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Flaherty & Crumrine Preferred and Income Opportunity Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Commonwealth Equity Services
51
Commonwealth Equity Services
Massachusetts
– -$108K -12,715 Closed
RL
52
RPO LLC
Connecticut
– -$104K -12,287 Closed
Nomura Holdings
53
Nomura Holdings
Japan
– -$84.7K -10,000 Closed
Northwestern Mutual Wealth Management
54
Northwestern Mutual Wealth Management
Wisconsin
– -$46.6K -5,500 Closed
IAIM
55
International Assets Investment Management
Florida
– -$8.83K -1,043 Closed