| Date |
Issue |
Manager |
| 5/26/2010 | China Security & Surveillance Technology, Inc. | Oppenheimer Co., Brean Murray Carret |
| 5/25/2010 | Blackstone GSO Senior Floating Rate Term Fund | Morgan Stanley |
| 4/27/2010 | Nuveen Build America Bond Fund | Merrill Lynch |
| 4/15/2010 | Tri-Tech Holdings Inc. | Newbridge Securities, Brean Murray Carret |
| 3/25/2010 | CONSOL Energy, Inc. | Merrill Lynch |
| 2/12/2010 | Puda Coal, Inc. | Brean Murray Carret, Newbridge Securities |
| 1/26/2010 | Federated Enhanced Treasury Income Fund | Wells Fargo Securities |
| 1/26/2010 | ING Infrastructure, Industrials, & Materia | Citigroup Global Markets |
| 12/15/2009 | GIII Apparel Group, Ltd | Piper Jaffray, Lazard Capital Markets, Brean Murray Carret, KeyBanc Capital |
| 12/2/2009 | ChinaCast Education Corporation | Roth Capital Partners, Brean Murray Carret, Global Hunter Securities |
| 11/17/2009 | American Water Works | BofA Merrill Lynch, Credit Suisse, Morgan Stanley, Goldman Sachs, UBS |
| 11/12/2009 | James River Coal Co. | UBS, Raymond James, Brean Murray Carret, Davenport & Co. |
| 9/24/2009 | Nuveen Enhanced Municipal Value Fund | Merrill Lynch |
| 9/17/2009 | Mueller Water Products | BofA Merrill Lynch, Goldman Sachs, Morgan Stanley, Brean Murray Carret |
| 8/13/2009 | American Water Works Company, Inc. | BofA Merrill Lynch, Citi, Goldman Sachs, CS, MS, UBS, Brean Murray Carret |
| 7/29/2009 | Tortoise Power and Energy Infrastructure Fund, | Wells Fargo, UBS Securities, Stifel Nicholas |
| 6/4/2009 | American Water Works Company | Merrill Lynch, Citi, Goldman Sachs, Morgan Stanley, UBS, Brean Murray Carret |
| 6/3/2009 | Iconix Brand Group | Barclays Capital Inc. |
| 5/26/2009 | Eaton Vance National Municipal Opportunities Trust | UBS Securities LLC |
| 5/21/2009 | Unitil Corp. | RBC, Edward Jones, Janney Montgomery, Oppenheimer, Brean Murray Carret |
| 5/19/2009 | MSCI, Inc. | Morgan Stanley |
| 5/15/2009 | American States Water Company | Janney Montgomery Scott, Brean Murray Carret, Edward Jones |
| 4/28/2009 | Nuveen New York Municipal Value Fund 2 | Merrill Lynch |
| 3/26/2009 | Western Asset Municipal Defined Opportunity Trust | Wachovia Capital Markets |
| 2/24/2009 | Nuveen Municipal Value Fund 2 | Citigroup Global Markets Inc. |
| 12/11/2008 | Unitil Corp. | RBC, Janney Montgomery, Oppenheimer Co, Brean Murray Carret, Edward Jones |
| 8/12/2008 | Chardan 2008 China Acquisition Corp. | Brean Murray Carret, Maxim Group, Roth Capital Partners |
| 7/22/2008 | ShuffleMaster, Inc. | Deutsche Bank,Wachovia Securities, KeyBanc Capital Markets, Brean Murray, Carret |
| 6/10/2008 | Walter Industries | Morgan Stanley, Banc of America, Suntrust Robinson, Brean Murray, Carret |
| 5/22/2008 | Shengda Tech. | Oppenheimer & Co, Roth Capital Partners, Brean Murray, Carret |
| 1/30/2008 | Overture Acquisition Corp. | JP Morgan |
| 1/28/2008 | Blackrock Defined Opportunity Credit Trust | Merrill Lynch |
| 11/30/2007 | Camden Learning Corp. | Morgan Joseph |
| 11/15/2007 | US Nuveen Municipal High Income Opportunity Fund | Merrill Lynch |
| 11/9/2007 | 2020 China Capital Acquisition | Morgan Joseph |
| 10/31/2007 | Harmonic Inc. | Merrill Lynch, Lehman Bros, Jefferies, Merriman |
| 10/23/2007 | Fuqi International Inc. | Merriman Curhan & Ford, Brean Murray, Carret |
| 10/16/2007 | HRPT Properties Trust | Morgan Stanley |
| 10/16/2007 | Stone Tan China Acquisition Corp | Morgan Joseph |
| 9/25/2007 | ING International High Dividend Equity Income Fund | Merril Lynch |
| 9/25/2007 | Nicholas Applegate Global Equity & Conv. In. Fund | UBS, Citigroup, AGE |
| 7/26/2007 | Cohen & Steers Global Inc | Merrill Lynch |
| 7/26/2007 | Eaton Vance Risk Managed Diversified Equity In. Fd | Citigroup |
| 6/28/2007 | American Oriental Bioengineering | Piper Jaffray, Brean Murray, Carret |
| 6/26/2007 | Nuveen Tax Adv. Div. | Citigroup |
| 6/26/2007 | Delaware Enhanced Global Dividend Income | Merrill Lynch |
| 5/24/2007 | Syntax-Brillian | Merrill Lynch, UBS, Robert W. Baird, Canaccord Adams, Brean Murray, Carret |
| 5/24/2007 | Advent/Claymore Global Conv. Secs.& Income Fund | Merrill Lynch |
| 5/24/2007 | Dow 30 Enhanced Preminum & Income Fund Inc. | Merrill Lynch |
| 5/22/2007 | Arcade Acquisition Corp. | Morgan Joseph |
| 4/23/2007 | Morgan Stanley Emerging Markets Domestic Debt Fund | Morgan Stanley |
| 3/23/2007 | Blackrock Global Equity Income Trust | Merrill Lynch |
| 3/22/2007 | Nicholas Applegate Equity & Conv. Income Fund | Citigroup |
| 3/9/2007 | G-III Apparel Group | Thomas Weisel, Cowen, Lazard, Brean Murray, Carret |
| 1/30/2007 | NASDAQ Premium Income & Growth Fund | Merrill Lynch |
| 1/26/2007 | Gabelli Global Deal Fund | Merrill Lynch |
| 1/18/2007 | Kenexa Corporation | Credit Suisse |
