Editor's Note: The following chart lists the names of people or firms municipal securities dealers have reported employing to obtain or retain municipal securities business during the first and second quarters including any compensation paid to them and the names of the bond deals involved when specified. The information was obtained from copies of Form G-37 that dealers are required to file with the Municipal Securities Rulemaking Board. Firms that reported their own employees as helping to obtain or retain municipal securities business or those that did not report employing consultants are not listed.
Dealer Artemis Capital Group, Inc., New York City
First Quarter Listed eight New York State or New York City deals in which it said Margaret Menzi of Margaret Oles & Adams, Inc., was paid an undisclosed flat monthly fee to obtain or retain business. But the firm said Menzi's contract with the firm concluded on March 9.
Second Quarter None
Dealer Arthurs Lestrange & Company, Inc.
First Quarter Listed two Pennsylvania school district deals and reported paying a monthly retainer of $1,000 to HDI, represented by Dennis H. Thiemann. But the firm said the retainer was not attributable to any specific financing.
Second Quarter Listed two Pennsylvania deals - a school district and a township authority - and reported paying a monthly retainer of $1,000 to HDI, represented by Dennis H. Thiemann, but said the retainer was not attributable to any specific financing. Howerver, the firm said HDI was paid $7,200 for marketing services on one of the school district issues reported the previous quarter.
Dealer George K. Baum & Company, Denver
First Quarter Reported paying Corporate Relations Management $5,000 for assisting in development of negotiated deal with Mississippi Home Corporation.
Second Quarter Reported paying Corporate Relations Management $10,604 for helping obtain a negotiated deal with Mississippi Home Corporation.
Dealer Bear Stearns & Co., Inc.
First Quarter Reported employing James Wimmer of Wimmer and Company as a consultant and paying a monthly retainer of $2,500 plus a $3,000 quarterly fee in conjunction with a negotiated underwriting for the Wisconsin Housing and Economic Development Authority. The firm also reported hiring Jack H. Segell, of The Jack H. Segell Corp. as a consultant and paying a monthly retainer of $2,000 plus 20% of the management fee allocated to the firm in connection to a negogiated underwriting for the Kentucky Housing Corp. and employing Mac Stevenson, a political insights consultant and paying him a monthly retainer of $1,500 in conjunction with a negotiated underwriting for Bradenton, Fla. The firm also employed Richard L. Boylan of Richard L. Boylan & Associates as a consultant and paid him a monthly retainer of $5,000 in conjunction with a negotiated underwriting for the Ohio Water Development Authority.
Second Quarter Reported hiring Jack H. Segell, of The Jack H. Segell Corp., as a consultant and paying him a monthly retainer of $2,000 plus 20% of the management fee allocated to Bear Stearns in conjunction with a negotiated underwriting for the Kentucky Housing Corp. Bear Stearns also reported hiring James Wimmer of Wimmer and Company as a consultant for a monthly retainer of $1,500 in conjunction with negotiated underwritings for the State of Wisconsin and the Wisconsin Housing and Economic Development Authority.
Dealer J.C. Bradford & Co., Nashville, TN
First Quarter Reported paying $5,000 as a finder's fee to Mike Shewie in conjunction with a Clarksville escrow restructuring. The firm also reported paying $9,000 in consulting fees in three equal installements to Barney Burks and $5,000 to Pam Spoor. The firm did not identify if the payments were make in conjunction with any of the 25 negotiated deals it underwrote or the four for which it acted as financial adviser during the quarter.
Second Quarter Reported paying a total of $9,000 in three installments to Barney Burks for consulting fees, but did not identify which of the 18 negotiated deals done by the firm his services applied to.
Dealer Chemical Securities, Inc.
First Quarter Reported paying State Street Consulting Group a $5,000 monthly retainer in conjunction with a Massachusetts Education Finance Authority bond issue and said it paid Jonathan Ballon of Plunkett & Jaffe, two retainers of $5,000 each in connection with a New York City GO issue and a New York City revenue bond. It also reported paying Michael Long, five retainers of $5,000 each in connection with five separate New York state issues.
