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

Converted Organics Inc

$2.6 Million

PIPE

January, 2012

Sole Placement Agent

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

Tortoise Pipeline & Energy Fund

$250 Million

IPO

October, 2011

Co-Manager

First Trust Energy Infrastructure Fund

$345 Million

IPO

September, 2011

Selling Group

TowerJazz

$32 Million

M&A

August, 2011

Financial Advisor

Sprott Physical Gold Trust

$266 Million

Secondary Offering

July, 2011

Selling Group

Apollo Residential Mortgage, Inc.

$200 Million

IPO

July, 2011

Selling Group

Nautilus Marine Acquisition Corp.

$48 Million

IPO

July, 2011

Co-Manager

CBA Sports International Ltd

$70 Million

Private Placement

June, 2011

Sole Placement Agent