0001104659-15-005982.txt : 20150202
0001104659-15-005982.hdr.sgml : 20150202
20150202153428
ACCESSION NUMBER: 0001104659-15-005982
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20141231
FILED AS OF DATE: 20150202
DATE AS OF CHANGE: 20150202
EFFECTIVENESS DATE: 20150202
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: BRAVE ASSET MANAGEMENT INC
CENTRAL INDEX KEY: 0001085867
IRS NUMBER: 223190069
STATE OF INCORPORATION: NJ
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-15792
FILM NUMBER: 15566770
BUSINESS ADDRESS:
STREET 1: 47 SUMMIT AVENUE
CITY: SUMMIT
STATE: NJ
ZIP: 07901
BUSINESS PHONE: 9085228822
MAIL ADDRESS:
STREET 1: 47 SUMMIT AVE
CITY: SUMMIT
STATE: NJ
ZIP: 07901
13F-HR
1
primary_doc.xml
13F-HR
LIVE
0001085867
XXXXXXXX
12-31-2014
12-31-2014
true
4
NEW HOLDINGS
false
Brave Asset Management Inc
47 Summit Ave
Summit
NJ
07901
13F HOLDINGS REPORT
028-15792
N
T. Brett Haire, Jr.
President
908-522-8822
/s/ T. Brett Haire, Jr.
Summit
NJ
02-02-2015
0
441
139521
false
INFORMATION TABLE
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a15-3406_1informationtable.xml
INFORMATION TABLE
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88579Y101
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SH
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ABBVIE INC
COM
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SOLE
4050
0
0
ACCO BRANDS CORP
COM
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0
10
SH
SOLE
10
0
0
ACCURIDE CORP NEW
COM NEW
00439T206
130
30000
SH
SOLE
30000
0
0
ACHILLION PHARMACEUTICALS IN
COM
00448Q201
49
4000
SH
SOLE
4000
0
0
ADOBE SYS INC
COM
00724F101
407
5602
SH
SOLE
5602
0
0
ADVISORSHARES TR
RANGER EQUITY BE
00768Y883
46
4000
SH
SOLE
4000
0
0
AES CORP
COM
00130H105
117
8500
SH
SOLE
8500
0
0
AETNA INC NEW
COM
00817Y108
1030
11600
SH
SOLE
11600
0
0
AGILENT TECHNOLOGIES INC
COM
00846U101
82
2000
SH
SOLE
2000
0
0
ALASKA COMMUNICATIONS SYS GR
COM
01167P101
4
2000
SH
SOLE
2000
0
0
ALPHA NATURAL RESOURCES INC
COM
02076X102
66
39600
SH
SOLE
39600
0
0
ALTRIA GROUP INC
COM
02209S103
153
3100
SH
SOLE
3100
0
0
AMERICAN AIRLS GROUP INC
COM
02376R102
1762
32850
SH
SOLE
32850
0
0
AMERIPRISE FINL INC
COM
03076C106
87
659
SH
SOLE
659
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AOL INC
COM
00184X105
11
231
SH
SOLE
231
0
0
ARES CAP CORP
COM
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487
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AT&T INC
COM
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AVISTA CORP
COM
05379B107
11
316
SH
SOLE
316
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BANCO SANTANDER SA
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41
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SOLE
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COM
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59
148
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BIOSCRIP INC
COM
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7500
SH
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7500
0
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BLACKSTONE GROUP L P
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575
17000
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BOSTON SCIENTIFIC CORP
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SH
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13
1000
SH
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71
1200
SH
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1200
0
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150
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CELGENE CORP
COM
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CENTURYLINK INC
COM
156700106
59
1500
SH
SOLE
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0
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CHEGG INC
COM
163092109
14
2000
SH
SOLE
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0
0
CHEVRON CORP NEW
COM
166764100
517
4605
SH
SOLE
4605
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CHICOS FAS INC
COM
168615102
269
16564
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SOLE
