Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CHAFFE SECURITIES, INC.
152172
CHAFFE SECURITIES, INC.
152172
CHAFFE SECURITIES
152172
CHAFFE SECURITIES
152172
CHAFFE SECURITIES, INC.
152172
CHAFFE SECURITIES, INC.
152172
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2016-10-06
D
$173,750.00
No
$0.00
No
TOTAL SALES COMMISSIONS INCLUDES BOTH CASH AND A 1/2% COMPANY MEMBERSHIP INTEREST TO CHAFFE SECURITIES, INC.
2013-11-26
D
$0.00
No
$30,000.00
No
2013-09-27
D
$225,000.00
Yes
$0.00
No
THE COMPANY HAS ENGAGED CHAFFE SECURITIES TO ACT AS A PLACEMENT AGENT ON A "BEST EFFORTS" BASIS AND WILL PAY A FEE TO CHAFFE EQUAL TO 1%-5% OF THE GROSS PROCEEDS RECEIVED AND ACCEPTED BY THE COMPANY IN THE OFFERING FROM INVESTORS IDENTIFIED BY CHAFFE.