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Corpus: 1990-03-17 – 2025-12-01

November 2012

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Results by Dataset17 total

Set 10

17 results for “"TAX &/OR SEC .01"”

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EFTA01572658Set 10

2012-11-0144p4,107w

Cost Sale High Cost Sale High Cost RAYTHEON CO @ 56.4124 112.82 BROKERAGE 0.04 TAX &/OR SEC .01 GOLDMAN SACHS & CO. EFTA01572678 (ID: 755111-50-7) RAYTHEON CO @ 56.5788 396.05 BROKERAGE ... TAX &/OR SEC .01 LIQUIDNET INC (ID: 755111-50-7) RAYTHEON CO @ 57.218 400.53 BROKERAGE 0.14 TAX &/OR SEC .01 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 755111-50-7) RAYTHEON ... BROKERAGE 0.15 TAX &/OR SEC .01 PERSHING & COMPANY (ID: 755111-50-7) RAYTHEON CO @ 57.305 343.83 BROKERAGE 0.12 TAX &/OR SEC .01 LIQUIDNET INC (ID: 755111-50-7) RAYTHEON

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01572658.pdf

EFTA01572702Set 10

2012-12-0136p3,681w

Cost Sale High Cost CLIFFS NATURAL RESOURCES INC @ 29.2658 58.53 EFTA01572725 BROKERAGE 0.04 TAX &/OR SEC .01 GOLDMAN SACHS & CO. (ID: 18683K-10-1) CLIFFS NATURAL RESOURCES ... BROKERAGE 0.08 TAX &/OR SEC .01 JEFFERIES & COMPANY (ID: 18683K-10-1) CLIFFS NATURAL RESOURCES INC @ 29.6029 29.60 BROKERAGE 0.02 TAX &/OR SEC .01 MERRILL LYNCH PIERCE FENNER & SMIT ... 18683K-10-1) CLIFFS NATURAL RESOURCES INC @ 29.1552 58.31 BROKERAGE 0.04 TAX &/OR SEC .01 CREDIT SUISSE FIRST BOSTON LLC (ID: 18683K-10-1) CLIFFS NATURAL RESOURCES

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01572702.pdf

EFTA01572448Set 10

2012-05-0145p5,416w

Cost Sale High Cost PEOPLE'S UNITED FINANCIAL INC @ 12.46 62.30 BROKERAGE 0.10 TAX &/OR SEC .01 IVY SECURITIES, INC. (ID: 712704-10-5) EFTA01572468 PEOPLE'S UNITED FINANCIAL ... BROKERAGE 0.21 TAX &/OR SEC .01 STERNE, AGEE, AND LEACH INC (ID: 712704-10-5) PEOPLE'S UNITED FINANCIAL INC @ 12.50 512.50 BROKERAGE 1.23 TAX &/OR SEC .01 RBC CAPITAL ... PEOPLE'S UNITED FINANCIAL INC @ 12.5043 37.51 BROKERAGE 0.09 TAX &/OR SEC .01 STERNE, AGEE, AND LEACH INC (ID: 712704-10-5) PEOPLE'S UNITED FINANCIAL INC @ 12.50 225.00 BROKERAGE

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01572448.pdf

EFTA01566306Set 10

2013-08-01161p15,732w

COMPANY (ID: 874039-10-0) ISRAEL CHEMICALS LTD ADR @ 7.7977 194.94 BROKERAGE 0.75 TAX &/OR SEC .01 ESI SECURITIES COMPANY (ID: 465036-20-0) ISRAEL CHEMICALS ... BROKERAGE 0.60 TAX &/OR SEC .01 ESI SECURITIES COMPANY (ID: 465036-20-0) ROCHE HOLDINGS LTD SPONS ADR @ 65.5582 5,900.24 BROKERAGE 3.60 TAX &/OR SEC .11 ESI SECURITIES EFTA01566408 ... ROYAL DUTCH SHELL PLC ADR @ 66.492 332.46 BROKERAGE 0.20 TAX &/OR SEC .01 ESI SECURITIES COMPANY (ID: 780259-10-7) ISRAEL CHEMICALS LTD ADR @ 7.4761 112.14 BROKERAGE 0.45 TAX &/OR