Second Quarter Reported paying Maureen Booney, of State Street Business Group, a $5,000 monthly retainer in conjunction with the firm's underwriting of Massachusetts revenue bonds and said it paid Carl Singley of Carl Singley & Assoc., a $2,000 monthly retainer in conjunction with Philadelphia Airport revenue bonds.
Dealer Crews & Associates, Inc., Little Rock
First Quarter None
Second Quarter Reported paying a fee to James Hornibrook, who left the firm on Dec. 31, 1994, for work on Rogers, Ark., municipal property owners improvement district bonds issued on April 1, 1995, but said it does not expect Hornibrook to work on any other deals for the firm.
Dealer Dillon, Read & Co.
First Quarter Reported paying an unspecified "success" fee to the consulting firm of James F. Capalino & Associates, Inc., for introducing the dealer to managers at Brookdale Hospital, the ultimate obligor for bonds issued by New York State Medical Care. But the firm said it did not employ any person who had contact with the issuer.
Second Quarter None
Dealer A.G. Edwards & Sons, Inc., St. Louis
First Quarter Reported Michael Marez, an independent consultant, solicited business for A.G. Edwards in connection with the Colorado Housing and Finance Authority Single Family Mortgage Revenue Bonds, 1995 Series A issue co-managed by the firm. A.G. Edwards said Marez was not retained in connection with any specific transaction and is no longer a consultant to the firm. While on retainer, he was paid a fixed fee. His compensation arrangement included a possible performance bonus not related to any transaction, but no bonus was paid. The firm also reported Don Bemis, an independent consultant to A.G. Edwards, was not retained in connection with any specific transaction. The firm said Bemis did not perform services in connection with the School District Number 130 (Blue Island) Cook County, Illinois GO School Bonds, Series 1995 underwritten by the firm, but he did provide advice about an unrelated tax levy for the benefit of the issuer about a year earlier. Bemis is paid a fixed fee, unrelated to any transaction, and his compensation includes reimbursement of expenses and possible performance bonuses. A.G. Edwards also reported that James Moody, an independent consultant to the firm who has not been retained for any specific transaction, attended a presentation in connection with a GO bond issue by the City of Chesterfield, Mo., and presented information about a then-proposed state constitutional amendment. The firm said Moody is paid a fixed fee, unrelated to any transaction, and his compensation includes provisions for a possible performance bonus.
Second Quarter Reported Don Bemis, an independent consultant, provided advice on bond elections in conjunction with seven bond issues underwritten by the firm. A.G. Edwards said Bemis is on retainer to the firm but was not retained in connection with any specific transaction and is paid a fixed fee, unrelated to any transaction, that the firm did not specify. Bemis' compensation includes reimbursement of expenses and possible performance bonuses.
Dealer First Fidelity Securities Group, Newark, N.J.
First Quarter Reported employing Kyle Keiderling of Flemington, N.J., and paying him a consulting fee of $2,500 per month and paying Ron Jampel, also of Flemington, N.J., a consulting fee of $3,333 per month to obtain or retain munincipal securities business. But the firm did not say if the two consultants were employed specifically in conjunction with any of the seven N.J. and one Maryland negotiated issues done during the quarter.
Second QuarterReported employing Kyle Keiderling of Flemington, N.J., and paying him a consulting fee of $2,500 per month and paying Ron Jampel, also of Flemington, N.J., a consulting fee of $3,333 per month to obtain or retain munincipal securities business. But the firm did not say if they were employed specifically in conjunction with any of the eight N.J., one Pennsylvania and and two Connecticut negotiated issues done during the quarter.
Dealer Firstar Bank Milwaukee
First Quarter None Reported employing Jim Simmonds of Norstar in conjunction with the bank's position as placement agent for a deal done for the Village of Random Lake, Wis. The bank said the fee was due upon completion of the transaction, but did not identify the fee.
