LLC
151812
FOREFRONT CAPITAL MARKETS, LLC
151812
NONE
NONE
FOREFRONT CAPITAL MARKET, LLC
151812
NONE
NONE
FOREFRONT CAPITAL MARKETS, LLC
151812
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2015-03-18
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ABOVE RECEIVE SALES COMPENSATION EQUAL TO A PERCENTAGE OF CERTAIN AMOUNTS PAID TO THE GENERAL PARTNER AND ITS AFFILIATE IN CONNECTION WITH THE MANAGEMENT OF THE ISSUER.
2015-03-18
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ABOVE RECEIVE SALES COMPENSATION EQUAL TO A PERCENTAGE OF CERTAIN AMOUNTS PAID TO THE GENERAL PARTNER AND ITS AFFILIATE IN CONNECTION WITH THE MANAGEMENT OF THE ISSUER.
2015-03-18
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ABOVE RECEIVE SALES COMPENSATION EQUAL TO A PERCENTAGE OF CERTAIN AMOUNTS PAID TO THE GENERAL PARTNER AND ITS AFFILIATE IN CONNECTION WITH THE MANAGEMENT OF THE ISSUER.
2015-03-18
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ABOVE RECEIVE SALES COMPENSATION EQUAL TO A PERCENTAGE OF CERTAIN AMOUNTS PAID TO THE GENERAL PARTNER AND ITS AFFILIATE IN CONNECTION WITH THE MANAGEMENT OF THE ISSUER.
2015-03-18
D/A
$0.00
No
$0.00
No
THE RECIPIENTS LISTED IN ITEM 12 ABOVE RECEIVE SALES COMPENSATION EQUAL TO A PERCENTAGE OF CERTAIN AMOUNTS PAID TO THE GENERAL PARTNER AND ITS AFFILIATE IN CONNECTION WITH THE MANAGEMENT OF THE ISSUER.
2015-01-22
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ABOVE RECEIVE SALES COMPENSATION EQUAL TO A PERCENTAGE OF CERTAIN AMOUNTS PAID TO THE INVESTMENT MANAGER AND ITS AFFILIATE IN CONNECTION WITH THE MANAGEMENT OF THE ISSUER.
2014-12-23
D
$440,000.00
Yes
$0.00
No
$200,000 CASH + 400,000 COMMON SHARES ON CLOSING, + CASH EQUAL TO 7% OF SUBSEQUENT DRAWDOWN, 400,000 COMMON SHARE WARRANTS CONVERTIBLE AT CONVERSION PRICE ON APRIL 1, + 400,000 COMMON SHARE WARRANTS IF DEBENTURE IS INCREASED TO $15,000,000.
2014-11-24
D/A
$0.00
Yes
$0.00
Yes
THE PLACEMENT AGENT WILL RECEIVE TWENTY PERCENT (20%) OF ALL MANAGEMENT FEES RECEIVED BY THE INVESTMENT MANAGER AND TWENTY PERCENT (20%) OF ALL PERFORMANCE FEES RECEIVED BY THE GENERAL PARTNER.
2014-05-29
D
$32,724.00
No
$0.00
No
3% PLACEMENT FEE
2014-03-18
D/A
$0.00
No
$0.00
No
THE RECIPIENTS LISTED IN ITEM 12 ABOVE RECEIVE SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE AMOUNTS PAID TO THE GENERAL PARTNER AND ITS AFFILIATE IN CONNECTION WITH THE MANAGEMENT OF THE ISSUER.
2014-03-18
D/A
$0.00
No
$0.00
No
THE RECIPIENTS LISTED IN ITEM 12 ABOVE RECEIVE SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE AMOUNTS PAID TO THE GENERAL PARTNER AND ITS AFFILIATE IN CONNECTION WITH THE MANAGEMENT OF THE ISSUER.
2014-03-18
D/A
$0.00
No
$0.00
No
THE RECIPIENTS LISTED IN ITEM 12 ABOVE RECEIVE SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE AMOUNTS PAID TO THE GENERAL PARTNER AND ITS AFFILIATE IN CONNECTION WITH THE MANAGEMENT OF THE ISSUER.
2014-03-18
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ABOVE RECEIVE SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE AMOUNTS PAID TO THE GENERAL PARTNER AND ITS AFFILIATE IN CONNECTION WITH THE MANAGEMENT OF THE ISSUER.
2014-03-18
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ABOVE RECEIVE SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE AMOUNTS PAID TO THE GENERAL PARTNER AND ITS AFFILIATE IN CONNECTION WITH THE MANAGEMENT OF THE ISSUER.
2014-01-23
D/A
$0.00
No
$0.00
No
THE RECIPIENTS LISTED IN ITEM 12 ABOVE RECEIVE SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE AMOUNTS PAID TO THE GENERAL PARTNER AND ITS AFFILIATE IN CONNECTION WITH THE MANAGEMENT OF THE ISSUER.
2013-03-18
D/A
$0.00
No
$0.00
No
THE RECIPIENTS LISTED IN ITEM 12 ABOVE RECEIVE SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE AMOUNTS PAID TO THE GENERAL PARTNER AND ITS AFFILIATE IN CONNECTION WITH THE MANAGEMENT OF THE ISSUER.
2013-03-18
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ABOVE RECEIVE SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE AMOUNTS PAID TO THE GENERAL PARTNER AND ITS AFFILIATE IN CONNECTION WITH THE MANAGEMENT OF THE ISSUER.
2013-03-18
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ABOVE RECEIVE SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE AMOUNTS PAID TO THE GENERAL PARTNER AND ITS AFFILIATE IN CONNECTION WITH THE MANAGEMENT OF THE ISSUER.
2013-03-18
D/A
$0.00
Yes
$0.00
Yes
THE RECIPIENTS LISTED IN ITEM 12 ABOVE RECEIVE SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE AMOUNTS PAID TO THE GENERAL PARTNER AND ITS AFFILIATE IN CONNECTION WITH THE MANAGEMENT OF THE ISSUER.
2013-03-18
D/A
$0.00
No
$0.00
No
THE RECIPIENTS LISTED IN ITEM 12 ABOVE RECEIVE SALES COMPENSATION EQUAL TO A PERCENTAGE OF THE AMOUNTS PAID TO THE GENERAL PARTNER AND ITS AFFILIATE IN CONNECTION WITH THE MANAGEMENT OF THE ISSUER.
2012-10-29
D
$130,000.00
No
$0.00
No