Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

RIDGEWOOD SECURITIES CORPORATION
15453
ROBERT SWANSON
1332429
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2010-02-11
D/A
$4,500,000.00
Yes
$0.00
No
ASSUMING TOTAL OFFERING AMOUNT IS SOLD.
2009-04-06
D/A
$16,000.00
No
$0.00
No
ADDITIONAL SALES COMMISSION TO BE PAID UPON FUTURE SALES