The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
ABBOTT LABS | COM | 002824100 | 49 | 853 | SH | DFND | 1 | 0 | 853 | 0 | |
ABBOTT LABS | COM | 002824100 | 220 | 3,853 | SH | DFND | 0 | 0 | 3,853 | ||
ACACIA RESH CORP | ACACIA TCH COM | 003881307 | 851 | 210,000 | SH | DFND | 1 | 0 | 210,000 | 0 | |
ACADIA PHARMACEUTICALS INC | COM | 004225108 | 602 | 20,000 | SH | Put | DFND | 1 | 0 | 20,000 | 0 |
AKORN INC | COM | 009728106 | 483 | 15,000 | SH | DFND | 0 | 15,000 | 0 | ||
AMAZON COM INC | COM | 023135106 | 117 | 100 | SH | DFND | 1 | 0 | 100 | 0 | |
AMAZON COM INC | COM | 023135106 | 1,682 | 1,438 | SH | DFND | 0 | 0 | 1,438 | ||
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 729 | 44,973 | SH | DFND | 1 | 0 | 44,973 | 0 | |
APOLLO TACTICAL INCOME FD IN | COM | 037638103 | 383 | 24,333 | SH | DFND | 1 | 0 | 24,333 | 0 | |
APPLE INC | COM | 037833100 | 585 | 3,456 | SH | DFND | 0 | 0 | 3,456 | ||
APPLE INC | COM | 037833100 | 1,724 | 10,186 | SH | DFND | 1 | 0 | 10,186 | 0 | |
BRT APARTMENTS CORP | COM | 055645303 | 1,033 | 87,631 | SH | DFND | 1 | 0 | 87,631 | 0 | |
BAIDU INC | SPON ADR REP A | 056752108 | 253 | 1,080 | SH | DFND | 0 | 0 | 1,080 | ||
BERKSHIRE HATHAWAY INC DEL | CL A | 084670108 | 298 | 1 | SH | DFND | 1 | 0 | 1 | 0 | |
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 175 | 885 | SH | DFND | 0 | 0 | 885 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 555 | 2,800 | SH | DFND | 1 | 0 | 2,800 | 0 | |
BOEING CO | COM | 097023105 | 18 | 60 | SH | DFND | 1 | 0 | 60 | 0 | |
BOEING CO | COM | 097023105 | 425 | 1,441 | SH | DFND | 0 | 0 | 1,441 | ||
BROOKFIELD REAL ASSETS INCOM | SHS BEN INT | 112830104 | 256 | 10,938 | SH | DFND | 1 | 0 | 10,938 | 0 | |
CARBONITE INC | COM | 141337105 | 1,084 | 43,194 | SH | DFND | 1 | 0 | 43,194 | 0 | |
CATERPILLAR INC DEL | COM | 149123101 | 387 | 2,459 | SH | DFND | 0 | 0 | 2,459 | ||
CHEVRON CORP NEW | COM | 166764100 | 66 | 526 | SH | DFND | 1 | 0 | 526 | 0 | |
CHEVRON CORP NEW | COM | 166764100 | 396 | 3,166 | SH | DFND | 0 | 0 | 3,166 | ||
CLOROX CO DEL | COM | 189054109 | 219 | 1,474 | SH | DFND | 0 | 0 | 1,474 | ||
COCA COLA CO | COM | 191216100 | 18 | 400 | SH | DFND | 1 | 0 | 400 | 0 | |
COCA COLA CO | COM | 191216100 | 226 | 4,919 | SH | DFND | 0 | 0 | 4,919 | ||
CUMMINS INC | COM | 231021106 | 307 | 1,738 | SH | DFND | 0 | 0 | 1,738 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 146 | 1,359 | SH | DFND | 0 | 0 | 1,359 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 247 | 2,298 | SH | DFND | 1 | 0 | 2,298 | 0 | |
DOUBLELINE INCOME SOLUTIONS | COM | 258622109 | 19 | 930 | SH | DFND | 0 | 0 | 930 | ||
DOUBLELINE INCOME SOLUTIONS | COM | 258622109 | 1,596 | 79,046 | SH | DFND | 1 | 0 | 79,046 | 0 | |
ECOLAB INC | COM | 278865100 | 1,342 | 10,000 | SH | Put | DFND | 1 | 0 | 10,000 | 0 |
EMERSON ELEC CO | COM | 291011104 | 222 | 3,183 | SH | DFND | 0 | 0 | 3,183 | ||
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 38 | 1,416 | SH | DFND | 1 | 0 | 1,416 | 0 | |
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 357 | 13,450 | SH | DFND | 0 | 0 | 13,450 | ||
FIRST TR MORNINGSTAR DIV LEA | SHS | 336917109 | 1,115 | 37,065 | SH | DFND | 0 | 0 | 37,065 | ||
FORD MTR CO DEL | COM PAR $0.01 | 345370860 | 139 | 11,119 | SH | DFND | 0 | 0 | 11,119 | ||
GARRISON CAP INC | COM | 366554103 | 27 | 3,300 | SH | DFND | 0 | 0 | 3,300 | ||
GARRISON CAP INC | COM | 366554103 | 450 | 55,435 | SH | DFND | 1 | 0 | 55,435 | 0 | |
GENERAL ELECTRIC CO | COM | 369604103 | 76 | 4,366 | SH | DFND | 1 | 0 | 4,366 | 0 | |
GENERAL ELECTRIC CO | COM | 369604103 | 163 | 9,350 | SH | DFND | 0 | 0 | 9,350 | ||
GORES HLDGS II INC | COM CL A | 382867109 | 1,491 | 150,000 | SH | DFND | 1 | 0 | 150,000 | 0 | |
GORES HLDGS II INC | *W EXP 03/06/202 | 382867117 | 69 | 50,000 | SH | DFND | 1 | 0 | 50,000 | 0 | |
GROUPON INC | COM | 399473107 | 907 | 177,879 | SH | DFND | 1 | 0 | 177,879 | 0 | |
HC2 HLDGS INC | COM | 404139107 | 151 | 25,302 | SH | DFND | 0 | 25,302 | 0 | ||
HC2 HLDGS INC | COM | 404139107 | 7,304 | 1,227,601 | SH | DFND | 1 | 0 | 1,227,601 | 0 | |
HENRY JACK & ASSOC INC | COM | 426281101 | 473 | 4,041 | SH | DFND | 0 | 0 | 4,041 | ||
HEXCEL CORP NEW | COM | 428291108 | 1,856 | 30,000 | SH | Call | DFND | 1 | 0 | 30,000 | 0 |
HOME DEPOT INC | COM | 437076102 | 217 | 1,145 | SH | DFND | 0 | 0 | 1,145 | ||
HOME DEPOT INC | COM | 437076102 | 258 | 1,360 | SH | DFND | 1 | 0 | 1,360 | 0 | |
HORMEL FOODS CORP | COM | 440452100 | 415 | 11,411 | SH | DFND | 0 | 0 | 11,411 | ||
ILLINOIS TOOL WKS INC | COM | 452308109 | 600 | 3,596 | SH | DFND | 0 | 0 | 3,596 | ||
