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Summary Subscriber Trading Eligibility Subscriber Trading Eligible Date Physical Address of Subscriber: Bureau Decision Rendered ABEL/NOSER CORP

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Subscriber and/or Service Summary Subscriber Trading Eligibility Subscriber Trading Eligible Date Physical Address of Subscriber: Bureau Decision Rendered ABEL/NOSER CORP. 1 - Subscriber Fully Eligible 5-Aug-14 30-Oct-13 1 Battery Park Plaza (24 Whitehall Street), 6th Floor, New York, NY, 10004-1405 AEGIS CAPITAL CORP 1 - Subscriber Fully Eligible 8-Jan-14 8-Jan-14 810 7th Avenue, 18th Floor, New York, NY, 10019 APB FINANCIAL GROUP, LLC 1 - Subscriber Fully Eligible 11-Apr-14 10-Apr-14 17 State St. Suite 1650, New York, NYC, 10004 AXIOM CAPITAL MANAGEMENT, INC. 1 - Subscriber Fully Eligible 31-Oct-13 7-Oct-13 780 Third Ave., 43rd Floor, New York, NY 10017 B. RILEY AND CO., LLC 1 - Subscriber Fully Eligible 1-Aug-14 18-Oct-13 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025 BARCLAYS CAPITAL INC 1 - Subscriber Fully Eligible 23-Oct-13 23-Oct-13 745 7th Ave, 27th Floor, New York, NY 10019 BLOOMBERG TRADEBOOK LLC 1 - Subscriber Fully Eligible 8-Jan-14 2-Dec-13 731 Lexington Avenue, New York, NY, 10022 BMO CAPITAL MARKETS CORP. 1 - Subscriber Fully Eligible 25-Feb-14 25-Feb-14 3 Times Sq, 27th Floor, New York, NY 10036 BREAN CAPITAL, LLC 1 - Subscriber Fully Eligible 11-Feb-15 6-Feb-15 1345 Avenue of the Americas, New York, NY, 10105 BTIG, LLC 1 - Subscriber Fully Eligible 22-Nov-13 30-Sep-13 600 Montgomery St, 6th Floor, San Francisco, CA, 94111 CANTOR FITZGERALD & CO 1 - Subscriber Fully Eligible 20-Nov-14 19-Nov-14 110 East 59th Street, 5th Floor, New York, NY, 10022 CHIMERA SECURITIES, LLC 1 - Subscriber Fully Eligible 19-Nov-14 28-Oct-14 27 Union Square West, 4th Flr, New York, NY, 10003 CITIGROUP GLOBAL MARKETS INC. 1 - Subscriber Fully Eligible 4-Apr-14 4-Apr-14 390 Greenwich Street, New York, NYC, 10013-2396 CJS SECURITIES, INC. 1 - Subscriber Fully Eligible 5-May-15 30-Apr-15 50 Main Street, Suite 325, White Plains, NY, 10606 CLEARPOOL EXECUTION SERVICES, 1 - Subscriber Fully Eligible 23-Jun-15 20-May-15 17 State Street Suite 3801 New York NY LLC 10004 CLSA AMERICAS, LLC 1 - Subscriber Fully Eligible 11-Sep-13 11-Sep-13 1301 Avenue of the Americas, 15th Floor, New York, NY, 10019 CONVERGEX EXECUTION 1 - Subscriber Fully Eligible 28-Oct-13 7-Oct-13 1633 Broadway, 48th Floor, New York, NY SOLUTIONS 10019 CORNERSTONE MACRO, LLC 1 - Subscriber Fully Eligible 2-Apr-15 16-Mar-15 650 Fifth Avenue, 21st Floor New York NY 10019 COWEN AND COMPANY, LLC 1 - Subscriber Fully Eligible 10-Oct-13 20-Sep-13 599 Lexington Avenue, New York, NY, 10022 CREDIT SUISSE SECURITIES (USA) 1 - Subscriber Fully Eligible 4-Nov-13 18-Oct-13 11 Madison Avenue, New York, NY, 10010 LLC CUTTONE & COMPANY, INC. 1 - Subscriber Fully Eligible 8-Apr-15 26-Mar-15 111 Broadway Suite 1002 New York New York 10006 DASH FINANCIAL LLC 1 - Subscriber Fully Eligible 24-Oct-14 1-Aug-14 910 W. Van Buren St., 4th Floor, Chicago, IL, 60607 DEMATTEO MONNESS LLC 1 - Subscriber Fully Eligible 