Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

CRAIG S. LEWIS
5501107
AURORA CAPITAL LLC
37924
CRAIG S. LEWIS
5501107
AURORA CAPITAL
37924
CRAIG S. LEWIS
5501107
SECURITY RESEARCH ASSOCIATES, INC.
8200
CRAIG S. LEWIS
5501107
SECURITY RESEARCH ASSOCIATES, INC.
8200
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2016-11-14
D/A
$0.00
No
$3,704,332.00
Yes
AS DIRECTED IN THE INSTRUCTIONS, ITEMS 12 AND 15 INCLUDE A HISTORICAL AGGREGATE LISTING, AND MAY INCLUDE NAMES OF AND AMOUNTS FOR PERSONS WITH WHICH THE ISSUER NO LONGER HAS ANY RELATIONSHIP.
2015-11-18
D/A
$0.00
No
$3,689,420.00
Yes
2014-11-18
D/A
$0.00
No
$1,008,174.00
Yes
2014-11-18
D/A
$0.00
No
$1,244.00
Yes
2014-11-18
D/A
$0.00
No
$3,655,903.00
Yes
2014-01-10
D/A
$0.00
No
$1,244.00
No
2013-11-19
D/A
$0.00
No
$552,094.00
No
2013-11-18
D/A
$0.00
No
$3,983,331.00
Yes
2013-01-11
D/A
$0.00
No
$1,244.00
No
2012-11-20
D/A
$0.00
No
$229,152.00
No
2012-11-20
D/A
$0.00
No
$4,170,376.00
Yes
2012-11-19
D/A
$0.00
Yes
$135,006.00
Yes
2012-01-09
D/A
$0.00
No
$2,660.00
No
2011-11-18
D/A
$0.00
No
$4,007,371.00
Yes
2011-11-18
D/A
$0.00
No
$222,613.00
No
2011-11-18
D/A
$0.00
Yes
$126,920.00
Yes
2010-11-19
D/A
$0.00
No
$4,088,170.00
Yes
2010-11-19
D/A
$0.00
Yes
$110,256.00
Yes
2009-11-20
D/A
$0.00
No
$3,568,205.00
Yes
2009-11-20
D/A
$0.00
Yes
$84,668.00
Yes
2009-03-16
D/A
$1,428,735.00
Yes
$3,362,022.00
Yes