IMMERSION CORP | COM | 452521107 | 353 | 50,000 | SH | DFND | 0 | 50,000 | 0 | ||
IMMERSION CORP | COM | 452521107 | 494 | 70,000 | SH | DFND | 1 | 0 | 70,000 | 0 | |
INTEL CORP | COM | 458140100 | 18 | 400 | SH | DFND | 1 | 0 | 400 | 0 | |
INTEL CORP | COM | 458140100 | 250 | 5,413 | SH | DFND | 0 | 0 | 5,413 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 276 | 1,799 | SH | DFND | 0 | 0 | 1,799 | ||
ISHARES INC | MSCI BRAZIL ETF | 464286400 | 12 | 300 | SH | DFND | 0 | 0 | 300 | ||
ISHARES INC | MSCI BRAZIL ETF | 464286400 | 309 | 7,640 | SH | DFND | 1 | 0 | 7,640 | 0 | |
ISHARES INC | MIN VOL GBL ETF | 464286525 | 1,225 | 14,523 | SH | DFND | 1 | 0 | 14,523 | 0 | |
ISHARES TR | SELECT DIVID ETF | 464287168 | 1,053 | 10,685 | SH | DFND | 1 | 0 | 10,685 | 0 | |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 364 | 7,724 | SH | DFND | 0 | 0 | 7,724 | ||
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 397 | 8,427 | SH | DFND | 1 | 0 | 8,427 | 0 | |
ISHARES TR | IBOXX INV CP ETF | 464287242 | 1,225 | 10,075 | SH | DFND | 1 | 0 | 10,075 | 0 | |
ISHARES TR | S&P 500 GRWT ETF | 464287309 | 1,007 | 6,591 | SH | DFND | 0 | 0 | 6,591 | ||
ISHARES TR | LATN AMER 40 ETF | 464287390 | 105 | 3,070 | SH | DFND | 0 | 0 | 3,070 | ||
ISHARES TR | LATN AMER 40 ETF | 464287390 | 233 | 6,812 | SH | DFND | 1 | 0 | 6,812 | 0 | |
ISHARES TR | MSCI EAFE ETF | 464287465 | 1,085 | 15,427 | SH | DFND | 0 | 0 | 15,427 | ||
ISHARES TR | MSCI EAFE ETF | 464287465 | 1,502 | 21,364 | SH | DFND | 1 | 0 | 21,364 | 0 | |
ISHARES TR | RUS MDCP VAL ETF | 464287473 | 62 | 693 | SH | DFND | 1 | 0 | 693 | 0 | |
ISHARES TR | RUS MDCP VAL ETF | 464287473 | 422 | 4,728 | SH | DFND | 0 | 0 | 4,728 | ||
ISHARES TR | RUS MD CP GR ETF | 464287481 | 70 | 581 | SH | DFND | 1 | 0 | 581 | 0 | |
ISHARES TR | RUS MD CP GR ETF | 464287481 | 455 | 3,772 | SH | DFND | 0 | 0 | 3,772 | ||
ISHARES TR | RUS MID CAP ETF | 464287499 | 177 | 853 | SH | DFND | 0 | 0 | 853 | ||
ISHARES TR | RUS MID CAP ETF | 464287499 | 3,630 | 17,443 | SH | DFND | 1 | 0 | 17,443 | 0 | |
ISHARES TR | CORE S&P MCP ETF | 464287507 | 146 | 768 | SH | DFND | 0 | 0 | 768 | ||
ISHARES TR | CORE S&P MCP ETF | 464287507 | 496 | 2,616 | SH | DFND | 1 | 0 | 2,616 | 0 | |
ISHARES TR | NASDAQ BIOTECH | 464287556 | 27 | 249 | SH | DFND | 0 | 0 | 249 | ||
ISHARES TR | NASDAQ BIOTECH | 464287556 | 679 | 6,357 | SH | DFND | 1 | 0 | 6,357 | 0 | |
ISHARES TR | S&P MC 400GR ETF | 464287606 | 13 | 61 | SH | DFND | 1 | 0 | 61 | 0 | |
ISHARES TR | S&P MC 400GR ETF | 464287606 | 240 | 1,111 | SH | DFND | 0 | 0 | 1,111 | ||
ISHARES TR | RUS 1000 GRW ETF | 464287614 | 277 | 2,057 | SH | DFND | 1 | 0 | 2,057 | 0 | |
ISHARES TR | RUS 2000 GRW ETF | 464287648 | 451 | 2,416 | SH | DFND | 1 | 0 | 2,416 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 16,771 | 110,000 | SH | Put | DFND | 1 | 0 | 110,000 | 0 |
ISHARES TR | U.S. REAL ES ETF | 464287739 | 204 | 2,524 | SH | DFND | 1 | 0 | 2,524 | 0 | |
ISHARES TR | CORE S&P SCP ETF | 464287804 | 263 | 3,422 | SH | DFND | 1 | 0 | 3,422 | 0 | |
ISHARES TR | CORE S&P SCP ETF | 464287804 | 596 | 7,755 | SH | DFND | 0 | 0 | 7,755 | ||
ISHARES TR | SP SMCP600VL ETF | 464287879 | 402 | 2,615 | SH | DFND | 0 | 0 | 2,615 | ||
ISHARES TR | S&P SML 600 GWT | 464287887 | 767 | 4,509 | SH | DFND | 0 | 0 | 4,509 | ||
ISHARES TR | MSCI ACWI EX US | 464288240 | 573 | 11,474 | SH | DFND | 1 | 0 | 11,474 | 0 | |
ISHARES TR | EAFE SML CP ETF | 464288273 | 3 | 46 | SH | DFND | 1 | 0 | 46 | 0 | |
ISHARES TR | EAFE SML CP ETF | 464288273 | 289 | 4,482 | SH | DFND | 0 | 0 | 4,482 | ||
ISHARES TR | JPMORGAN USD EMG | 464288281 | 241 | 2,077 | SH | DFND | 0 | 0 | 2,077 | ||
ISHARES TR | JPMORGAN USD EMG | 464288281 | 1,232 | 10,610 | SH | DFND | 1 | 0 | 10,610 | 0 | |
ISHARES TR | NEW YORK MUN ETF | 464288323 | 1,625 | 29,132 | SH | DFND | 1 | 0 | 29,132 | 0 | |
ISHARES TR | CALIF MUN BD ETF | 464288356 | 377 | 6,382 | SH | DFND | 1 | 0 | 6,382 | 0 | |
ISHARES TR | NATIONAL MUN ETF | 464288414 | 1,119 | 10,108 | SH | DFND | 1 | 0 | 10,108 | 0 | |
ISHARES TR | INTL SEL DIV ETF | 464288448 | 1,857 | 54,956 | SH | DFND | 1 | 0 | 54,956 | 0 | |
ISHARES TR | 1 3 YR CR BD ETF | 464288646 | 2,000 | 19,133 | SH | DFND | 1 | 0 | 19,133 | 0 | |
ISHARES TR | GLOBAL MATER ETF | 464288695 | 382 | 5,448 | SH | DFND | 1 | 0 | 5,448 | 0 | |
ISHARES TR | EAFE GRWTH ETF | 464288885 | 392 | 4,861 | SH | DFND | 0 | 0 | 4,861 | ||
ISHARES TR | MSCI EURO FL ETF | 464289180 | 233 | 10,010 | SH | DFND | 0 | 0 | 10,010 | ||
ISHARES TR | RUS TP200 GR ETF | 464289438 | 1,665 | 22,763 | SH | DFND | 0 | 0 | 22,763 | ||