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CHINA LIFE INS CO LTD
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16939P106
12
200
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600
SH
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600
0
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CHUBB CORP
COM
171232101
587
5675
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SOLE
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CISCO SYS INC
COM
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44435
SH
SOLE
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CITIGROUP INC
COM NEW
172967424
120
2220
SH
SOLE
2220
0
0
CLIFFS NAT RES INC
COM
18683K101
167
23400
SH
SOLE
23400
0
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COACH INC
COM
189754104
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29875
SH
SOLE
29875
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COCA COLA CO
COM
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47685
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SOLE
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32
550
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SOLE
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SOLE
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CONOCOPHILLIPS
COM
20825C104
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SH
SOLE
21314
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COM
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7800
SH
SOLE
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CORNING INC
COM
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109250
SH
SOLE
109250
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COSAN LTD
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SH
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CREE INC
COM
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665
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CROCS INC
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31
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SH
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CSX CORP
COM
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10
282
SH
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282
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CUMMINS INC
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231021106
14
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SH
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0
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CVS HEALTH CORP
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0
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CYPRESS SEMICONDUCTOR CORP
COM
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DELCATH SYS INC
COM NEW
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SOLE
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DELTA AIR LINES INC DEL
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148
3000
SH
SOLE
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0
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DEVON ENERGY CORP NEW
COM
25179M103
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32562
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SOLE
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400
SH
SOLE
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DIRECTV
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25490A309
4
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SH
SOLE
50
0
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DISCOVERY LABORATORIES INC N
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48
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SH
SOLE
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0
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DISNEY WALT CO
COM DISNEY
254687106
677
7185
SH
SOLE
7185
0
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DOLLAR TREE INC
COM
256746108
197
2800
SH
SOLE
2800
0
0
DOMINION RES INC VA
NEW COM
25746U109
192
2500
SH
SOLE
2500
0
0
DONNELLEY R R & SONS CO
COM
257867101
2
100
SH
SOLE
100
0
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DOW CHEM CO