Second QuarterReported employing Jim Simmonds of Norstar in conjunction with the bank's position as placement agent for a deal done for the Village of Random Lake, Wis. The bank said the fee was due upon completion of the transaction, but did not identify the fee.
Dealer Genesis Capital Markets Group, Inc., Seattle
First Quarter Reported paying George White of the Northwest Funding Group a $300 finders fee in conjunction with a bond deal underwritten for Westport/Grays Harbor, Wash.
Second Quarter None
Dealer Goldman, Sachs & Co.
First Quarter Reported having five consultants on retainer during the quarter, but it said none of the arrangements related specifically to any of the about 500 municipal transactions reported by the firm. Philip S. Hamilton of Hamilton and Associates, Columbus, Ohio, was paid $4,000 a month for covering Ohio, and Paul M. Harden of Jacksonville, Fla., was paid $2,500 a month to cover Jacksonville and Leon County, Fla. But Goldman reported that Harden's retainer was terminated on March 31. Peter A. Peyser, Jr., of Government Affairs Management Assoc., of Washington, D.C., was paid a retainer of $4,000 a month to advise the firm on national transportation policy, but his contract was terminated on Jan. 31. The firm also reported that James H. Quackenbush of Columbia, S.C., was paid $4,000 a month to cover state and local governments in various southeastern states and that Karen Spencer of Spencer-Roberts & Associates of Irvine, Calif., was paid $3,000 a month to cover state and local agencies in California.
Second QuarterReported having three consultants on retainer during the quarter, but said none of the arrangements related specifically to any of the nearly 600 municipal transactions done by the firm. Philip S. Hamilton of Hamilton and Associates, Columbus, Ohio, was paid $4,000 a month for covering Ohio, James H. Quackenbush of Columbia, S.C., was paid $4,000 a month to cover state and local government in various southeastern states and Karen Spencer of Spencer-Roberts & Associates of Irvine, Calif., was paid $3,000 a month to cover state and local agencies in California.
Dealer Grigsby Brandford & Co., Inc., San Francisco
First Quarter Reported paying rent and travel and entertainment expenses for a Derek Davis, but did not identify which of the firm's deals, if any, he was associated with. Grigsby also reported an arrangement to pay Verna Garman 15% of profit on senior managed deals, 5% of profit on co-managed deals and 5% of financial advisory fees on "various issues in the State of Florida that she is responsible for obtaining." But the firm did not say if the arrangement applied to two Florida deals it reported on the form.
Second Quarter Reported paying rent and travel and entertainment expenses for a Derek Davis, but did not identify which, if any, of the firm's 25 deals during the quarter he was associated with.
Dealer Isaak Bond Investments, Inc., Denver
First Quarter None
Second Quarter Reported paying Conklin Investment Co., $5,037.50 in conjunction with a negotiated GO deal done for the St. Mary's Glacier Water and Sanitary District of Clear Creek County, Colo.
Dealer Kemper Securities, Inc., Chicago
First Quarter Reported paying John Gregory 20% of the net management fee received by Kemper in connection with a mortgage bond issue by the South Carolina State Housing Finance and Development Authority. Paid Kimball Young a monthly retainer of $5,000 plus 30% of the net management fee received by Kemper in which the aggregate exceeds the monthly retainer. The firm mentioned Kimball in connection with deals for two cities in Utah, but then said the deals were not applicable to Young.
Second Quarter Reported paying Nevada Institutional Investors a monthly retainer of $4,800 for negotiated underwritings in Nevada and listed two deals it underwrote for the City of Las Vegas Downtown Redevelopment Agency. Kemper also reported paying a $5,000 monthly retainer plus 30% of any net management fee received by Kemper to Kimball Young for certain Utah transactions which were not identified. The firm mentioned Kimball in connection with a Provo City School District deal that it underwrote, but then said the deal was not applicable to Young.
Dealer Lehman Brothers, Inc.