ISHARES TR | INDIA 50 ETF | 464289529 | 71 | 1,902 | SH | DFND | 0 | 0 | 1,902 | ||
ISHARES TR | INDIA 50 ETF | 464289529 | 189 | 5,099 | SH | DFND | 1 | 0 | 5,099 | 0 | |
JOHNSON & JOHNSON | COM | 478160104 | 162 | 1,160 | SH | DFND | 1 | 0 | 1,160 | 0 | |
JOHNSON & JOHNSON | COM | 478160104 | 592 | 4,238 | SH | DFND | 0 | 0 | 4,238 | ||
KANDI TECHNOLOGIES GROUP INC | COM | 483709101 | 136 | 20,000 | SH | DFND | 1 | 0 | 20,000 | 0 | |
LINCOLN ELEC HLDGS INC | COM | 533900106 | 286 | 3,123 | SH | DFND | 0 | 0 | 3,123 | ||
LOCKHEED MARTIN CORP | COM | 539830109 | 746 | 2,323 | SH | DFND | 0 | 0 | 2,323 | ||
MATTERSIGHT CORP | COM | 577097108 | 191 | 75,000 | SH | DFND | 0 | 75,000 | 0 | ||
MCDONALDS CORP | COM | 580135101 | 208 | 1,210 | SH | DFND | 0 | 0 | 1,210 | ||
MICRO FOCUS INTERNATIONAL PL | SPON ADR NEW | 594837304 | 1 | 33 | SH | DFND | 0 | 0 | 33 | ||
MICRO FOCUS INTERNATIONAL PL | SPON ADR NEW | 594837304 | 255 | 7,595 | SH | DFND | 1 | 0 | 7,595 | 0 | |
MICROSOFT CORP | COM | 594918104 | 169 | 1,976 | SH | DFND | 0 | 0 | 1,976 | ||
MICROSOFT CORP | COM | 594918104 | 3,089 | 36,111 | SH | DFND | 1 | 0 | 36,111 | 0 | |
MIMEDX GROUP INC | COM | 602496101 | 344 | 27,300 | SH | DFND | 1 | 0 | 27,300 | 0 | |
MIMEDX GROUP INC | COM | 602496101 | 1,261 | 100,000 | SH | Put | DFND | 1 | 0 | 100,000 | 0 |
MONDELEZ INTL INC | CL A | 609207105 | 272 | 6,360 | SH | DFND | 0 | 0 | 6,360 | ||
NMI HLDGS INC | CL A | 629209305 | 1,447 | 85,095 | SH | DFND | 0 | 85,095 | 0 | ||
NEW MTN FIN CORP | COM | 647551100 | 407 | 30,000 | SH | DFND | 1 | 0 | 30,000 | 0 | |
NORTH AMERN ENERGY PARTNERS | COM | 656844107 | 466 | 94,058 | SH | DFND | 1 | 0 | 94,058 | 0 | |
NOVAVAX INC | COM | 670002104 | 13 | 10,500 | SH | DFND | 1 | 0 | 10,500 | 0 | |
NUVEEN MTG OPPORTUNITY TERM | COM | 670735109 | 232 | 9,383 | SH | DFND | 1 | 0 | 9,383 | 0 | |
ON SEMICONDUCTOR CORP | COM | 682189105 | 1,392 | 66,472 | SH | DFND | 1 | 0 | 66,472 | 0 | |
ONE LIBERTY PPTYS INC | COM | 682406103 | 592 | 22,849 | SH | DFND | 1 | 0 | 22,849 | 0 | |
OOMA INC | COM | 683416101 | 1,061 | 88,798 | SH | DFND | 1 | 0 | 88,798 | 0 | |
PENNANTPARK INVT CORP | COM | 708062104 | 2,797 | 404,820 | SH | DFND | 1 | 0 | 404,820 | 0 | |
PFIZER INC | COM | 717081103 | 195 | 5,390 | SH | DFND | 1 | 0 | 5,390 | 0 | |
PFIZER INC | COM | 717081103 | 424 | 11,694 | SH | DFND | 0 | 0 | 11,694 | ||
PROCTER AND GAMBLE CO | COM | 742718109 | 17 | 187 | SH | DFND | 1 | 0 | 187 | 0 | |
PROCTER AND GAMBLE CO | COM | 742718109 | 602 | 6,552 | SH | DFND | 0 | 0 | 6,552 | ||
RPM INTL INC | COM | 749685103 | 220 | 4,200 | SH | DFND | 0 | 0 | 4,200 | ||
RADISYS CORP | COM | 750459109 | 201 | 200,000 | SH | DFND | 0 | 200,000 | 0 | ||
RAYTHEON CO | COM NEW | 755111507 | 361 | 1,923 | SH | DFND | 0 | 0 | 1,923 | ||
REALTY INCOME CORP | COM | 756109104 | 9 | 150 | SH | DFND | 1 | 0 | 150 | 0 | |
REALTY INCOME CORP | COM | 756109104 | 407 | 7,132 | SH | DFND | 0 | 0 | 7,132 | ||
RED LION HOTELS CORP | COM | 756764106 | 1,167 | 118,483 | SH | DFND | 1 | 0 | 118,483 | 0 | |
RIGEL PHARMACEUTICALS INC | COM NEW | 766559603 | 685 | 176,500 | SH | DFND | 1 | 0 | 176,500 | 0 | |
ROYAL BK CDA MONTREAL QUE | COM | 780087102 | 3,878 | 47,500 | SH | Put | DFND | 1 | 0 | 47,500 | 0 |
S&W SEED CO | COM | 785135104 | 1,221 | 313,069 | SH | DFND | 1 | 0 | 313,069 | 0 | |
SHERWIN WILLIAMS CO | COM | 824348106 | 602 | 1,468 | SH | DFND | 0 | 0 | 1,468 | ||
SPIRIT AEROSYSTEMS HLDGS INC | COM CL A | 848574109 | 478 | 5,483 | SH | DFND | 0 | 0 | 5,483 | ||
SPLUNK INC | COM | 848637104 | 10 | 118 | SH | DFND | 0 | 0 | 118 | ||
SPLUNK INC | COM | 848637104 | 628 | 7,579 | SH | DFND | 1 | 0 | 7,579 | 0 | |
STAMPS COM INC | COM NEW | 852857200 | 56 | 300 | SH | DFND | 0 | 0 | 300 | ||
STAMPS COM INC | COM NEW | 852857200 | 1,189 | 6,322 | SH | DFND | 1 | 0 | 6,322 | 0 | |
STARBUCKS CORP | COM | 855244109 | 403 | 7,022 | SH | DFND | 0 | 0 | 7,022 | ||
THL CR INC | COM | 872438106 | 190 | 21,000 | SH | DFND | 1 | 0 | 21,000 | 0 | |
TELENAV INC | COM | 879455103 | 5,190 | 943,716 | SH | DFND | 1 | 0 | 943,716 | 0 | |
TIME WARNER INC | COM NEW | 887317303 | 24 | 260 | SH | DFND | 0 | 0 | 260 | ||
TIME WARNER INC | COM NEW | 887317303 | 119 | 1,300 | SH | DFND | 1 | 0 | 1,300 | 0 | |
TIME WARNER INC | COM NEW | 887317303 | 915 | 10,000 | SH | DFND | 0 | 10,000 | 0 | ||
TONIX PHARMACEUTICALS HLDG C | COM | 890260409 | 311 | 90,000 | SH | DFND | 1 | 0 | 90,000 | 0 | |
UNION PAC CORP | COM | 907818108 | 396 | 2,956 | SH | DFND | 0 | 0 | 2,956 | ||
VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 921908844 | 40 | 389 | SH | DFND | 0 | 0 | 389 | ||
VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 921908844 | 1,651 | 16,183 | SH | DFND | 1 | 0 | 16,183 | 0 | |
VANGUARD STAR FD | VG TL INTL STK F | 921909768 | 566 | 9,971 | SH | DFND | 1 | 0 | 9,971 | 0 | |
VANGUARD BD INDEX FD INC | LONG TERM BOND | 921937793 | 324 | 3,408 | SH | DFND | 0 | 0 | 3,408 | ||
VANGUARD BD INDEX FD INC | INTERMED TERM | 921937819 | 54 | 640 | SH | DFND | 1 | 0 | 640 | 0 | |
VANGUARD BD INDEX FD INC | INTERMED TERM | 921937819 | 1,090 | 12,998 | SH | DFND | 0 | 0 | 12,998 | ||
VANGUARD TAX MANAGED INTL FD | FTSE DEV MKT ETF | 921943858 | 115 | 2,553 | SH | DFND | 1 | 0 | 2,553 | 0 | |
VANGUARD TAX MANAGED INTL FD | FTSE DEV MKT ETF | 921943858 | 452 | 10,084 | SH | DFND | 0 | 0 | 10,084 | ||
VANGUARD MALVERN FDS | STRM INFPROIDX | 922020805 | 2,203 | 45,130 | SH | DFND | 1 | 0 | 45,130 | 0 | |
VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 922042775 | 396 | 7,244 | SH | DFND | 1 | 0 | 7,244 | 0 | |
VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 96 | 2,097 | SH | DFND | 0 | 0 | 2,097 | ||
VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 2,514 | 54,762 | SH | DFND | 1 | 0 | 54,762 | 0 | |
VANGUARD INTL EQUITY INDEX F | FTSE PACIFIC ETF | 922042866 | 675 | 9,264 | SH | DFND | 1 | 0 | 9,264 | 0 | |
VANGUARD INTL EQUITY INDEX F | FTSE EUROPE ETF | 922042874 | 57 | 968 | SH | DFND | 0 | 0 | 968 | ||
VANGUARD INTL EQUITY INDEX F | FTSE EUROPE ETF | 922042874 | 548 | 9,273 | SH | DFND | 1 | 0 | 9,273 | 0 | |
VANGUARD INDEX FDS | MCAP VL IDXVIP | 922908512 | 283 | 2,540 | SH | DFND | 0 | 0 | 2,540 | ||
VANGUARD INDEX FDS | REIT ETF | 922908553 | 282 | 3,401 | SH | DFND | 0 | 0 | 3,401 | ||
VANGUARD INDEX FDS | SML CP GRW ETF | 922908595 | 51 | 318 | SH | DFND | 1 | 0 | 318 | 0 | |
VANGUARD INDEX FDS | SML CP GRW ETF | 922908595 | 541 | 3,365 | SH | DFND | 0 | 0 | 3,365 | ||
VANGUARD INDEX FDS | SM CP VAL ETF | 922908611 | 486 | 3,663 | SH | DFND | 0 | 0 | 3,663 | ||
VANGUARD INDEX FDS | MID CAP ETF | 922908629 | 43 | 276 | SH | DFND | 0 | 0 | 276 | ||
VANGUARD INDEX FDS | MID CAP ETF | 922908629 | 3,738 | 24,148 | SH | DFND | 1 | 0 | 24,148 | 0 | |
VANGUARD INDEX FDS | LARGE CAP ETF | 922908637 | 235 | 1,919 | SH | DFND | 0 | 0 | 1,919 | ||
VANGUARD INDEX FDS | LARGE CAP ETF | 922908637 | 9,519 | 77,654 | SH | DFND | 1 | 0 | 77,654 | 0 | |
VANGUARD INDEX FDS | GROWTH ETF | 922908736 | 363 | 2,578 | SH | DFND | 1 | 0 | 2,578 | 0 | |
VANGUARD INDEX FDS | GROWTH ETF | 922908736 | 4,614 | 32,807 | SH | DFND | 0 | 0 | 32,807 | ||
VANGUARD INDEX FDS | VALUE ETF | 922908744 | 136 | 1,276 | SH | DFND | 1 | 0 | 1,276 | 0 | |
VANGUARD INDEX FDS | VALUE ETF | 922908744 | 5,303 | 49,873 | SH | DFND | 0 | 0 | 49,873 | ||
VANGUARD INDEX FDS | SMALL CP ETF | 922908751 | 65 | 439 | SH | DFND | 1 | 0 | 439 | 0 | |
VANGUARD INDEX FDS | SMALL CP ETF | 922908751 | 277 | 1,873 | SH | DFND | 0 | 0 | 1,873 | ||
VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 562 | 4,093 | SH | DFND | 0 | 0 | 4,093 | ||
VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 2,155 | 15,702 | SH | DFND | 1 | 0 | 15,702 | 0 | |
WAL-MART STORES INC | COM | 931142103 | 504 | 5,104 | SH | DFND | 0 | 0 | 5,104 | ||
FIRST TR EXCHANGE-TRADED FD | PFD SECS INC ETF | 33739E108 | 474 | 23,700 | SH | DFND | 0 | 0 | 23,700 | ||
FIRST TR EXCHANGE TRADED FD | DJ INTERNT IDX | 33733E302 | 372 | 3,390 | SH | DFND | 0 | 0 | 3,390 | ||
ALPS ETF TR | ALERIAN MLP | 00162Q866 | 140 | 13,020 | SH | DFND | 1 | 0 | 13,020 | 0 | |
ALPS ETF TR | ALERIAN MLP | 00162Q866 | 207 | 19,181 | SH | DFND | 0 | 0 | 19,181 | ||
AMC ENTMT HLDGS INC | CL A COM | 00165C104 | 1,138 | 75,362 | SH | DFND | 1 | 0 | 75,362 | 0 | |
AT&T INC | COM | 00206R102 | 79 | 2,042 | SH | DFND | 1 | 0 | 2,042 | 0 | |
AT&T INC | COM | 00206R102 | 355 | 9,130 | SH | DFND | 0 | 0 | 9,130 | ||
ARK ETF TR | INNOVATION ETF | 00214Q104 | 561 | 15,135 | SH | DFND | 0 | 0 | 15,135 | ||
ABBVIE INC | COM | 00287Y109 | 141 | 1,453 | SH | DFND | 1 | 0 | 1,453 | 0 | |
ABBVIE INC | COM | 00287Y109 | 403 | 4,165 | SH | DFND | 0 | 0 | 4,165 | ||
ACACIA COMMUNICATIONS INC | COM | 00401C108 | 967 | 26,696 | SH | DFND | 1 | 0 | 26,696 | 0 | |
ADAMIS PHARMACEUTICALS CORP | COM NEW | 00547W208 | 1,022 | 232,228 | SH | DFND | 1 | 0 | 232,228 | 0 | |
ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 712 | 21,000 | SH | DFND | 1 | 0 | 21,000 | 0 | |
AEHR TEST SYSTEMS | COM | 00760J108 | 68 | 25,000 | SH | DFND | 1 | 0 | 25,000 | 0 | |
AETNA INC NEW | COM | 00817Y108 | 26 | 146 | SH | DFND | 0 | 0 | 146 | ||
AETNA INC NEW | COM | 00817Y108 | 902 | 5,000 | SH | DFND | 0 | 5,000 | 0 | ||