COM
260543103
1366
29950
SH
SOLE
29950
0
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DTE ENERGY CO
COM
233331107
38
442
SH
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12931
SH
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32
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SH
SOLE
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491
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SH
SOLE
16500
0
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277432100
51
670
SH
SOLE
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0
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EATON CORP PLC
SHS
G29183103
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200
SH
SOLE
200
0
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EBAY INC
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767
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SH
SOLE
13663
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EDWARDS LIFESCIENCES CORP
COM
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25
200
SH
SOLE
200
0
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ELECTRONIC ARTS INC
COM
285512109
6
130
SH
SOLE
130
0
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EMERALD OIL INC
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29101U209
62
52000
SH
SOLE
52000
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EMERSON ELEC CO
COM
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1282
20775
SH
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37
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ENTERPRISE PRODS PARTNERS L
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43
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SH
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EOG RES INC
COM
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100
SH
SOLE
100
0
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EQT CORP
COM
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182
2400
SH
SOLE
2400
0
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EXCO RESOURCES INC
COM
269279402
61
28000
SH
SOLE
28000
0
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EXELIS INC
COM
30162A108
18
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SH
SOLE
1000
0
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EXELON CORP
COM
30161N101
257
6922
SH
SOLE
6922
0
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EXPRESS SCRIPTS HLDG CO
COM
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363
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SH
SOLE
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EXXON MOBIL CORP
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SH
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FACEBOOK INC
CL A
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100
SH
SOLE
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0
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FIRSTENERGY CORP
COM
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19230
SH
SOLE
19230
0
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FISERV INC
COM
337738108
57
800
SH
SOLE
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0
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12900
SH
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FORD MTR CO DEL
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SH
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FORESTAR GROUP INC
COM
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100
SH
SOLE
100
0
0
FORTUNE BRANDS HOME & SEC IN
COM
34964C106
2
50
SH
SOLE
50
0
0
FOSTER L B CO
COM
350060109
24
500
SH
SOLE
500
0
0
FREEPORT-MCMORAN INC
CL B
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84
3600
SH
SOLE
3600
0
0
FRONTIER COMMUNICATIONS CORP
COM
35906A108
102
15221
SH
SOLE
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0
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GENERAC HLDGS INC
COM
368736104
9
200
SH
SOLE
200
0
0
GENERAL ELECTRIC CO
COM
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2728
107963
SH
SOLE
107963
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GENERAL MLS INC