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01566306.pdf

EFTA01572352Set 10

2012-02-0132p4,155w

GLOBAL MKTS INC (ID: 487836-10-8) KELLOGG CO @ 49.8363 398.69 BROKERAGE 0.24 TAX &/OR SEC .01 MORGAN STANLEY & CO. INCORPORATED (ID: 487836-10-8) KELLOGG CO @ 49.5773 941.97 BROKERAGE ... SECURITIES LLC (ID: 487836-10-8) EFTA01572372 KELLOGG CO @ 50.6562 709.19 BROKERAGE 0.42 TAX &/OR SEC .01 BMO NESBITT BURNS CORP (ID: 487836-10-8) KELLOGG ... STANLEY & CO. INCORPORATED (ID: 487836-10-8) KELLOGG CO @ 50.0842 200.34 BROKERAGE 0.08 TAX &/OR SEC .01 BLOOMBERG TRADEBOOK LLC (ID: 487836-10-8) KELLOGG CO @ 50.7451 761.18 BROKERAGE

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01572352.pdf

EFTA01572581Set 10

2012-09-0138p4,896w

High Cost Sale EFTA01572602 High Cost MICROCHIP TECHNOLOGY INC @ 34.6426 311.78 BROKERAGE 0.18 TAX &/OR SEC .01 SANFORD C. BERNSTEIN & CO.INC.(SCB (ID: 595017-10-4) MICROCHIP TECHNOLOGY ... LIQUIDNET INC (ID: 595017-10-4) MICROCHIP TECHNOLOGY INC @ 34.2151 581.66 BROKERAGE 0.34 TAX &/OR SEC .01 SANFORD C. BERNSTEIN & CO.INC.(SCB (ID: 595017-10-4) MICROCHIP TECHNOLOGY ... BROKERAGE 0.08 TAX &/OR SEC .01 CREDIT SUISSE FIRST BOSTON LLC (ID: 595017-10-4) MICROCHIP TECHNOLOGY INC @ 34.0039 986.11 BROKERAGE 0.58 TAX &/OR SEC .02 SANFORD C. BERNSTEIN & CO.INC

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01572581.pdf

EFTA01572619Set 10

2012-12-0139p3,767w

Cost Sale High Cost Sale High Cost INTEL CORP @ 22.6955 45.39 BROKERAGE 0.04 TAX &/OR SEC .01 CREDIT SUISSE FIRST BOSTON LLC (ID: 458140-10-0) INTEL CORP ... PIERCE FENNER & SMIT (ID: 458140-10-0) INTEL CORP @ 22.4882 472.25 BROKERAGE 0.42 TAX &/OR SEC .01 JEFFERIES & COMPANY (ID: 458140-10-0) INTEL CORP @ 22.491 472.31 BROKERAGE 0.42 TAX ... PIERCE FENNER & SMIT (ID: 458140-10-0) INTEL CORP @ 21.9722 65.92 BROKERAGE 0.06 TAX &/OR SEC .01 DEUTSCHE BANC ALEX BROWN INC (ID: 458140-10-0) INTEL CORP

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01572619.pdf

EFTA01572996Set 10

2013-12-0138p3,893w

LIQUIDNET INC (ID: 931422-10-9) WALGREEN CO @ 54.105 703.37 BROKERAGE 0.26 TAX &/OR SEC .01 IVY SECURITIES, INC. (ID: 931422-10-9) WALGREEN CO @ 54.0673 4,163.18 BROKERAGE ... SACHS & CO. (ID: 931422-10-9) HONEYWELL INTERNATIONAL INC @ 83.1166 831.17 BROKERAGE 0.15 TAX &/OR SEC .01 JEFFERIES & COMPANY (ID: 438516-10-6) Page ... LIQUIDNET INC (ID: 438516-10-6) HONEYWELL INTERNATIONAL INC @ 83.265 666.12 BROKERAGE 0.12 TAX &/OR SEC .01 IVY SECURITIES, INC. (ID: 438516-10-6) HONEYWELL INTERNATIONAL

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01572996.pdf

EFTA01572412Set 10

2012-04-0136p4,614w

PEOPLE'S UNITED FINANCIAL INC @ 12.4157 422.13 BROKERAGE 1.02 TAX &/OR SEC .01 DEUTSCHE BANC ALEX BROWN INC (ID: 712704-10-5) PEOPLE'S UNITED FINANCIAL INC @ 12.365 24.73 BROKERAGE ... TAX &/OR SEC .01 PULSE TRADING LLC (ID: 712704-10-5) PEOPLE'S UNITED FINANCIAL INC @ 12.4055 111.65 BROKERAGE 0.27 TAX &/OR SEC .01 STERNE, AGEE, AND LEACH ... PEOPLE'S UNITED FINANCIAL INC @ 12.5053 12.51 EFTA01572431 BROKERAGE 0.03 TAX &/OR SEC .01 DEUTSCHE BANC ALEX BROWN INC (ID: 712704-10-5) PEOPLE'S UNITED FINANCIAL

