Self-regulatory organization of broker-dealers
Active 2007–2010.
| Year | Firm | Period | Amount | Doc |
|---|---|---|---|---|
| 2008 | HOGAN LOVELLS CADWALADER US LLP (FKA HOGAN LOVELLS US LLP) |
4th Quarter (Oct 1 - Dec 31) AMENDED |
$30,000 | |
| 2008 | HOGAN LOVELLS CADWALADER US LLP (FKA HOGAN LOVELLS US LLP) |
3rd Quarter (July 1 - Sep 30) AMENDED |
$30,000 | |
| 2008 | HOGAN LOVELLS CADWALADER US LLP (FKA HOGAN LOVELLS US LLP) |
4th Quarter (Oct 1 - Dec 31) 4th Quarter - Report |
$30,000 | |
| 2008 | HOGAN LOVELLS CADWALADER US LLP (FKA HOGAN LOVELLS US LLP) |
3rd Quarter (July 1 - Sep 30) 3rd Quarter - Report |
$30,000 | |
| 2008 | HOGAN LOVELLS CADWALADER US LLP (FKA HOGAN LOVELLS US LLP) |
2nd Quarter (Apr 1 - June 30) 2nd Quarter - Report |
$50,000 | |
| 2008 | HOGAN LOVELLS CADWALADER US LLP (FKA HOGAN LOVELLS US LLP) |
1st Quarter (Jan 1 - Mar 31) 1st Quarter - Report |
$40,000 |
| Firm | Filings | Amount |
|---|---|---|
| HOGAN LOVELLS CADWALADER US LLP (FKA HOGAN LOVELLS US… | 16 | $410,000 |
| Issue | Activities |
|---|---|
| Financial Institutions/Investments/Securities | 8 |
| Economics/Economic Development | 7 |