DENVER / Beer Tampa / Irvine / RIDGMAR BARRINGTON / SAN FRANCISCO / SEATTLE / DALLAS / LISLE / HUNTSVILLE / Registered Southfield / HAUPPAUGE / DOWNERS GROVE / WAVERLY / SAN ANTONIO / CHIGACO / Exchange Minnetonka / AUSTIN / BOSTON / NEW YORK / MADISON / WHEATON / Salt Lake City / REDWOOD CITY / PARSIPPANY / LAKEWOOD / Nashville / CLASS CINCINNATI / FOSTER CITY / San Diego / MILWAUKEE / Minnetonka / ADVISED MILWAUKEE / CHICAGO / NORCROSS / SCHERTZ / Registered Sarasota / /
Company
TX RARE EARTH RESOURCES SIERRA BIANCA CORP / Filed ECHOMETRIX LLC / CREDIT SUISSE CORPORATE CREDIT SOLUTIONS INC / Filed COSKATA INC / RP LEGENDS PLACE LP / Men & Women Inc. / Registered Fresh Healthy Vending LLC / THOMSON REUTERS VENTURE CAPITAL FUND CLASS A NEW YORK / STONE HARBOR INVESTMENT FUNDS STONE HARBOR EMERGING / ROCKET FUEL INC / Registered HIGHLAND FUNDS / Location Date Received File Number Status INDUSTRY VENTURES / Registered Medex Patient Transport LLC / GREAT WEST FUNDS INC / Dent Doctor Qualicare of America Inc / SOLA FRANCHISE CORP / THOMSON REUTERS / Received File Number Status Wheel Repair Solutions International Inc. / Received File Number Status Garage Force International Inc. / Gauze Franchise Inc. / City Franchising LLC / Registered NTY Kids LLC / KEYTONE INSIGHTS INC / Securities Division Firm Name FANTEX INC / BAILARD REAL ESTATE INVESTMENT TR INC / Registered Fitwall Studio Systems / TECH MEDICAL INC / Gauze Dent Doctor Inc. / LP TIDAL PETROLEUM INC / LINE X FRANCHISING LLC / Beer Franchising Inc. / NUVEEN / WAVERLY HOTEL GROUP LLC / Registered AlphaGraphics Inc. / Registered NORTHERN / DFI’s Securities / INVESCO / Location Date Received File Number Status HIGHLAND FUNDS / MORNINGSTAR / Registered Great Play Franchising LLC / Filed BOUQS CO / Registered Goliathtech Inc / DFA INVESTMENT DIMENSIONS GROUP INC / WELL JOINT VENTURE 2X CONSUMER PRODUCTS GROWTH PARTNERS / AI UNION CITY GA LLC / /
Country
United States / COLUMBIA / /
Facility
Garage Force Onalaska / Pending-Cleared MONUMENT / /
Organization
ALLIANCEBERNSTEIN CAP FUND INC ALLIANCEBERNSTEIN LONG SHORT MULTI MANAGER FUND / STARTUP FUND / MUTUAL FUND TR EBS INCOME FUND CINCINNATI / REAL ESTATE LONG SHORT CA FUND / EBS INCOME & APPRECIATION FUND CINCINNATI / /
Person
MARINA DL REY / /
Position
ADVISOR / WST INVESTMENT TR WST ASSET MANAGER US BOND FUND INVESTOR CLASS CINCINNATI / Registered ADVISORS / /
Product
UNIT TR SERIES 1484 FINANCIAL INSTITUTIONS PORTFOLIO 2014 4 / UNIT TR SERIES 1484 REIT INCOME PORTFOLIO 2014 4 / UNIT TR MUNICIPAL SERIES 1214 / /
All Securities Law, Franchise Law, and Take-Over Law Filings for[removed]through[removed]Securities Law Registration Filings Made with DFI’s Securities Division Firm Name FANTEX INC