First Quarter Reported employing Van Meter, Ashbrook & Associates, Inc., to provide consulting services in conjunction with various Ohio issuers including bonds issued in February by the Ohio Housing Finance Agency. Van Meter was paid a success fee and expenses totaling $4,549 as a success fee plus expenses. Lehman also reported hiring Callahan Associates to provide consulting services in conjunction with Pennsylvania issuers including bonds issued by the Pennsylvania Economic Development Finance Authority in March, but said no retainer or success fee was paid during the quarterlisted. The firm also reported retaining six consultants "to render services" in the first quarter at a combined cost of about $98,700 $97,000, but said they were not employed or compensated to provide any service in connection with the 51 negotiated deals done by the firm during that period. The six, the amounts they were paid and their areas, are: Paula Stuart, success fee plus expenses totaling $2,942 in success fee plus expenses, Florida; Apthorp Management Corp., monthly retainer, success fee and expenses totaling $23,194 in monthly retainer and success fee plus expenses, Florida; Vismale & Associates, monthly retainer, seccess fee and expenses totaling $3,197 in monthly retainer, success fee plus expenses, Connecticut, Georgia and Washington, D.C.; Mark Hendrickson, monthly retainer, success fee and expenses totaling $25,711 in monthly retainer, success fee plus expenses, Florida, plus housing issuers in various states; Equity Conservation Inc., monthly retainer, success fee and expenses totaling $39,972 in monthly retainer, success fee plus expenses, New York City, conversion of Post Office for use by Amtrak; and Richard Robertson & Associates, monthly retainer plus expenses totaling $3,687 in monthly retainer plus expenses, California state legislation affecting municipal finance.
Second Quarter Reported retaining eight consultants to provide "consulting and advisory services" at a cost of about $72,000 during the three months, but said they were not employed or compensated to provide any service in connection with the 101 negotiated deals done by the firm during that period. The eightsix, the amounts they were paid and their areas, include: Paula Stuart, no fees during the quarter, Florida; Apthorp Management Corp., monthly retainer, success fee and expenses totaling $l6,116 in monthly retainer and success fee plus expenses, Florida; Van Meter, Ashbrook & Associates, Inc., monthly retainer plus expenses totaling $4,549 in monthly retainer plus expenses, Ohio; Vismale & Associates, monthly retainer, success fee plus expenses totaling $3,ll7 in monthly retainer, success fee plus expenses, Connecticut, Georgia, and Washington, D.C.; Mark Hendrickson, monthly retainer, success feel plus expenses totaling $16,732 in monthly retainer, success fee plus expenses, Florida plus housing issuers in various states; Callahan Associates, success fee plus expenses totaling $20,000 success fee plus expenses, Pennsylvania including Pennsylvania Economic Development Finance Authority, Ponderosa Project, and Port of Walla Walla, Washington, Ponderosa Project; Richard Robinson & Associates, monthly retainer plus expenses totaling $11,838 in monthly retainer plus expenses, California, services related to state legislation affecting municipal finance; and Bill McGee, no fees during quarter, Texas, including Corpus Christi, Bexar County and Nueces County.
Dealer Melvin Securities Corp., Chicago
First Quarter Reported hiring Thomas P. Beck of Thomas P. Beck & Associates as a consultant under an arrangement that called for paying him 10% of the profits on business he obtained. But the firm did not specify if he was retained in conjunction with three negotiated deals done with the City of Chicago and its agencies during the quarter or the exact amount he received.
Second Quarter None
Dealer Meridian Capital Markets, Inc., Reading, Pa.
First Quarter Reported paying an undisclosed retainer to Elmer Heinel as a consultant in conjunction with a negotiated note deal for the Southeastern Pennsylvania Transportation Authority. Meridian also reported employing James McCann as a consultant in connection with a negotiated underwriting for the Borough of Brookhaven in Delaware County, Pa. and paying him 20% of the firm's revenue from the deal.
Second Quarter None
Dealer Merrill Lunch, Pierce, Fenner & Smith, Inc.
