Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

WORKMAN SECURITIES, INC.
31898
DWIGHT A SMITH
5642031
WORKMAN SECURITIES CORPORATION
31898
DWIGHT A. SMITH
5642031
WORKMAN SECURITIES
31898
DWIGHT A. SMITH
5642031
WORKMAN SECURITIES, INC.
31898
DWIGHT A. SMITH
5642031
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2010-07-13
D/A
$261,969.00
No
$0.00
No
2010-07-02
D/A
$257,469.00
No
$0.00
No
2010-06-24
D/A
$5,250,000.00
Yes
$0.00
No
ESTIMATED TO BE PAID BASED ON TOTAL OFFERING AMOUNT
2010-06-16
D/A
$5,250,000.00
Yes
$0.00
No
ESTIMATED TO BE PAID BASED ON TOTAL OFFERING AMOUNT
2010-06-11
D/A
$255,219.00
No
$0.00
No
2010-06-04
D
$237,219.00
No
$0.00
No
2010-06-02
D/A
$228,219.00
No
$0.00
No
2010-06-01
D/A
$223,719.00
No
$0.00
No
2010-05-24
D/A
$221,469.00
No
$0.00
No
2010-05-18
D/A
$216,339.00
No
$0.00
No
2010-05-13
D/A
$5,250,000.00
Yes
$0.00
No
ESTIMATED TO BE PAID BASED ON TOTAL OFFERING AMOUNT
2010-04-07
D/A
$214,089.00
No
$0.00
No
2010-03-10
D/A
$209,139.00
No
$0.00
No
2010-03-09
D/A
$1,350,000.00
Yes
$0.00
Yes
2010-03-09
D/A
$157,839.00
No
$0.00
No
2010-03-03
D/A
$3,250,000.00
Yes
$0.00
No
BASED ON MAXIMUM OFFERING AMOUNT
2010-02-19
D/A
$150,909.00
No
$0.00
No
2010-01-28
D/A
$141,909.00
No
$0.00
No
2010-01-27
D/A
$137,409.00
No
$0.00
No
2010-01-19
D/A
$1,350,000.00
Yes
$0.00
Yes
2009-10-28
D/A
$1,350,000.00
Yes
$0.00
Yes
2009-09-21
D/A
$1,350,000.00
Yes
$0.00
Yes
2009-09-14
D/A
$1,350,000.00
Yes
$0.00
Yes
2009-08-04
D/A
$1,350,000.00
Yes
$0.00
Yes
2009-08-04
D/A
$1,350,000.00
Yes
$0.00
Yes