Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

DUNCAN WILLIAMS
6950
NED LAUGHLIN, III
4365578
DUNCAN-WILLIAMS, INC.
6950
A.E. LAUGHLIN, III
4365578
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2013-02-08
D/A
$1,000.00
Yes
$1,000.00
Yes
2012-02-09
D/A
$1,000.00
Yes
$1,000.00
Yes
2011-10-11
D/A
$900,000.00
Yes
$0.00
No
PLACEMENT AGENT WILL RECEIVE A 9% COMMISSION FOR INTERESTS SOLD IN THIS OFFERING. PLACEMENT AGENT MAY RECEIVE $900,000 IF THE $10M MAXIMUM IS SOLD BUT MAY RECEIVE LESS IF LESS INTERESTS ARE SOLD. PLACEMENT AGENT WILL PAY OTHER DEALERS FROM ITS COMMISSION.
2011-02-09
D/A
$1,000.00
Yes
$1,000.00
Yes
2010-12-29
D/A
$900,000.00
Yes
$0.00
No
PLACEMENT AGENT WILL RECEIVE A 9% COMMISSION FOR INTERESTS SOLD IN THIS OFFERING. PLACEMENT AGENT MAY RECEIVE $900,000 IF THE $10M MAXIMUM IS SOLD BUT MAY RECEIVE LESS IF LESS INTERESTS ARE SOLD. PLACEMENT AGENT WILL PAY OTHER DEALERS FROM ITS COMMISSION.
2010-02-10
D
$1,000.00
Yes
$1,000.00
Yes