Black Elk Energy

$40 Million

Private Placement

May, 2013

Sole Placement Agent

Rockwell Medical

$40.25 Million

Secondary Offering

May, 2013

Lead Underwriter

Healthcare Corporation of America

$104 Million

M&A

April, 2013

Financial Advisor

Rockwell Medical

$13 Million

Registered Direct

March, 2013

Lead Placement Agent

Cel-Sci Corporation

$10.5 Million

Registered Direct

December, 2012

Sole Placement Agent

KAR Auction Services Inc.

$236 Million

Secondary Offering

December, 2012

Selling Group

Nuveen Intermediate Municipal Term Fund

$630 Million

IPO

December, 2012

Co-Manager

You On Demand

$2.7 Million

Registered Direct

December, 2012

Sole Placement Agent

CIS Acquisition Corp

$40 Million

IPO

December, 2012

Lead Underwriter

Crius Energy

$100 Million

IPO

November, 2012

Co-Manager

Sprott Physical Silver Trust

$270 Million

Secondary Offering

November, 2012

Selling Group

AK Steel Holding Corporation

$88 Million

Secondary Offering

November, 2012

Placement Agent

First Trust MLP and Energy Income Fund

$830 Million

IPO

November, 2012

Co-Manager

Nexstar Broadcasting Group

$74 Million

Secondary Offering

November, 2012

Selling Group

Crius Energy

$400 Million

M&A

October, 2012

Financial Advisor

Stone Harbor Emerging Markets Total Income Fund

$240 Million

IPO

October, 2012

Co-Manager

Sprott Physical Gold Trust

$393 Million

Secondary Offering

September, 2012

Selling Group

Cheniere Energy Partners, L.P.

$200 Million

Secondary Offering

September, 2012

Selling Group

Blackstone / GSO Strategic Credit Fund

$835 Million

IPO

September, 2012

Co-Manager

MYOS Corp

$5.6 Million

Private Placement

July, 2012

Sole Placement Agent

ClearBridge Energy MLP Total Return Fund

$800 Million

IPO

July, 2012

Co-Manager