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01572412.pdf

EFTA01566268Set 10

2013-08-0138p3,808w

COMPANY (ID: 874039-10-0) ISRAEL CHEMICALS LTD ADR @ 7.7977 194.94 BROKERAGE 0.75 TAX &/OR SEC .01 ESI SECURITIES COMPANY (ID: 465036-20-0) ISRAEL CHEMICALS ... BROKERAGE 0.60 TAX &/OR SEC 01 ESI SECURITIES COMPANY ... ROYAL DUTCH SHELL PLC ADR @ 66.492 332.46 BROKERAGE 0.20 TAX &/OR SEC .01 ESI SECURITIES COMPANY (ID: 780259-10-7) ISRAEL CHEMICALS LTD ADR @ 7.4761 112.14 BROKERAGE 0.45 TAX &/OR

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01566268.pdf

EFTA01572287Set 10

2011-12-0136p4,602w

High Cost Sale High Cost AIR PRODUCTS & CHEMICALS INC @ 84.77 508.63 BROKERAGE 0.18 TAX &/OR SEC .01 CITATION GROUP/BCC CLRG (ID: 009158-10-6) AIR PRODUCTS & CHEMICALS ... BROKERAGE 0.18 TAX &/OR SEC .01 CITATION EFTA01572308 GROUP/BCC CLRG (ID: 009158-10-6) AIR PRODUCTS & CHEMICALS INC @ 81.07 1,215.99 BROKERAGE 0.45 TAX &/OR SEC .02 CITATION GROUP/BCC CLRG ... PRODUCTS & CHEMICALS INC @ 79.63 637.06 BROKERAGE 0.24 TAX &/OR SEC .01 CITATION GROUP/BCC CLRG (ID: 009158-10-6) AIR PRODUCTS & CHEMICALS INC @ 79.31 555.17 BROKERAGE 0.21 TAX &/OR SEC .01

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01572287.pdf

EFTA01572870Set 10

2013-06-0134p3,463w

FENNER & SMIT (ID: 539830-10-9) LOCKHEED MARTIN CORP @ 104.45 626.70 BROKERAGE 0.12 TAX &/OR SEC .01 LIQUIDNET INC (ID: 539830-10-9) LOCKHEED MARTIN CORP @ 103.9846 3,431.49 BROKERAGE

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01572870.pdf

EFTA01522210Set 10

2012-05-011p312w

High Cost BROKERAGE 0.54 TAX &/OR SEC .01 SUNTRUST CAPITAL MARKETS INC (ID: 712704-10-5) 5/4 Sale PEOPLES UNITED FINANCIAL ... High Cost BROKERAGE 0.09 TAX &/OR SEC .01 PULSE TRADING LLC (ID: 712704104) 5/7 Sale PEOPLES UNITED FINANCIAL INC 0 12.255 24.51 (2.000) 12.23 24.46 (Via 0.20 S 5/10 High

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01522210.pdf

EFTA01522209Set 10

2012-05-011p322w

High Cost BROKERAGE 0.33 TAX &/OR SEC .01 STERNE, AGEE, AND LEACH INC (ID: 712704-10-5) 5/1 Sale PEOPLES UNITED FINANCIAL

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01522209.pdf

EFTA01572493Set 10

2012-06-0134p4,273w

ALEX BROWN INC (ID: 002824-10-0) ABBOTT LABORATORIES @ 62.645 250.58 BROKERAGE 0.08 TAX &/OR SEC .01 LIQUIDNET INC (ID: 002824-10-0) ABBOTT LABORATORIES @ 62.5761 1,314.10 BROKERAGE ... BROWN INC (ID: 002824-10-0) ABBOTT LABORATORIES @ 62.24 435 68 BROKERAGE 0.14 TAX &/OR SEC .01 SANFORD C BERNSTEIN & CO.INC.(SCB (ID: 002824-10-0) Page

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01572493.pdf

EFTA01573107Set 10

2014-02-0132p3,340w

FIRST BOSTON LLC (ID: 166764-10-0) CHEVRON CORP @ 113.009 113.01 BROKERAGE 0.02 TAX &/OR SEC .01 INSTINET (ID: 166764-10-0) CHEVRON CORP @ 113.0084 9,605.71 BROKERAGE 1.28 TAX

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01573107.pdf

EFTA01572904Set 10

2013-07-0127p2,865w

LOCKHEED MARTIN CORP @ 105.345 316.04 BROKERAGE 0.06 TAX &/OR SEC .01 LIQUIDNET INC (ID: 539830-10-9) LOCKHEED MARTIN CORP @ 107.1486 9,643.37 BROKERAGE 1.80 TAX &/OR SEC .17 MORGAN

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01572904.pdf