CBD Energy

$25 Million

Private Placement

May, 2012

Sole Placement Agent

Uranium Energy Corp.

$22.5 Million

Registered Direct

April, 2012

Selling Group

SandRidge Mississippian Trust II

$628 Million

IPO

April, 2012

Selling Group

Prudential Short Duration High Yield Fund

$699 Million

IPO

April, 2012

Co-Manager

Nuveen Real Asset Income and Growth Fund

$218.5 Million

IPO

April, 2012

Co-Manager

BGS Acquisition Corp.

$40 Million

IPO

March, 2012

Co-Manager

U.S. Silica Holdings

$200 Million

IPO

February, 2012

Selling Group

Guggenheim Strategic Opportunities Fund

$29 Million

Secondary Offering

February, 2012

Selling Group

Sprott Physical Silver Trust ETV

$349 Million

Secondary Offering

February, 2012

Selling Group

Sprott Physical Gold Trust

$303 Million

Secondary Offering

February, 2012

Selling Group

Alnylam Pharmaceuticals, Inc

$80.6 Million

Secondary Offering

February, 2012

Co-Manager

Virtus Global Multi-Sector Income Fund

$215 Million

IPO

February, 2012

Co-Manager

Cel-Sci Corporation

$5.76 Million

Registered Direct

January, 2012

Sole Placement Agent

BlackRock Utility and Infrastructure Trust

$310 Million

IPO

December, 2011

Selling Group

Chesapeake Granite Wash Trust

$380 Million

IPO

December, 2011

Selling Group

Stemcells Inc

$10 Million

Secondary Offering

December, 2011

Co-Manager

CBD Energy

$2 Million

PIPE

December, 2011

Sole Placement Agent

Selway Capital Acquisition Corp

$20 Million

IPO

November, 2011

Co-Lead Underwriter

Rentech Nitrogen Partners, L.P.

$300 Million

IPO

November, 2011

Co-Manager

CEL-SCI Corporation

$4 Million

Registered Direct

October, 2011

Placement Agent

Atlantic Power Corporation

$146 Million

Public Offering

October, 2011

Selling Group