Tailwind Financial Inc. – Filings and Transcripts – BamSEC

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SEC EDGAR

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ended 12/31/08 Q2

Late quarterly filing notification for Q2 2009

ended 09/30/08 Q1

ended 06/30/08 FY 2008

ended 03/31/08 Q3

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Securities registration termination

Removal from listing

Removal from listing

Registration withdrawal request

Business combination disclosure

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Goldstein Phillip

President & Fellows of Harvard College

Aldebaran Investments, LLC

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Announces Record Date for Liquidating Distribution

Terminates Arrangement Agreement With Allen-Vanguard Corporation

Allen-Vanguard and Tailwind Financial Inc. Announce Proposed Merger and Shareholder Rights Offering

Signs Letter of Intent to Acquire 20 Dry Bulk Vessels

Asset Alliance Corporation 800 Third Avenue, Suite 2200 New York, NY 10022 Attention: Bruce H. Lipnick

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Preliminary revised proxy

Preliminary revised proxy

Preliminary proxy

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Certification of approval for listing on the American Stock Exchange

Notice of effectiveness

Correspondence with the SEC

Letter from the SEC

Letter from the SEC