Profile
Broker Dealer
Broker CRD #
Recipient Name
Recipient CRD #
CREDIT SUISSE SECURITIES (USA) LLC
816
SANFORD MICHAEL KATZ
1558898
Companies
Company Name
People
Name
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
D/A
$36,700,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$35,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$32,500,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$30,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$27,500,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$25,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$12,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$22,500,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$32,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$21,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$28,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$19,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$24,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$2,200,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$16,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS. CREDIT SUISSE SECURITIES (USA) LLC IS THE FORMER FIRM OF THE INDIVIDUALS LISTED IN ITEM 12.
D/A
$22,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$2,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$14,500,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$1,800,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$13,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$20,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$1,800,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$13,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$20,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$10,000,000.00
Yes
$0.00
No
THE ESTIMATE OF FEES INCLUDES PROJECTED FEES PAYABLE OVER THE NEXT 12 MONTHS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
D/A
$0.00
Yes
$0.00
No
CGM MAY PAY A PORTION OF ITS COMMODITY BROKERAGE FEES TO ITS QUALIFIED REGISTERED REPRESENTATIVES OR THOSE OF OTHER QUALIFIED FIRMS, INCLUDING MSSB AND CS, WHO PROVIDE ONGOING SERVICES TO INVESTORS.