4-Dec-13 2-Dec-13 780 Third Avenue, 45th Floor, New York, NY, 10017 DEUTSCHE BANK SECURITIES INC. 1 - Subscriber Fully Eligible 5-Nov-13 23-Oct-13 60 Wall St, New York, NY, 10005 DIVINE CAPITAL MARKETS 1 - Subscriber Fully Eligible 3-Sep-14 25-Aug-14 39 Broadway, 36th Floor, New York, NY, 10006 FIRST ANALYSIS SECURITIES 1 - Subscriber Fully Eligible 29-May-15 12-May-15 1 South Wacker Drive Suite 3900 Chicago CORPORATION IL 60606 GOLDMAN, SACHS & CO. 1 - Subscriber Fully Eligible 5-Dec-13 5-Dec-13 200 West Street, New York, NY, 10282 GREAT PACIFIC SECURITIES 3 - Subscriber Approved (Not Certified) 14-Oct-13 151 Kalmus Drive, Suite H8, Costa Mesa, CA 92626 GREAT POINT CAPITAL LLC 1 - Subscriber Fully Eligible 26-Jan-15 25-Apr-14 175 West Jackson Boulevard, Suite 1450, Chicago, IL, 60604 GREEN STREET ADVISORS, INC. 1 - Subscriber Fully Eligible 15-Sep-14 11-Sep-14 660 Newport Center Drive, #800, Newport Beach, CA, 92660 GTS SECURITIES LLC 1 - Subscriber Fully Eligible 15-Apr-14 15-Apr-14 545 Madison Avenue, 15th Floor, New York, NY, 10022 GUZMAN & COMPANY 1 - Subscriber Fully Eligible 31-Jul-14 31-Jul-14 101 Aragon Avenue, Coral Gables, FL, 33134 GUZMAN & COMPANY 1 - Subscriber Fully Eligible 31-Jul-14 31-Jul-14 101 Aragon Avenue, Coral Gables, FL, 33134 IMC CHICAGO, LLC 1 - Subscriber Fully Eligible 27-Oct-14 11-Aug-14 233 C. Wacker Drive, #4300, Chicago, IL, 60606 INSTINET, LLC 1 - Subscriber Fully Eligible 2-Oct-13 20-Sep-13 1095 Avenue of the Americas, New York, NY, 10036 INTERACTIVE BROKERS LLC 1 - Subscriber Fully Eligible 8-Apr-14 2-Apr-14 2 Pickwick Plaza, Greenwich, CT, 06830 INTERNATIONAL STRATEGY & 1 - Subscriber Fully Eligible 18-Oct-13 18-Oct-13 666 Fifth Avenue, 11th Floor, New York, INVESTMENT GROUP INC. NY, 10103 ITAU BBA USA SECURITIES INC. 1 - Subscriber Fully Eligible 25-Jul-14 21-Jul-14 767 Fifth Avenue, 50th Floor, New York, NY, 10153 ITG INC. 1 - Subscriber Fully Eligible 9-Oct-13 30-Sep-13 One Liberty Plaza, 165 Broadway, New York, NY, 10006 J.P. MORGAN SECURITIES LLC 1 - Subscriber Fully Eligible 23-Oct-13 15-Oct-13 383 Madison Avenue, New York, NY, 10179 JANNY MONTGOMERY SCOTT, LLC 3 - Subscriber Approved (Not Certified) 10-Jun-14 1717 Arch Street, Philadelphia, PA, 19103 JEFFERIES EXECUTION SERVICES, 1 - Subscriber Fully Eligible 14-Oct-13 14-Oct-13 520 Madison Avenue, Equities, 11th Floor, INC. New York, NY, 10022 JMP SECURITIES LLC 1 - Subscriber Fully Eligible 24-Oct-13 24-Oct-13 600 Montgomery, Suite 600, San Francisco, CA, 94111 JOHNSON RICE & COMPANY, LLC 1 - Subscriber Fully Eligible 18-Mar-15 11-Mar-15 639 Loyola Avenue, Suite 2775 New Orleans LA 70113 JONESTRADING INSITUTIONAL 1 - Subscriber Fully Eligible 24-Oct-13 24-Oct-13 32133 Lindero Canyon Road, Suite 208, SERVICES LLC Westlake Village, CA, 91361 KEEFE, BRUYETTE & WOODS, INC. 1 - Subscriber Fully Eligible 22-Apr-14 22-Apr-14 The Equitable Building, 787 Seventh Avenue, 4th Floor, New York, NY, 10019 KNIGHT CAPITAL AMERICAS LLC 1 - Subscriber Fully Eligible 31-Oct-13 31-Oct-13 545 Washington Blvd. #3, 3rd Floor, Jersey City, NJ, 07310 LEK SECURITIES CORPORATION 1 - Subscriber Fully Eligible 4-Dec-13 15-Nov-13 165 