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 237 | 1,376 | SH | DFND | 0 | 0 | 1,376 | ||
ALPHABET INC | CAP STK CL C | 02079K107 | 183 | 175 | SH | DFND | 1 | 0 | 175 | 0 | |
ALPHABET INC | CAP STK CL C | 02079K107 | 278 | 266 | SH | DFND | 0 | 0 | 266 | ||
ALPHABET INC | CAP STK CL A | 02079K305 | 38 | 36 | SH | DFND | 1 | 0 | 36 | 0 | |
ALPHABET INC | CAP STK CL A | 02079K305 | 1,088 | 1,033 | SH | DFND | 0 | 0 | 1,033 | ||
ALTRIA GROUP INC | COM | 02209S103 | 54 | 750 | SH | DFND | 1 | 0 | 750 | 0 | |
ALTRIA GROUP INC | COM | 02209S103 | 339 | 4,749 | SH | DFND | 0 | 0 | 4,749 | ||
AMERI HLDGS INC | COM | 02362F104 | 239 | 77,050 | SH | DFND | 1 | 0 | 77,050 | 0 | |
APOLLO INVT CORP | COM | 03761U106 | 273 | 48,206 | SH | DFND | 1 | 0 | 48,206 | 0 | |
ARES CAP CORP | COM | 04010L103 | 27 | 1,715 | SH | DFND | 0 | 0 | 1,715 | ||
ARES CAP CORP | COM | 04010L103 | 1,206 | 76,733 | SH | DFND | 1 | 0 | 76,733 | 0 | |
ARES DYNAMIC CR ALLOCATION F | COM | 04014F102 | 238 | 14,489 | SH | DFND | 1 | 0 | 14,489 | 0 | |
BBX CAP CORP NEW | CL A | 05491N104 | 658 | 82,600 | SH | DFND | 0 | 82,600 | 0 | ||
BGC PARTNERS INC | CL A | 05541T101 | 160 | 10,600 | SH | DFND | 0 | 0 | 10,600 | ||
BABCOCK & WILCOX ENTERPRIS I | COM | 05614L100 | 994 | 175,000 | SH | DFND | 0 | 175,000 | 0 | ||
BARCLAYS BK PLC | IPSP CROIL ETN | 06738C786 | 95 | 14,550 | SH | DFND | 0 | 0 | 14,550 | ||
BERRY GLOBAL GROUP INC | COM | 08579W103 | 229 | 3,900 | SH | DFND | 0 | 0 | 3,900 | ||
BLACKBERRY LTD | COM | 09228F103 | 73 | 6,550 | SH | DFND | 0 | 0 | 6,550 | ||
BLACKBERRY LTD | COM | 09228F103 | 217 | 19,425 | SH | DFND | 1 | 0 | 19,425 | 0 | |
BLACKSTONE GSO FLTING RTE FU | COM | 09256U105 | 180 | 10,000 | SH | DFND | 1 | 0 | 10,000 | 0 | |
CISCO SYS INC | COM | 17275R102 | 90 | 2,340 | SH | DFND | 1 | 0 | 2,340 | 0 | |
CISCO SYS INC | COM | 17275R102 | 417 | 10,888 | SH | DFND | 0 | 0 | 10,888 | ||
COHEN & STEERS LTD DUR PFD I | COM | 19248C105 | 730 | 28,006 | SH | DFND | 1 | 0 | 28,006 | 0 | |
COMSTOCK RES INC | NOTE 7.750% 4/0 | 205768AM6 | 395 | 431,876 | PRN | DFND | 0 | 431,876 | 0 | ||
COMSTOCK RES INC | NOTE 9.500% 6/1 | 205768AN4 | 40 | 44,206 | PRN | DFND | 0 | 44,206 | 0 | ||
COSTCO WHSL CORP NEW | COM | 22160K105 | 114 | 613 | SH | DFND | 0 | 0 | 613 | ||
COSTCO WHSL CORP NEW | COM | 22160K105 | 248 | 1,335 | SH | DFND | 1 | 0 | 1,335 | 0 | |
CYTOSORBENTS CORP | COM NEW | 23283X206 | 992 | 152,620 | SH | DFND | 1 | 0 | 152,620 | 0 | |
DXC TECHNOLOGY CO | COM | 23355L106 | 30 | 320 | SH | DFND | 0 | 0 | 320 | ||
DXC TECHNOLOGY CO | COM | 23355L106 | 451 | 4,751 | SH | DFND | 1 | 0 | 4,751 | 0 | |
DIGITAL TURBINE INC | COM NEW | 25400W102 | 526 | 293,881 | SH | DFND | 0 | 293,881 | 0 | ||
DIGITAL TURBINE INC | COM NEW | 25400W102 | 935 | 522,612 | SH | DFND | 1 | 0 | 522,612 | 0 | |
DOWDUPONT INC | COM | 26078J100 | 313 | 4,398 | SH | DFND | 0 | 0 | 4,398 | ||
ECO STIM ENERGY SOLUTIONS IN | COM | 27888D101 | 244 | 193,702 | SH | DFND | 1 | 0 | 193,702 | 0 | |
EHEALTH INC | COM | 28238P109 | 323 | 18,600 | SH | DFND | 1 | 0 | 18,600 | 0 | |
EMERGE ENERGY SVCS LP | COM REP PARTN | 29102H108 | 165 | 22,900 | SH | DFND | 0 | 0 | 22,900 | ||
EVERSPIN TECHNOLOGIES INC | COM | 30041T104 | 370 | 49,300 | SH | DFND | 1 | 0 | 49,300 | 0 | |
EVOKE PHARMA INC | COM | 30049G104 | 249 | 110,000 | SH | DFND | 1 | 0 | 110,000 | 0 | |
EXXON MOBIL CORP | COM | 30231G102 | 78 | 932 | SH | DFND | 1 | 0 | 932 | 0 | |
EXXON MOBIL CORP | COM | 30231G102 | 314 | 3,756 | SH | DFND | 0 | 0 | 3,756 | ||
FACEBOOK INC | CL A | 30303M102 | 634 | 3,591 | SH | DFND | 1 | 0 | 3,591 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 1,274 | 7,221 | SH | DFND | 0 | 0 | 7,221 | ||
FINJAN HLDGS INC | COM NEW | 31788H303 | 1,645 | 761,639 | SH | DFND | 0 | 761,639 | 0 | ||
FINJAN HLDGS INC | COM NEW | 31788H303 | 3,485 | 1,613,316 | SH | DFND | 1 | 0 | 1,613,316 | 0 | |
FINTECH ACQUISITION CORP II | COM | 31810G109 | 992 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
FINTECH ACQUISITION CORP II | *W EXP 01/19/202 | 31810G117 | 69 | 50,000 | SH | DFND | 1 | 0 | 50,000 | 0 | |
FIRST TR VALUE LINE DIVID IN | SHS | 33734H106 | 595 | 19,282 | SH | DFND | 0 | 0 | 19,282 | ||
FIRST TR EXCHANGE TRADED FD | TECH ALPHADEX | 33734X176 | 1,193 | 23,237 | SH | DFND | 0 | 0 | 23,237 | ||
FIRST TR EXCH TRD ALPHA FD I | EMERG MKT ALPH | 33737J182 | 822 | 29,471 | SH | DFND | 0 | 0 | 29,471 | ||
FIRST TR EXCHANGE TRADED FD | RISNG DIVD ACHIV | 33738R506 | 1,773 | 59,346 | SH | DFND | 0 | 0 | 59,346 | ||
FIRST TR EXCH TRADED FD III | RIVRFRNT DYN EUR | 33739P806 | 490 | 7,500 | SH | DFND | 0 | 0 | 7,500 | ||