First Quarter Reported retaining Michael Brozek & Company to provide consulting services to assist in the development of municipal securities business, including two mortgage bond issues for the Wisconsin Housing and Economic Development Authority. Merrill said the firm was paid monthly fees totaling of $12,000 during the quarter.
Second Quarter Reported retaining Michael Brozek & Company to provide consulting services to assist in the development of municipal securities business, including three mortgage bond issues for the Wisconsin Housing and Economic Development Authority. Merrill said the firm was paid monthly fees totaling of $12,000 during the quarter.
Dealer Morgan Stanley & Co., Inc.
First Quarter None reported
Second Quarter Reported paying an undisclosed amount to CS First Boston Puerto Rico and its successor, BP Capital Markets, Inc., for cooperation when Morgan Stanley provided underwriting services to Puerto Rico and the Puerto Rico Housing Bank and Finance Corp. which had been clients of the disbanded CSFB public finance department. Morgan Stanley refused to publicly disclose the amount paid, saying it is"competitively sensitive information."
Dealer NationsBank Funds Management Group
First Quarter The funds management department reported it will pay the non-dealer unit of NationsBank a fee of $16,650 for the referral of a negotiated remarketing with Carroll County, Md., and $11,250 for the referral of a similar transaction with the Illinois Development Finance Authority.
Second Quarter None
Dealer Paine Webber Incorporated
First Quarter Reported employing Mitchel Litke and paying him an undisclosed negotiated fee in conjunction with a negotiated underwriting done with the Montana Board of Housing for the City of Helena.
Second Quarter Reported employing the Hausdorfer Company and paying a negotiated fee in conjunction with a negotiated remarketing done for the City of Irvine, Calif., and paid Marjorie Becker negotiated fees in connection with the firm's financial advistory work for the Dormitory Authority of the State of New York, City of Delmar, issue and a negotiated remarketing for the State of Oregon Health, Housing, Educational and Cultural Facilities Authority, City of Portland.
Dealer Prudential Securities Incorporated
First Quarter Reported retaining Norman Levy, an attorney, to provide consulting services involving issues in New York State including the New York GO bond issues of Jan. 25 and March 15, the New York local Government Assistance Corp. GO bond transaction of March 16 and the New York City Weekly Adjustable Rate Bond issue of March 22. Prudential said Levy is compensated on a fixed-dollar retainer, payable monthly, but did not give a specific amount. The firm also reported employing Kimball Smith, an attorney, to provide consulting services involving issues in Michigan including local jurisdictions and the two Michigan State Housing Development Authority single family housing bond transactions of Jan. 27. Prudential said Smith is compensated on a fixed-dollar retainer, payable monthly, but no specific amount was listed. The firm reported hiring Steve Gutlow to provide consulting services involving Texas including the Texas Public Finance Authority refunding bond issue of Feb. 15. Prudential said Gutlow is compensated on an unidentified fixed-dollar retainer, payable monthly. The firm also reported employing Phil Hamersmith to provide consulting services involving issues in Florida, including two Dade County aviation revenue bond transactions of March 22. The firm said Hamersmith is compensated on a fixed-dollar retainer, payable monthly, but no amount was reported.
Second Quarter Reported employing Kimball Smith, an attorney, to provide consulting services involving issues in Michigan including local jurisdictions and the Michigan State Building Authority revenue bond issue of May 10. The firm said Smith is compensated on a fixed-dollar retainer, payable monthly. Prudential also reported employing Steve Wilson to provide consulting services involving governmental entities throughout the U.S. including three Illinois Housing Development Authority mortgage revenue bond transactions on April 7. The firm said Wilson is compensated on a fixed-dollar retainer, payable monthly.
Dealer Pryor, McClendon, Counts & Co., Inc.
First Quarter Reported retaining Timothy Wright in connection with an Illinois Regional Transportation Authority issue, IV-A Management in conjunction with a Missouri Development Finance Board issue, Lloyd Steward in connection with a New York State Dormitory Authority issue and David Brand in conjunction with a New York State Urban Development Corp. issue. Compensation arragements were not listed.