Broadway/One Liberty Plaza, Floor 52, New York, NY, 10006 LIGHTSPEED TRADING, LLC 1 - Subscriber Fully Eligible 2-Oct-14 9-Jun-14 1001 6th Avenue, 16th Floor, New York, NY, 10018 M. S. HOWELLS & CO. 3 - Subscriber Approved (Not Certified) 21-Jul-14 20555 N. Pima Road, Scottsdale, AZ 85255 MACQUARIE CAPITAL (USA) INC. 1 - Subscriber Fully Eligible 21-Apr-14 10-Apr-14 125 W 55th St, New York, NY, 10019 MERIDIAN EQUITY PARTNERS INC. 1 - Subscriber Fully Eligible 6-Aug-14 30-Jul-14 40 Wall Street, 17th Floor, New York, NY, 10005 MERRILL LYNCH, PIERCE, FENNER & 1 - Subscriber Fully Eligible 20-Feb-14 20-Feb-14 1 Bryant Park, New York, NY, 10036 SMITH INCORPORATED MISCHLER FINANCIAL GROUP, INC. 1 - Subscriber Fully Eligible 6-Oct-14 26-Sep-14 1111 Bayside Drive, Suite 100, Corona del Mar, CA, 92625 MKM PARTNERS LLC 1 - Subscriber Fully Eligible 18-Oct-13 18-Oct-13 300 First Stamford Place, Stamford, CT, 06902 MORGAN STANLEY & CO. LLC 1 - Subscriber Fully Eligible 11-Oct-13 11-Oct-13 1585 Broadway, New York, NY, 10036 NATIONAL FINANCIAL SERVICES LLC 1 - Subscriber Fully Eligible 24-Oct-13 24-Oct-13 200 Seaport Boulevard, Boston, MA, 02210 NEEDHAM & COMPANY, LLC 1 - Subscriber Fully Eligible 11-Nov-13 11-Nov-13 445 Park Ave, New York, NY, 10022 NORTHERN TRUST SECURITIES, INC. 1 - Subscriber Fully Eligible 30-Jul-14 10-Apr-14 50 LaSalle Street, Chicago, Illinois, 60603 NORTHLAND SECURITIES, INC 1 - Subscriber Fully Eligible 13-Apr-15 25-Mar-15 45 South 7th Street Suite 200, Minneapolis, MN 55402 OLIVETREE FINANCIAL, LLC 1 - Subscriber Fully Eligible 15-Dec-15 14-Dec-15 254 W. 54th Street 17th Floor New York NY 10019 PIPER JAFFRAY & CO. 1 - Subscriber Fully Eligible 10-Apr-14 10-Apr-14 800 Nicollet Mall, Suite 100, Minneapolis, MN 55402 RAYMOND JAMES & ASSOCIATES, 1 - Subscriber Fully Eligible 19-May-14 19-May-14 880 Carillon Parkway, St. Petersburg, INC. Florida, 33716 RBC CAPITAL MARKETS, LLC 1 - Subscriber Fully Eligible 30-Sep-13 30-Sep-13 3 World Trade Center, 200 Vesey St., 8th Floor, New York, NY 10281 REDBURN (USA) LLC 1 - Subscriber Fully Eligible 8-Jul-14 3-Jul-14 565 5th Avenue, 26th Floor, New York, NY, 10017 ROBERT W. BAIRD & CO. 1 - Subscriber Fully Eligible 21-Apr-14 21-Apr-14 777 E Wisconsin Ave Milwaukee, WI 53202 INCORPORATED ROSENBLATT SECURITIES INC. 1 - Subscriber Fully Eligible 18-Oct-13 15-Oct-13 20 Broad Street, 26th Floor, New York, NY, 10005 RUSSELL IMPLEMENTATION 1 - Subscriber Fully Eligible 5-Mar-15 22-Sep-14 1301 2nd Avenue, 18th Floor, Seattle, WA, SERVICES INC 98101 SANFORD C. BERNSTEIN & CO., LLC 1 - Subscriber Fully Eligible 20-Sep-13 20-Sep-13 1345 Avenue of Americas, New York, NY, 10105 SCARSDALE EQUITIES LLC 1 - Subscriber Fully Eligible 23-Jul-14 21-Jul-14 10 Rockefeller Plaza, Suite 720, New York, NY, 10020 SG AMERICAS SECURITIES, LLC 1 - Subscriber Fully Eligible 13-Nov-13 31-Oct-13 245 Park Ave, New York, NY, 10167 SOUTHWEST SECURITIES INC. 1 - Subscriber Fully Eligible 5-Dec-14 2-Dec-14 1201 Elm Street, Suite 3500, Dallas, Texas, 75270 SPEEDROUTE LLC 1 - Subscriber Fully Eligible 5-May-14 10-Apr-14 30 Broad Street, 22nd Floor, New York, NY, 10005 STERNE, AGEE & LEACH, INC.