COM
370334104
19
354
SH
SOLE
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GENERAL MTRS CO
COM
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96
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SH
SOLE
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GENWORTH FINL INC COM
CL A
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111
13000
SH
SOLE
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GERON CORP
COM
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50
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SH
SOLE
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0
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GILEAD SCIENCES INC
COM
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924
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SH
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19
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GLOBAL BRASS & COPPR HLDGS I
COM
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26
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SH
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GOLDCORP INC NEW
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242
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SH
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GOLDMAN SACHS GROUP INC
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10
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SH
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GOOGLE INC
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434
SH
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GOOGLE INC
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GREAT PLAINS ENERGY INC
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22
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SH
SOLE
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ROYALTY TR UNT
40222T104
24
19000
SH
SOLE
19000
0
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HARTFORD FINL SVCS GROUP INC
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644
15459
SH
SOLE
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0
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HEALTHCARE SVCS GRP INC
COM
421906108
32
1050
SH
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0
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HERCULES OFFSHORE INC
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46
46000
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SOLE
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HERTZ GLOBAL HOLDINGS INC
COM
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378
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SH
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HOME DEPOT INC
COM
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861
SH
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HONEYWELL INTL INC
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HSN INC
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SH
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HUNTINGTON INGALLS INDS INC
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187
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COM
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23
155
SH
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IDT CORP
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66
SH
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66
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2126
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SOLE
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IMATION CORP
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72
19000
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314
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72
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SH
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L-3 COMMUNICATIONS HLDGS INC
COM
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LOWES COS INC
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198
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LULULEMON ATHLETICA INC