Second Quarter Reported retaining Timothy Wright in connection with City of Chicago gas supply refunding bonds as well as Lloyd Stewart in conjunction with a New York State Dormitory Authority offering. The firm also reported employing David Brand in connection with a New York State Urban Development Corp. issue and Bill Sykes in conjunction with a State of Ohio Enterprise Bond Fund issue. Details of the compensation arrangement were not listed.
Dealer Rauscher Pierce Refsnes, Inc., Dallas
First Quarter Reported paying just over $34,000 to Dr. Jack Johnson for consulting services in connection with five Texas school district financings.
Second Quarter Reported paying just over $15,000 to Dr. Jack Johnson for consulting services in connection with six Texas school district financings and almost $14,000 to Rex DeSpain of Money Measures for services in conjunction with six California school district bond deals.
Dealer Shawmut Bank Connecticut, N.A.
First Quarter Reported employing Russell Galipo as a consultant to assist in retaining bank's position as a financial adviser for 57 local governments in Connecticut. Bank said Galipo is paid $50 per hour and is reimbursed for his expenses.
Second Quarter Reported employing Russell Galipo as a consultant to assist in retaining bank's position as a financial adviser for 57 local governments in Connecticut. Bank said Galipo is paid $50 per hour and is reimbursed for his expenses.
Dealer Smith Barney, Inc.
First Quarter Reported employing Michael Daley of Daley & George as a consultant in conjunction with a negotiated underwriting done for the Illinois Health Facilities Authority. The firm said he was paid $15,000 per month. Smith Barney also reported retaining James Wray of J. Wray and Associates for a fee of $4,000 per month in conjunction with an unspecified negotiated deal in Ohio and employing it reported paying Slagle & Slagle $7,500 per month in connection with a negotiated underwriting for the Texas Public Finance Authority. The three were paid under terms of the contracts listed below. Smith BarneyThe firm also reported that the following 15 individuals or firms were under contract to provide consulting services for no particular deals during the quarter and listed both their compensation and their area of activity: Paul Belica, $1,000 per day worked, South Dakota; Biltmore Financial Analysis, $8,400 per month, N.Y. MTA, Westchester County Sewer and Water, N.Y. Power Authority, and Westchester Medical Center; Carpi & Clay, $2,000 per month, San Diego, Calif., with the exception of the San Diego County Water Authority; Colorado Legislative Services, $2,000 per month, Colorado with the exception of the city and county of Denver; Daley & George, $15,000 per month, Illinois with the exception of Cook County, Cook County Forest Preserve District, City of Chicago or any of its governmental units directly associated with the city; James R. Wray & Associates, $4,000 per month, Michigan, Ohio, Illinois, Oklahoma and Texas; Juarez Associates, $3,000 per month, Orange County, Fla.; Landry & Associates, $4,000 per month, Arizona with the exception of the Arizona Department of Transportation and the City of Phoenix; Legislative Digest (S. Whittaker), $2,500 per month, Alabama; Meyer, Suozzi, English; $15,000 per month; New York State; Osborne Associates, $2,000 per month, San Diego County, Calif.; Parrish, Smith Associates, $3,500 per month, Georgia, with exception of State of Georgia; Slagle & Slagle, $7,500 per month, Texas; Smith Public Affairs, $5,000 per month, Orange County, Calif.; Theodore P. Swick, $3,000 per month, no particular territory.
