10/24/2013 | 10/17/2013 | ||||
---|---|---|---|---|---|
State | # Iss | Amount ($000) | # Iss | Amount ($000) | Chg in Amt ($000) |
Alaska | 1 | $76,775 | 0 | $0 | $76,775 |
California | 12 | 428,415 | 12 | 665,285 | -236,870 |
Hawaii | 0 | 0 | 0 | 0 | 0 |
Idaho | 2 | 51,150 | 2 | 51,150 | 0 |
Montana | 2 | 27,255 | 1 | 22,805 | 4,450 |
Nevada | 1 | 571,720 | 0 | 0 | 571,720 |
Oregon | 3 | 78,905 | 1 | 3,050 | 75,855 |
Washington | 2 | 72,585 | 2 | 72,585 | 0 |
Wyoming | 0 | 0 | 0 | 0 | 0 |
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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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