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56
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SOLE
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121
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MCKESSON CORP
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58155Q103
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MEDTRONIC INC
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MELCO CROWN ENTMT LTD
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SH
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MERCK & CO INC
NEW COM
58933Y105
1603
28230
SH
SOLE
28230
0
0
MERRIMACK PHARMACEUTICALS IN
COM
590328100
113
10000
SH
SOLE
10000
0
0
METLIFE INC
COM
59156R108
2026
37450
SH
SOLE
37450
0
0
METTLER TOLEDO INTERNATIONAL
COM
592688105
30
100
SH
SOLE
100
0
0
MICROSOFT CORP
COM
594918104
2415
52000
SH
SOLE
52000
0
0
MONDELEZ INTL INC
CL A
609207105
53
1452
SH
SOLE
1452
0
0
MOODYS CORP
COM
615369105
36
376
SH
SOLE
376
0
0
MORGAN STANLEY
COM NEW
617446448
223
5750
SH
SOLE
5750
0
0
NABORS INDUSTRIES LTD
SHS
G6359F103
354
27300
SH
SOLE
27300
0
0
NATIONAL FUEL GAS CO N J
COM
636180101
13
180
SH
SOLE
180
0
0
NATIONAL OILWELL VARCO INC
COM
637071101
33
500
SH
SOLE
500
0
0
NCR CORP NEW
COM
62886E108
54
1841
SH
SOLE
1841
0
0
NETFLIX INC
COM
64110L106
7
20
SH
SOLE
20
0
0
NEW GOLD INC CDA
COM
644535106
361
83900
SH
SOLE
83900
0
0
NEW YORK CMNTY BANCORP INC
COM
649445103
331
20700
SH
SOLE
20700
0
0
NEWMONT MINING CORP
COM
651639106
68
3600
SH
SOLE
3600
0
0
NEWS CORP NEW
CL A
65249B109
2
118
SH
SOLE
118
0
0
NEXTERA ENERGY INC
COM
65339F101
106
1000
SH
SOLE
1000
0
0
NIC INC
COM
62914B100
45
2500
SH
SOLE
2500
0
0
NIKE INC
CL B
654106103
31
324
SH
SOLE
324
0
0
NOBLE CORP PLC
SHS USD
G65431101
912
55029
SH
SOLE
55029
0
0
NOBLE ENERGY INC
COM
655044105
18
372
SH
SOLE
372
0
0
NOKIA CORP
SPONSORED ADR
654902204
58
7380
SH
SOLE
7380
0
0
NORDSTROM INC
COM
655664100
23
285
SH
SOLE
285
0
0
NORTH ATLANTIC DRILLING LTD
COM
G6613P202
23
14000
SH
SOLE
14000
0
0
NORTHEAST UTILS
COM
664397106
16
300
SH
SOLE
300
0
0
NORTHROP GRUMMAN CORP
COM
666807102
737
5000
SH
SOLE
5000
0
0
NOVO-NORDISK A S
ADR
670100205
21
500
SH
SOLE
500
0
0
NUANCE COMMUNICATIONS INC
COM
67020Y100
14
1000
SH
SOLE
1000
0
0
OCCIDENTAL PETE CORP DEL
COM
674599105
5
57
SH
SOLE
57
0
0
ONCOMED PHARMACEUTICALS INC
COM
68234X102
378
17350
SH
SOLE
17350
0
0
ONEBEACON INSURANCE GROUP LT
CL A
G67742109
311
19200
SH
SOLE
19200
0
0
OPOWER INC
COM
68375Y109
36
2500
SH
SOLE
2500
0
0
ORACLE CORP
COM
68389X105
106
2360
SH
SOLE
2360
0
0
PACKAGING CORP AMER
COM
695156109
78
1000
SH
SOLE
1000
0
0
PARAGON OFFSHORE PLC
SHS ADDED
G6S01W108
81
29184
SH
SOLE
29184
0
0
PARKER HANNIFIN CORP
COM
701094104
284
2200
SH
SOLE
2200
0
0
PBF ENERGY INC
CL A
69318G106
273
10250
SH
SOLE
10250
0
0
PCM INC
COM
69323K100
2
250
SH
SOLE
250
0
0
PEMBINA PIPELINE CORP
COM
706327103
517
14197
SH
SOLE
14197
0
0
PENN WEST PETE LTD
NEW COM
707887105
3
1500
SH
SOLE
1500
0
0
PEPCO HOLDINGS INC
COM
713291102
838
31100
SH
SOLE
31100
0
0
PEPSICO INC
COM
713448108
141
1492
SH
SOLE
1492
0
0
PERRIGO CO PLC
SHS
G97822103
8
50
SH
SOLE
50
0
0
PETSMART INC
COM
716768106
31
385
SH
SOLE
385
0
0
PFIZER INC
COM
717081103
3575
114783
SH
SOLE
114783
0
0
PFSWEB INC
COM NEW
717098206
1
64
SH
SOLE
64
0
0
PHILIP MORRIS INTL INC
COM
718172109
204
2500
SH
SOLE
2500
0
0
PHILLIPS 66
COM
718546104
16
220
SH
SOLE
220
0
0
PHOTOMEDEX INC
COM PAR 0.01
719358301
0
200
SH
SOLE
200
0
0
PIMCO ETF TR
ENHAN SHRT MAT
72201R833
101
1000
SH
SOLE
1000
0
0
PLAINS ALL AMERN PIPELINE L
UNIT LTD PARTN
726503105
12
235
SH
SOLE
235
0
0
PLUM CREEK TIMBER CO INC
COM
729251108
4
89
SH
SOLE
89
0
0
PNC FINL SVCS GROUP INC
COM
693475105
173
1898
SH
SOLE
1898
0
0
POST HLDGS INC
COM
737446104
0
5
SH
SOLE
5
0
0
POWERSHARES ETF TRUST
WATER RESOURCE
73935X575
108
4200
SH
SOLE
4200
0
0
PPL CORP
COM
69351T106
622
17112
SH
SOLE
17112
0
0
PROCERA NETWORKS INC
COM NEW
74269U203
43
6000
SH
SOLE
6000
0
0
PROCTER & GAMBLE CO
COM
742718109
1133
12434
SH
SOLE
12434
0
0
PROSHARES TR
PSHS ULTRA TECH
74347R693
76
500
SH
SOLE
500
0
0
PROSHARES TR
ULT R/EST NEW
74347X625
32
300
SH
SOLE
300
0
0