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    Case 1:18-cv-05036 Document 1 Filed 09/05/18 Page 1 of 55 PageID #: 1 Joanna A. Diakos K&L Gates LLP 599 Lexington Avenue New York, NY 10022 Phone: (212) 536-3900 Fax: (212) 536-3901 Email: [email protected] Tigran Guledjian, Cal. Bar # 207613, pro hac vice pending E-mail: [email protected] Richard H. Doss, Cal. Bar # 204078, pro hac vice pending E-mail: [email protected] Quinn Emanuel Urquhart & Sullivan, LLP 865 South Figueroa Street, 10th Floor Los Angeles, CA 90017 Tel.: (213) 443-3000 Fax: (213) 443-3100 Attorneys for Plaintiffs Seiko Epson Corporation, Epson America, Inc., and Epson Portland Inc. UNITED STATES DISTRICT COURT EASTERN DISTRICT OF NEW YORK SEIKO EPSON CORPORATION, a Japan corporation; EPSON AMERICA, Case No. 18-cv-5036 INC., a California corporation; and EPSON PORTLAND INC., an Oregon corporation, Plaintiffs, COMPLAINT FOR: PATENT INFRINGEMENT v. DEMAND FOR JURY TRIAL FTRADE INC., a New York corporation, d/b/a Valuetoner; GPC TRADING CO., LIMITED, A Hong Kong, China company d/b/a GPC Image; and WEI FENG LI, an individual, d/b/a Valuetone, LxTek, Uniwork, wel-image, and e-jet, Defendants. PAGE 1 – COMPLAINT Case 1:18-cv-05036 Document 1 Filed 09/05/18 Page 2 of 55 PageID #: 2 Plaintiffs Seiko Epson Corporation, Epson America, Inc., and Epson Portland Inc., (collectively, "Epson"), for their Complaint herein, allege as follows: NATURE OF THE ACTION 1. This is an action for patent infringement of United States Patent No. 6,502,917 ("the '917 patent"), United States Patent No.
  • Nasp-New York Board

    Nasp-New York Board

    2018 ELECTION RESULTS NASP-NEW YORK CHAPTER BOARD OF DIRECTORS President Joseph Haslip Arthur McClearin Clarence G. Williams Managing Director Principal Managing Director The Silverfern Group The Williams Capital Group, LP Semper Capital Management, L.P. 599 Lexington Avenue, 47th Fl. 650 5th Avenue, 10th Floor 52 Vanderbilt Avenue, Suite 401 New York, NY 10022 New York, NY 10019 New York, NY 10017 212-209-8866 212-830-4509 (914) 954-8823 [email protected] [email protected] [email protected] [email protected] Michael Nairne Vice President Arthur A. Hidalgo Director Liz Smith Managing Member Chicago Equity Partners, LLC Senior Managing Director Carpenter & Company 233 Broadway, Ste. 704 Institutional Investments 5 Park Plaza, Suite 950 New York, NY 10279 AllianceBernstein Irvine, CA 92614-8527 646-542-4633 1345 Avenue of the Americas 714-336-1339 [email protected] New York, NY 10021 [email protected] 212-969-1168 Rita Sallis 917-991-0739 Noelle-Claire LeCann Asset Manager [email protected] President Municipal Securities [email protected] AlphaSource Advisors Rulemaking Board 32 East 57th Street, 12th Fl. (973) 687-8320 New York, NY 10022 [email protected] 212-308-4500 Board Members [email protected] Lee B. Stephens Executive Vice President Dyice Ellis-Beckham Doug Lawrence BNY Mellon Managing Director, Public Funds Managing Principal, Asset 225 Liberty Street Invesco Management New York, NY 1166 Avenue of the Americas 5 Stone Green Capital LLC (212) 635-8130 New York, NY 10036 208 East 51st Street, Suite 312 [email protected] (212) 278-9108 New York, NY 10022 [email protected] (917) 523-2004 [email protected]; [email protected] Michele Chow-Tai (use .net for calendar notices) Dir.