2/13/2012 | 2/6/2012 | ||||
---|---|---|---|---|---|
State | Iss | Amount ($000s) | Iss | Amount ($000s) | Chg in Amt ($000s) |
Arizona | 3 | 258,390 | 1 | 7,995 | 250,395 |
Arkansas | 4 | 29,040 | 3 | 14,665 | 14,375 |
Colorado | 5 | 280,785 | 4 | 181,475 | 99,310 |
Kansas | 8 | 94,195 | 6 | 87,570 | 6,625 |
New Mexico | 3 | 40,985 | 1 | 500 | 40,485 |
Oklahoma | 5 | 40,650 | 3 | 26,920 | 13,730 |
Texas | 32 | 1,061,760 | 22 | 987,515 | 74,245 |
Utah | 4 | 58,755 | 2 | 66,280 | -7,525 |
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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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