FIRST TR EXCH TRADED FD III | INSTL PFD SECS | 33739P855 | 709 | 35,200 | SH | DFND | 0 | 0 | 35,200 | ||
FIRST TR SR FLOATING RATE 20 | COM SHS | 33740K101 | 119 | 13,027 | SH | DFND | 0 | 0 | 13,027 | ||
FORTRESS TRANS INFRST INVS L | COM REP LTD LIAB | 34960P101 | 217 | 10,900 | SH | DFND | 0 | 0 | 10,900 | ||
GNC HLDGS INC | NOTE 1.500% 8/1 | 36191GAB3 | 6 | 15,000 | PRN | DFND | 0 | 15,000 | 0 | ||
GSV CAP CORP | COM | 36191J101 | 25 | 4,600 | SH | DFND | 1 | 0 | 4,600 | 0 | |
GSV CAP CORP | COM | 36191J101 | 43 | 7,875 | SH | DFND | 0 | 0 | 7,875 | ||
GW PHARMACEUTICALS PLC | ADS | 36197T103 | 1,584 | 12,000 | SH | Put | DFND | 1 | 0 | 12,000 | 0 |
GASTAR EXPL INC NEW | COM | 36729W202 | 24 | 23,000 | SH | DFND | 0 | 0 | 23,000 | ||
GLOBAL MED REIT INC | COM NEW | 37954A204 | 236 | 28,724 | SH | DFND | 0 | 0 | 28,724 | ||
GOLDMAN SACHS MLP INC OPP FD | COM SHS | 38147W103 | 709 | 79,344 | SH | DFND | 1 | 0 | 79,344 | 0 | |
HP INC | COM | 40434L105 | 2,291 | 109,048 | SH | DFND | 1 | 0 | 109,048 | 0 | |
HEALTH INS INNOVATIONS INC | COM CL A | 42225K106 | 8,678 | 347,800 | SH | DFND | 1 | 0 | 347,800 | 0 | |
HEWLETT PACKARD ENTERPRISE C | COM | 42824C109 | 3 | 241 | SH | DFND | 0 | 0 | 241 | ||
HEWLETT PACKARD ENTERPRISE C | COM | 42824C109 | 794 | 55,312 | SH | DFND | 1 | 0 | 55,312 | 0 | |
HORNBECK OFFSHORE SVCS INC N | NOTE 1.500% 9/0 | 440543AN6 | 186 | 250,000 | PRN | DFND | 0 | 250,000 | 0 | ||
INSEEGO CORP | NOTE 5.500% 6/1 | 45782BAA2 | 201 | 250,000 | PRN | DFND | 0 | 250,000 | 0 | ||
INVUITY INC | COM NEW | 46187J205 | 1,364 | 220,000 | SH | DFND | 1 | 0 | 220,000 | 0 | |
ISHARES TR | MSCI INDIA ETF | 46429B598 | 21 | 590 | SH | DFND | 1 | 0 | 590 | 0 | |
ISHARES TR | MSCI INDIA ETF | 46429B598 | 402 | 11,140 | SH | DFND | 0 | 0 | 11,140 | ||
ISHARES TR | FLTG RATE NT ETF | 46429B655 | 3,239 | 63,743 | SH | DFND | 1 | 0 | 63,743 | 0 | |
ISHARES TR | MIN VOL EAFE ETF | 46429B689 | 707 | 9,690 | SH | DFND | 1 | 0 | 9,690 | 0 | |
ISHARES TR | MIN VOL USA ETF | 46429B697 | 960 | 18,181 | SH | DFND | 1 | 0 | 18,181 | 0 | |
ISHARES TR | EDGE MSCI USA VL | 46432F388 | 496 | 5,937 | SH | DFND | 0 | 0 | 5,937 | ||
ISHARES TR | USA MOMENTUM FCT | 46432F396 | 214 | 2,077 | SH | DFND | 0 | 0 | 2,077 | ||
ISHARES TR | CORE MSCI EAFE | 46432F842 | 684 | 10,352 | SH | DFND | 1 | 0 | 10,352 | 0 | |
ISHARES INC | CORE MSCI EMKT | 46434G103 | 279 | 4,909 | SH | DFND | 0 | 0 | 4,909 | ||
ITERIS INC | COM | 46564T107 | 1,102 | 158,148 | SH | DFND | 1 | 0 | 158,148 | 0 | |
J JILL INC | COM | 46620W102 | 78 | 10,000 | SH | DFND | 1 | 0 | 10,000 | 0 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 28 | 262 | SH | DFND | 1 | 0 | 262 | 0 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 228 | 2,129 | SH | DFND | 0 | 0 | 2,129 | ||
KBL MERGER CORP IV | UNIT 01/15/2024 | 48242A203 | 406 | 40,000 | SH | DFND | 1 | 0 | 40,000 | 0 | |
KAYNE ANDERSON ACQUISITION | COM CL A | 48661U102 | 2,039 | 209,998 | SH | DFND | 1 | 0 | 209,998 | 0 | |
KAYNE ANDERSON ACQUISITION | *W EXP 06/30/202 | 48661U110 | 55 | 66,666 | SH | DFND | 1 | 0 | 66,666 | 0 | |
KRATOS DEFENSE & SEC SOLUTIO | COM NEW | 50077B207 | 1,082 | 102,213 | SH | DFND | 1 | 0 | 102,213 | 0 | |
LADENBURG THALMAN FIN SVCS I | COM | 50575Q102 | 572 | 181,050 | SH | DFND | 1 | 0 | 181,050 | 0 | |
LIMELIGHT NETWORKS INC | COM | 53261M104 | 2,192 | 497,043 | SH | DFND | 0 | 497,043 | 0 | ||
LIMELIGHT NETWORKS INC | COM | 53261M104 | 6,122 | 1,388,096 | SH | DFND | 1 | 0 | 1,388,096 | 0 | |
LONESTAR RES US INC | CL A VTG | 54240F103 | 4,517 | 1,137,660 | SH | DFND | 1 | 0 | 1,137,660 | 0 | |
LUMENTUM HLDGS INC | COM | 55024U109 | 1,091 | 22,301 | SH | DFND | 1 | 0 | 22,301 | 0 | |
M I ACQUISITIONS INC | COM | 55304A104 | 219 | 21,500 | SH | DFND | 1 | 0 | 21,500 | 0 | |
MANPOWERGROUP INC | COM | 56418H100 | 472 | 3,740 | SH | DFND | 0 | 0 | 3,740 | ||
MATLIN & PARTNERS ACQUISITIO | CL A | 57682V106 | 976 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
MATLIN & PARTNERS ACQUISITIO | *W EXP 05/28/202 | 57682V114 | 42 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
MERCK & CO INC | COM | 58933Y105 | 48 | 852 | SH | DFND | 1 | 0 | 852 | 0 | |
MERCK & CO INC | COM | 58933Y105 | 232 | 4,118 | SH | DFND | 0 | 0 | 4,118 | ||
MONSANTO CO NEW | COM | 61166W101 | 241 | 2,062 | SH | DFND | 0 | 0 | 2,062 | ||
MONSANTO CO NEW | COM | 61166W101 | 1,168 | 10,000 | SH | DFND | 0 | 10,000 | 0 | ||
NII HLDGS INC | COM PAR | 62913F508 | 127 | 300,000 | SH | DFND | 0 | 300,000 | 0 | ||
NATURAL RESOURCE PARTNERS L | COM UNIT LTD PAR | 63900P608 | 2,340 | 90,000 | SH | Call | DFND | 1 | 0 | 90,000 | 0 |