PROSHARES TR PSHS ULTSH 2
PSHS ULTSH 20YRS
74347B201
12
250
SH
SOLE
250
0
0
PRUDENTIAL FINL INC
COM
744320102
128
1420
SH
SOLE
1420
0
0
PUBLIC SVC ENTERPRISE GROUP
COM
744573106
54
1301
SH
SOLE
1301
0
0
PURECYCLE CORP
COM NEW
746228303
40
10000
SH
SOLE
10000
0
0
QIAGEN NV REG
SHS
N72482107
12
500
SH
SOLE
500
0
0
QUALCOMM INC
COM
747525103
1082
14550
SH
SOLE
14550
0
0
QUESTAR CORP
COM
748356102
23
900
SH
SOLE
900
0
0
RAYONIER ADVANCED MATLS INC
COM ADDED
75508B104
26
1155
SH
SOLE
1155
0
0
RAYONIER INC
COM
754907103
13
465
SH
SOLE
465
0
0
RED HAT INC
COM
756577102
7
100
SH
SOLE
100
0
0
REGENCY ENERGY PARTNERS L P
COM UNITS L P
75885Y107
7
287
SH
SOLE
287
0
0
REGIS CORP MINN
COM
758932107
3
150
SH
SOLE
150
0
0
REINSURANCE GROUP AMER INC
COM NEW
759351604
33
375
SH
SOLE
375
0
0
REPUBLIC SVCS INC
COM
760759100
8
187
SH
SOLE
187
0
0
REVOLUTION LIGHTING TECHNOLO
COM
76155G107
14
10000
SH
SOLE
10000
0
0
RITE AID CORP
COM
767754104
60
8000
SH
SOLE
8000
0
0
ROCK CREEK PHARMACEUTICALS I
COM
772081105
3
15000
SH
SOLE
15000
0
0
ROSS STORES INC
COM
778296103
66
700
SH
SOLE
700
0
0
ROVI CORP
COM
779376102
3
141
SH
SOLE
141
0
0
RTI INTL METALS INC
COM
74973W107
13
500
SH
SOLE
500
0
0
SANDISK CORP
COM
80004C101
24
250
SH
SOLE
250
0
0
SANDRIDGE ENERGY INC
COM
80007P307
100
55000
SH
SOLE
55000
0
0
SCANA CORP NEW
COM
80589M102
64
1064
SH
SOLE
1064
0
0
SCHLUMBERGER LTD
COM
806857108
122
1427
SH
SOLE
1427
0
0
SEAGATE TECHNOLOGY PLC
SHS
G7945M107
678
10200
SH
SOLE
10200
0
0
SELECT SECTOR SPDR
TR SBI HEALTHCARE
81369Y209
880
12865
SH
SOLE
12865
0
0
SELECT SECTOR SPDR TR
SBI INT-UTILS
81369Y886
632
13375
SH
SOLE
13375
0
0
SELECT SECTOR SPDR TR
TECHNOLOGY
81369Y803
213
5150
SH
SOLE
5150
0
0
SELECT SECTOR SPDR TR
SBI CONS STPLS
81369Y308
14
299
SH
SOLE
299
0
0
SELECT SECTOR SPDR TR
SBI INT-ENERGY
81369Y506
49
616
SH
SOLE
616
0
0
SIGMA DESIGNS INC
COM
826565103
15
2000
SH
SOLE
2000
0
0
SILVER WHEATON CORP
COM
828336107
5
250
SH
SOLE
250
0
0
SIMON PPTY GROUP INC
NEW COM
828806109
31
171
SH
SOLE
171
0
0
SINCLAIR BROADCAST GROUP INC
CL A
829226109
8
300
SH
SOLE
300
0
0
SIRIUS XM HLDGS INC
COM
82968B103
14
4000
SH
SOLE
4000
0
0
SK TELECOM LTD SPONSORED
ADR
78440P108
37
1382
SH
SOLE
1382
0
0
SMUCKER J M CO
COM NEW
832696405
1134
11230
SH
SOLE
11230
0
0
SOCIEDAD QUIMICA MINERA DE C
SPON ADR SER B
833635105
7
300
SH
SOLE
300
0
0
SOLAZYME INC
COM
83415T101
45
17500
SH
SOLE
17500
0
0
SONY CORP
ADR NEW
835699307
5
260
SH
SOLE
260
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
1286
6258
SH
SOLE
6258
0
0
SPDR SERIES TRUST
S&P DIVID ETF
78464A763
11
141
SH
SOLE
141
0
0
SPECTRA ENERGY CORP
COM
847560109
400
11032
SH
SOLE
11032
0
0
STAPLES INC
COM
855030102
1314
72544
SH
SOLE
72544
0
0
STARWOOD HOTELS&RESORTS WRLD
COM
85590A401
56
686
SH
SOLE
686
0
0
STEEL DYNAMICS INC
COM
858119100
247
12500
SH
SOLE
12500
0
0
STEELCASE INC
CL A
858155203
25
1400
SH
SOLE
1400
0
0
STRAIGHT PATH COMMUNICATNS I
CL B
862578101
1
33
SH
SOLE
33
0
0
SUNCOR ENERGY INC NEW
COM
867224107
64
2000
SH
SOLE
2000
0
0
SUNTRUST BKS INC
COM
867914103
22
514
SH
SOLE
514
0
0
SYMANTEC CORP
COM
871503108
26
1000
SH
SOLE
1000
0
0
SYSCO CORP
COM
871829107
198
5000
SH
SOLE
5000
0
0
TARGET CORP
COM
87612E106
12
160
SH
SOLE
160
0
0
TECO ENERGY INC
COM
872375100
41
2000
SH
SOLE
2000
0
0
TERADATA CORP DEL
COM
88076W103
19
424
SH
SOLE
424
0
0
TERADYNE INC
COM
880770102
89
4500
SH
SOLE
4500
0
0
TEVA PHARMACEUTICAL INDS LTD
ADR
881624209
431
7492
SH
SOLE
7492
0
0
TEXAS INSTRS INC
COM
882508104
166
3100
SH
SOLE
3100
0
0
TEXTRON INC
COM
883203101
177
4200
SH
SOLE
4200
0
0
THESTREET INC
COM
88368Q103
348
146329
SH
SOLE
146329
0
0
TIFFANY & CO NEW
COM
886547108
951
8900
SH
SOLE
8900
0
0
TIME INC NEW
COM
887228104
8
313
SH
SOLE
313
0
0
TIME WARNER CABLE INC
COM
88732J207
121
796
SH
SOLE
796
0
0
TIME WARNER INC
COM NEW
887317303
196
2300
SH
SOLE
2300
0
0
TOLL BROTHERS INC
COM
889478103
27
798
SH
SOLE
798
0
0
TOTAL S A
SPONSORED ADR
89151E109
14
266
SH
SOLE
266
0
0
TRAVELERS COMPANIES INC
COM
89417E109
695
6566
SH
SOLE
6566
0
0
TRINITY INDS INC
COM
896522109
22
800
SH
SOLE
800
0
0
TWENTY FIRST CENTY FOX INC
CL A
90130A101
18
474
SH
SOLE
474
0
0
