Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

EDI FINANCIAL, INC.
15699
HAMMOND, RICHARD
2753264
EDI FINANCIAL, INC.
15699
RICHARD H. HAMMOND
2753264
EDI FINANCIAL, INC.
15699
RICHARD HAMMOND
2753264
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2016-11-30
D/A
$27,000,000.00
Yes
$0.00
No
ESTIMATE ASSUMES ALL SECURITIES SOLD IN OFFERING. ACTUAL FEES WILL BE BASED ON SECURITIES ACTUALLY SOLD. ACTUAL FEES PAID TO DATE - $5,188,234.64.
2015-12-16
D/A
$27,000,000.00
Yes
$0.00
No
ESTIMATE ASSUMES ALL SECURITIES SOLD IN OFFERING. ACTUAL FEES WILL BE BASED ON SECURITIES ACTUALLY SOLD. ACTUAL FEES PAID TO DATE - $722,166.
2012-05-30
D/A
$432,677.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2012-04-10
D/A
$432,677.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2012-03-23
D/A
$432,677.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2012-03-07
D/A
$432,677.00
Yes
$0.00
No
THIS RESPONSE IS BASED ON THE ASSUMPTION THAT THE FULL AMOUNT OF THE POTENTIAL SALES COMMISSIONS WILL BE EARNED AND PAID.
2010-04-19
D/A
$440,000.00
Yes
$0.00
No