11/5/2012 | 10/29/2012 | ||||
---|---|---|---|---|---|
State | Amount ($000s) | Iss | Amount ($000s) | Chg in Amt ($000s) | |
Arizona | 1 | $5,595 | 0 | $0 | $5,595 |
Arkansas | 5 | 43,390 | 6 | 30,320 | 13,070 |
Colorado | 2 | 157,125 | 3 | 158,330 | -1,205 |
Kansas | 7 | 25,100 | 5 | 12,510 | 12,590 |
New Mexico | 2 | 13,900 | 0 | 0 | 13,900 |
Oklahoma | 3 | 84,430 | 4 | 2,050 | 82,380 |
Texas | 24 | 2,235,040 | 23 | 2,098,270 | 136,770 |
Utah | 4 | 329,645 | 3 | 470,015 | -140,370 |
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The SEC has won a partial victory against Choice Advisors and its principal Matthias O'Meara for their role in acting as unregistered brokers and for engaging in a fee-splitting arrangement.
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The trio have decades of experience in high yield and investment grade portfolios and will launch new high-yield investment strategies and vehicles for Rockefeller.
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