Second Quarter Reported employing paying Smith Public Affairs as a consultant under terms listed below$5,000 per month in conjunction with both a negotiated underwriting and a remarketing for the Foothill/Eastern Transportation Corridor in California. Smith BarneyThe firm also reported that the following 15 individuals or firms were under contract to provide consulting services for no particular deals during the quarter and listed both their compensation and their area of activity: Paul Belica, $1,000 per day worked, South Dakota; Biltmore Financial Analysis, $8,400 per month, N.Y. MTA, Westchester County Sewer and Water, N.Y. Power Authority, and Westchester Medical Center; Carpi & Clay, $2,000 per month, San Diego, Calif., with the exception of the San Diego County Water Authority; Colorado Legislative Services, $2,000 per month, Colorado with the exception of the city and county of Denver; Daley & George, $15,000 per month, Illinois with the exception of Cook County, Cook County Forest Preserve District, City of Chicago or any of its governmental units directly associated with the city; James R. Wray & Associates, $4,000 per month, Michigan, Ohio, Illinois, Oklahoma and Texas; Juarez Associates, $3,000 per month, Orange County, Fla.; Landry & Associates, $4,000 per month, Arizona with the exception of the Arizona Department of Transportation and the City of Phoenix; Legislative Digest (S. Whittaker), $2,500 per month, Alabama; Meyer, Suozzi, English; $15,000 per month; New York State; Osborne Associates, $2,000 per month, San Diego County, Calif.; Parrish, Smith Associates, $3,500 per month, Georgia, with exception of State of Gerogia; Slagle & Slagle, $7,500 per month, Texas; Smith Public Affairs, $5,000 per month, Orange County, Calif., Theodore P. Swick, $3,000 per month, no particular territory.
Dealer Stone & Youngberg, San Francisco
First Quarter Reported employing Jack Schreder of Cunningham/Schreder & Associates and paying him a finder's fee of 7% of the underwriting discount in connection with a negotiated issue of the Riverbank School District 93, Stanislaus County, Calif.
Second Quarter None
Dealer Wheat First Butcher Singer, Philadelphia
First Quarter Reported employing Robert C. Robb, Jr., of Lewis, Eckert, Robb & Co., as a registered lobbyist and corporate and municipal consultant and Robert L. Greenberg as a municipal consultant, both on unidentified annual retainers in conjunction with the firm's business in Pennsylvania. But the firm did not identify if the two consultants were involved with any of the six Pennsylvania deals the firm underwrote or the four for which it acted as financial adviser during the quarter. It also reported retaining Harry S. Moore as a municipal consultant for an unspecified hourly fee in conjunction with the firm's business in West Virginia. The firm did not identify if Moore was involved with either of the two deals the firm underwrote in the state or the one issue for which it acted as financial adviser during the quarter.
Second Quarter Reported employing Robert C. Robb, Jr., of Lewis, Eckert, Robb & Co., as a registered lobbyist and corporate and municipal consultant and Robert L. Greenberg as a municipal consultant, both on unidentified annual retainers in conjunction with the firm's business in Pennsylvania. But the firm did not identify if the two consultants were involved with any of the 25 Pennsylvania deals the firm underwrote during the quarter. It also reported retaining Harry S. Moore as a municipal consultant for an unspecified hourly fee in conjunction with the firm's business in West Virginia. The firm did not identify if Moore was involved with City of Beckley issue the firm underwrote in the state during the quarter. The firm also employed Robert R. Neall as a consultant under an annual retainer plus limited paymers and possible "additional payments" in conjunction with the firm's business in Maryland. The firm did no deals in the state in the quarter. Wheat First also employed Vectre Corp. for an unspecified hourly fee in conjunction with the firm's business in Virginia, but did not say if the consulting firm was involved with any of the nine issues the firm underwrote in the state or the two for which is acted as financial adviser during the quarter.
Dealer B.C. Ziegler & Company
First Quarter Reported paying a fee of between .15% and .25% to AAHSA Development Corp., a non-profit trade association covering long-term care services for the elderly, for the group's endorsement in connection with the underwriting of two revenue bond issues for retirement centers.
Second Quarter Reported paying a fee of between .15% and .25% to AAHSA Development Corp., a non-profit trade association covering long-term care services for the elderly, for the group's endorsement in connection with the underwriting of four revenue bond issues for three retirement centers and a health care facility.
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