Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

PACIFIC WEST SECURITIES, INC
6390
NEAL M. WOODWARD
5461015
PACIFIC WEST SECURITIES INC.
6390
NEAL M. WOODARD
5461015
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2011-06-06
D/A
$3,250,000.00
Yes
$0.00
No
SELLING COMMISSIONS IN AN AMOUNT NOT TO EXCEED 6.50% OF THE GROSS PROCEEDS FROM THE SALE OF UNITS WILL BE PAID TO BROKER/DEALERS
2011-06-06
D/A
$3,250,000.00
Yes
$0.00
No
SELLING COMMISSIONS IN AN AMOUNT NOT TO EXCEED 6.50% OF THE GROSS PROCEEDS FROM THE SALE OF UNITS WILL BE PAID TO BROKER/DEALERS
2011-01-10
D/A
$3,250,000.00
Yes
$0.00
No
SELLING COMMISSIONS IN AN AMOUNT NOT TO EXCEED 6.50% OF THE GROSS PROCEEDS FROM THE SALE OF UNITS WILL BE PAID TO BROKER/DEALERS
2011-01-10
D/A
$3,250,000.00
Yes
$0.00
No
SELLING COMMISSIONS IN AN AMOUNT NOT TO EXCEED 6.50% OF THE GROSS PROCEEDS FROM THE SALE OF UNITS WILL BE PAID TO BROKER/DEALERS
2009-05-07
D/A
$2,250,000.00
No
$0.00
No