NAVISTAR INTL CORP NEW | NOTE 4.500%10/1 | 63934EAQ1 | 21 | 20,000 | PRN | DFND | 0 | 20,000 | 0 | ||
NETSCOUT SYS INC | COM | 64115T104 | 1,073 | 35,243 | SH | DFND | 1 | 0 | 35,243 | 0 | |
NUVEEN BUILD AMER BD FD | COM | 67074C103 | 524 | 23,847 | SH | DFND | 1 | 0 | 23,847 | 0 | |
NUVEEN HIGH INCOME 2020 TARG | COM | 67075L102 | 1,236 | 124,035 | SH | DFND | 0 | 0 | 124,035 | ||
NUVEEN CR OPPORTUNITIES 2022 | COM | 67075U102 | 465 | 49,000 | SH | DFND | 0 | 0 | 49,000 | ||
NUVEEN HIGH INCOME NOVEMBER | COM | 67077N106 | 958 | 96,141 | SH | DFND | 0 | 0 | 96,141 | ||
OHA INVT CORP | COM | 67091U102 | 173 | 150,000 | SH | DFND | 0 | 150,000 | 0 | ||
O REILLY AUTOMOTIVE INC NEW | COM | 67103H107 | 266 | 1,107 | SH | DFND | 0 | 0 | 1,107 | ||
OAKTREE STRATEGIC INCOME COR | COM | 67402D104 | 355 | 42,273 | SH | DFND | 1 | 0 | 42,273 | 0 | |
OPKO HEALTH INC | COM | 68375N103 | 49 | 10,000 | SH | DFND | 0 | 0 | 10,000 | ||
PAYPAL HLDGS INC | COM | 70450Y103 | 323 | 4,381 | SH | DFND | 0 | 0 | 4,381 | ||
PENNANTPARK FLOATING RATE CA | COM | 70806A106 | 2,537 | 184,936 | SH | DFND | 1 | 0 | 184,936 | 0 | |
PHYSICIANS RLTY TR | COM | 71943U104 | 302 | 16,781 | SH | DFND | 0 | 0 | 16,781 | ||
PIMCO ETF TR | ENHNCD LW DUR AC | 72201R718 | 2,993 | 29,829 | SH | DFND | 1 | 0 | 29,829 | 0 | |
PIMCO ETF TR | ENHAN SHRT MA AC | 72201R833 | 1,501 | 14,780 | SH | DFND | 0 | 0 | 14,780 | ||
PIMCO ETF TR | ENHAN SHRT MA AC | 72201R833 | 7,831 | 77,103 | SH | DFND | 1 | 0 | 77,103 | 0 | |
PLATFORM SPECIALTY PRODS COR | COM | 72766Q105 | 595 | 60,000 | SH | DFND | 1 | 0 | 60,000 | 0 | |
POWERSHARES QQQ TRUST | UNIT SER 1 | 73935A104 | 92 | 592 | SH | DFND | 0 | 0 | 592 | ||
POWERSHARES QQQ TRUST | UNIT SER 1 | 73935A104 | 1,224 | 7,859 | SH | DFND | 1 | 0 | 7,859 | 0 | |
POWERSHARES QQQ TRUST | UNIT SER 1 | 73935A104 | 30,436 | 195,400 | SH | Put | DFND | 1 | 0 | 195,400 | 0 |
POWERSHARES ETF TRUST | HI YLD EQ DVDN | 73935X302 | 1,252 | 70,281 | SH | DFND | 0 | 0 | 70,281 | ||
POWERSHARES ETF TRUST | DYN BIOT & GEN | 73935X856 | 288 | 6,102 | SH | DFND | 1 | 0 | 6,102 | 0 | |
POWERSHARES ETF TRUST II | CEF INC COMPST | 73936Q843 | 211 | 8,830 | SH | DFND | 1 | 0 | 8,830 | 0 | |
POWERSHARES ETF TR II | PFD PORTFOLIO | 73936T565 | 784 | 52,753 | SH | DFND | 1 | 0 | 52,753 | 0 | |
PRIMO WTR CORP | COM | 74165N105 | 1,076 | 85,580 | SH | DFND | 1 | 0 | 85,580 | 0 | |
RANGER ENERGY SVCS INC | COM CL A | 75282U104 | 2,598 | 281,432 | SH | DFND | 1 | 0 | 281,432 | 0 | |
RENEWABLE ENERGY GROUP INC | MTNF 2.750% 6/1 | 75972AAA1 | 118 | 114,000 | PRN | DFND | 0 | 114,000 | 0 | ||
RYDEX ETF TRUST | GUG S&P500 EQ WT | 78355W106 | 2,361 | 23,366 | SH | DFND | 0 | 0 | 23,366 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 971 | 3,638 | SH | DFND | 0 | 0 | 3,638 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 1,917 | 7,184 | SH | DFND | 1 | 0 | 7,184 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 6,672 | 25,000 | SH | Put | DFND | 0 | 25,000 | 0 | |
SPDR INDEX SHS FDS | GLB NAT RESRCE | 78463X541 | 977 | 19,907 | SH | DFND | 1 | 0 | 19,907 | 0 | |
SPDR INDEX SHS FDS | S&P EMKTSC ETF | 78463X756 | 1,037 | 19,949 | SH | DFND | 0 | 0 | 19,949 | ||
SPDR INDEX SHS FDS | MSCI ACWI EXUS | 78463X848 | 216 | 5,550 | SH | DFND | 0 | 0 | 5,550 | ||
SPDR SERIES TRUST | BLMBRG BRC CNVRT | 78464A359 | 417 | 8,244 | SH | DFND | 0 | 0 | 8,244 | ||
SPDR SERIES TRUST | BLOOMBERG BRCLYS | 78464A417 | 2 | 64 | SH | DFND | 1 | 0 | 64 | 0 | |
SPDR SERIES TRUST | BLOOMBERG BRCLYS | 78464A417 | 313 | 8,531 | SH | DFND | 0 | 0 | 8,531 | ||
SPDR SERIES TRUST | DJ REIT ETF | 78464A607 | 360 | 3,843 | SH | DFND | 0 | 0 | 3,843 | ||
SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 78467X109 | 641 | 2,592 | SH | DFND | 1 | 0 | 2,592 | 0 | |
SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 78467X109 | 4,106 | 16,597 | SH | DFND | 0 | 0 | 16,597 | ||
SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 78467Y107 | 1,130 | 3,273 | SH | DFND | 0 | 0 | 3,273 | ||
SACHEM CAP CORP | COM | 78590A109 | 1,374 | 348,619 | SH | DFND | 0 | 348,619 | 0 | ||
SACHEM CAP CORP | COM | 78590A109 | 1,402 | 355,850 | SH | DFND | 1 | 0 | 355,850 | 0 | |
SANOFI | RIGHT 12/31/2020 | 80105N113 | 0 | 17 | SH | DFND | 1 | 0 | 17 | 0 | |
SANOFI | RIGHT 12/31/2020 | 80105N113 | 76 | 200,029 | SH | DFND | 0 | 200,029 | 0 | ||
SELECT SECTOR SPDR TR | SBI MATERIALS | 81369Y100 | 245 | 4,050 | SH | DFND | 0 | 0 | 4,050 | ||
SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 200 | 2,029 | SH | DFND | 0 | 0 | 2,029 | ||
SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 339 | 3,440 | SH | DFND | 1 | 0 | 3,440 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 5 | 184 | SH | DFND | 1 | 0 | 184 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 749 | 26,844 | SH | DFND | 0 | 0 | 26,844 | ||
SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 401 | 6,272 | SH | DFND | 0 | 0 | 6,272 | ||
SELECT ENERGY SVCS INC | CL A COM | 81617J301 | 46 | 2,500 | SH | DFND | 0 | 2,500 | 0 | ||
SELECT ENERGY SVCS INC | CL A COM | 81617J301 | 2,790 | 152,964 | SH | DFND | 1 | 0 | 152,964 | 0 | |
SENSUS HEATLHCARE INC | *W EXP 06/08/201 | 81728J117 | 115 | 163,651 | SH | DFND | 1 | 0 | 163,651 | 0 | |
SERVICESOURCE INTL INC | COM | 81763U100 | 77 | 25,000 | SH | DFND | 0 | 25,000 | 0 | ||
SKYWORKS SOLUTIONS INC | COM | 83088M102 | 1,014 | 10,674 | SH | DFND | 1 | 0 | 10,674 | 0 | |
SNAP INC | CL A | 83304A106 | 9 | 600 | SH | DFND | 0 | 0 | 600 | ||
SNAP INC | CL A | 83304A106 | 277 | 18,963 | SH | DFND | 1 | 0 | 18,963 | 0 | |
SOLAR SR CAP LTD | COM | 83416M105 | 4,754 | 267,689 | SH | DFND | 1 | 0 | 267,689 | 0 | |
SOUTHCROSS ENERGY PARTNERS L | COM UNIT LTDPT | 84130C100 | 82 | 48,370 | SH | DFND | 0 | 0 | 48,370 | ||
SYNCHRONOSS TECHNOLOGIES INC | COM | 87157B103 | 268 | 30,000 | SH | DFND | 0 | 30,000 | 0 | ||
TEMPUR SEALY INTL INC | COM | 88023U101 | 5,335 | 85,100 | SH | DFND | 1 | 0 | 85,100 | 0 | |
TORTOISE MLP FD INC | COM | 89148B101 | 889 | 50,610 | SH | DFND | 1 | 0 | 50,610 | 0 | |
TRUECAR INC | COM | 89785L107 | 1,038 | 92,722 | SH | DFND | 1 | 0 | 92,722 | 0 | |
TWITTER INC | COM | 90184L102 | 77 | 3,200 | SH | DFND | 0 | 0 | 3,200 | ||
TWITTER INC | COM | 90184L102 | 185 | 7,700 | SH | DFND | 1 | 0 | 7,700 | 0 | |
USANA HEALTH SCIENCES INC | COM | 90328M107 | 359 | 4,842 | SH | DFND | 1 | 0 | 4,842 | 0 | |
U S GEOTHERMAL INC | COM NEW | 90338S201 | 345 | 100,000 | SH | DFND | 0 | 100,000 | 0 | ||
ULTRAGENYX PHARMACEUTICAL IN | COM | 90400D108 | 213 | 4,600 | SH | DFND | 1 | 0 | 4,600 | 0 | |
URBAN EDGE PPTYS | COM | 91704F104 | 368 | 14,422 | SH | DFND | 1 | 0 | 14,422 | 0 | |
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 239 | 10,270 | SH | DFND | 0 | 0 | 10,270 | ||
VANECK VECTORS ETF TR | BIOTECH ETF | 92189F726 | 202 | 1,619 | SH | DFND | 1 | 0 | 1,619 | 0 | |
VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 92206C409 | 1,045 | 13,172 | SH | DFND | 0 | 0 | 13,172 | ||
VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 92206C409 | 3,751 | 47,304 | SH | DFND | 1 | 0 | 47,304 | 0 | |
VANGUARD SCOTTSDALE FDS | LG-TERM COR BD | 92206C813 | 765 | 7,991 | SH | DFND | 1 | 0 | 7,991 | 0 | |
VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 92206C870 | 2,577 | 29,485 | SH | DFND | 1 | 0 | 29,485 | 0 | |
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 98 | 1,855 | SH | DFND | 1 | 0 | 1,855 | 0 | |
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 283 | 5,340 | SH | DFND | 0 | 0 | 5,340 | ||
VIASAT INC | COM | 92552V100 | 1,121 | 14,971 | SH | DFND | 1 | 0 | 14,971 | 0 | |
VONAGE HLDGS CORP | COM | 92886T201 | 701 | 68,900 | SH | DFND | 1 | 0 | 68,900 | 0 | |
WILDHORSE RESOURCE DEV CORP | COM | 96812T102 | 640 | 34,746 | SH | DFND | 1 | 0 | 34,746 | 0 | |
WISDOMTREE TR | GLB US QTLY DIV | 97717W844 | 723 | 12,222 | SH | DFND | 1 | 0 | 12,222 | 0 | |
XERIUM TECHNOLOGIES INC | COM NEW | 98416J118 | 362 | 85,000 | SH | DFND | 1 | 0 | 85,000 | 0 | |
AVISTA HEALTHCARE PUB ACQ CO | CL A | G0726L125 | 992 | 100,000 | SH | DFND | 1 | 0 | 100,000 | 0 | |
EATON CORP PLC | SHS | G29183103 | 259 | 3,274 | SH | DFND | 0 | 0 | 3,274 | ||
FABRINET | SHS | G3323L100 | 997 | 34,748 | SH | DFND | 1 | 0 | 34,748 | 0 | |
FERROGLOBE PLC | SHS | G33856108 | 7,743 | 477,986 | SH | DFND | 1 | 0 | 477,986 | 0 | |
GTY TECHNOLOGY HOLDINGS INC | CL A | G4182A102 | 2,483 | 250,099 | SH | DFND | 1 | 0 | 250,099 | 0 | |
GTY TECHNOLOGY HOLDINGS INC | *W EXP 99/99/999 | G4182A128 | 73 | 58,333 | SH | DFND | 1 | 0 | 58,333 | 0 | |
MARVELL TECHNOLOGY GROUP LTD | ORD | G5876H105 | 15 | 700 | SH | DFND | 0 | 0 | 700 | ||
MARVELL TECHNOLOGY GROUP LTD | ORD | G5876H105 | 1,080 | 50,292 | SH | DFND | 1 | 0 | 50,292 | 0 | |
APTIV PLC | SHS | G6095L109 | 7 | 83 | SH | DFND | 0 | 0 | 83 | ||
APTIV PLC | SHS | G6095L109 | 334 | 3,939 | SH | DFND | 1 | 0 | 3,939 | 0 | |
SINA CORP | ORD | G81477104 | 234 | 2,330 | SH | DFND | 0 | 0 | 2,330 | ||
MAGICJACK VOCALTEC LTD | SHS | M6787E101 | 10,559 | 1,249,600 | SH | DFND | 0 | 1,249,600 | 0 | ||
TRONOX LTD | SHS CL A | Q9235V101 | 506 | 24,673 | SH | DFND | 1 | 0 | 24,673 | 0 | |
GLOBAL SHIP LEASE INC NEW | SHS A | Y27183105 | 1,005 | 866,072 | SH | DFND | 1 | 0 | 866,072 | 0 |