UGI CORP NEW
COM
902681105
57
1500
SH
SOLE
1500
0
0
UNION PAC CORP
COM
907818108
24
200
SH
SOLE
200
0
0
UNITED PARCEL SERVICE INC
CL B
911312106
33
300
SH
SOLE
300
0
0
UNITED RENTALS INC
COM
911363109
41
400
SH
SOLE
400
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
14
120
SH
SOLE
120
0
0
V F CORP
COM
918204108
15
200
SH
SOLE
200
0
0
VALERO ENERGY CORP NEW
COM
91913Y100
593
11984
SH
SOLE
11984
0
0
VANGUARD BD INDEX FD INC
SHORT TRM BOND
921937827
8
94
SH
SOLE
94
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
10
239
SH
SOLE
239
0
0
VANGUARD SPECIALIZED PORTFOL
DIV APP ETF
921908844
11
140
SH
SOLE
140
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
379
8104
SH
SOLE
8104
0
0
VIACOM INC NEW
CL B
92553P201
130
1732
SH
SOLE
1732
0
0
VODAFONE GROUP PLC NEW
SPNSR ADR NO PAR
92857W308
43
1257
SH
SOLE
1257
0
0
WAL-MART STORES INC
COM
931142103
34
400
SH
SOLE
400
0
0
WASHINGTON PRIME GROUP INC
COM
939647103
1
85
SH
SOLE
85
0
0
WASTE MGMT INC DEL
COM
94106L109
128
2500
SH
SOLE
2500
0
0
WAUSAU PAPER CORP
COM
943315101
17
1500
SH
SOLE
1500
0
0
WEATHERFORD INTL PLC ORD SHS
PLC ORD SHS ADDED
G48833100
5
450
SH
SOLE
450
0
0
WELLS FARGO & CO
NEW COM
949746101
114
2077
SH
SOLE
2077
0
0
WET SEAL INC
CL A
961840105
1
10000
SH
SOLE
10000
0
0
WHOLE FOODS MKT INC
COM
966837106
41
811
SH
SOLE
811
0
0
WINDSTREAM HLDGS INC
COM
97382A101
0
51
SH
SOLE
51
0
0
WISDOMTREE INVTS INC
COM
97717P104
30
1890
SH
SOLE
1890
0
0
XEROX CORP
COM
984121103
1083
78156
SH
SOLE
78156
0
0
XYLEM INC
COM
98419M100
38
1000
SH
SOLE
1000
0
0
YAMANA GOLD INC
COM
98462Y100
129
32000
SH
SOLE
32000
0
0
ZIMMER HLDGS INC
COM
98956P102
34
300
SH
SOLE
300
0
0
ALPHANATURAL RESOURCES INC
NOTE 4.875%12/1
02076XAF9
304
825000
SH
SOLE
825000
0
0
B2GOLDCORP
COM
11777Q209
33
20000
SH
SOLE
20000
0
0
BRIDGEBANCORP INC
COM
108035106
12
450
SH
SOLE
450
0
0
CENTRALFD CDA LTD
CL A
153501101
22
1900
SH
SOLE
1900
0
0
CITIGROUPINC
*W EXP 10/28/201
172967234
446
16505878
SH
SOLE
16505878
0
0
COHEN& STEERS TOTAL RETURN
COM
19247R103
161
12200
SH
SOLE
12200
0
0
COMMUNICATIONSSYS INC
COM
203900105
4
400
SH
SOLE
400
0
0
DREYFUSHIGH YIELD STRATEGIE
SH BEN INT
26200S101
46
12700
SH
SOLE
12700
0
0
DYNEGYINC NEW DEL
*W EXP 10/02/201
26817R116
203
51839
SH
SOLE
51839
0
0
EATONVANCE MUNI INCOME TRUS
SH BEN INT
27826U108
42
3093
SH
SOLE
3093
0
0
GENERALMTRS CO
*W EXP 07/10/201
37045V118
1
24
SH
SOLE
24
0
0
GENERALMTRS CO
*W EXP 07/10/201
37045V126
68
4006
SH
SOLE
4006
0
0
JEFFERIESGROUP INC NEW
DBCV 3.875%11/0
472319AG7
3099
3000000
SH
SOLE
3000000
0
0
JPMORGANCHASE & CO
*W EXP 10/28/201
46634E114
777
37350
SH
SOLE
37350
0
0
KINDERMORGAN INC DEL
*W EXP 05/25/201
49456B119
2599
610000
SH
SOLE
610000
0
0
LAJOLLA PHARMACEUTICAL CO
COM PAR 0.0001 2
503459604
33
1800
SH
SOLE
1800
0
0
MFSINTER INCOME TR
SH BEN INT
55273C107
154
32300
SH
SOLE
32300
0
0
MOLYCORPINC DEL
NOTE 0.06 36770
608753AF6
158
525000
SH
SOLE
525000
0
0
NATIONALWESTN LIFE INS CO
CL A
638522102
269
1000
SH
SOLE
1000
0
0
NUVEEN NJ DIV ADVANTAGE MUN
COM
67069Y102
263
19496
SH
SOLE
19496
0
0
NUVEEN PREMIER MUN INCOME FD
COM
670988104
84
6000
SH
SOLE
6000
0
0
PUTNAM MANAGED MUN INCOM TR
COM
746823103
18
2500
SH
SOLE
2500
0
0
PUTNAM MUN OPPORTUNITIES TR
SH BEN INT
746922103
962
80231
SH
SOLE
80231
0
0
SOLAZYME INC
NOTE 5.000%10/0
83415TAC5
443
970000
SH
SOLE
970000
0
0
SUN TRUST BKS INC
*W EXP 11/14/201
867914111
189
31500
SH
SOLE
31500
0
0
TCW STRATEGIC INCOME FUND IN
COM
872340104
411
76222
SH
SOLE
76222
0
0
VALLEY NATL BANCORP
*W EXP 11/14/201
919794131
27
101071
SH
SOLE
101071
0
0
WELLS FARGO & CO NEW
*W EXP 10/28/201
949746119
34
1600
SH
SOLE
1600
0
0
WHITE MTNS INS GROUP LTD
COM
G9618E107
567
900
SH
SOLE
900
0
0
WILEY JOHN & SONS INC
CL B
968223305
130
2200
SH
SOLE
2200
0
0
ZIONS BANCORPORATION
*W EXP 11/14/201
989701131
601
210906
SH
SOLE
210906
0
0
BANK AMER CORP
*W EXP 10/28/201
060505153
1604
2250905
SH
SOLE
2250905
0
0
BANCO BRADESCO S A SP
ADR PFD
059460303
8
605
SH
SOLE
605
0
0
CALIFORNIA RES CORP
COM
13057Q107
0
22
SH
SOLE
22
0
0
AVID TECHNOLOGY INC
COM
05367P100
3
200
SH
SOLE
200
0
0
HALYARD HEALTH INC
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