- Epoxy Technology, Inc.

|
M&A |
Sale |
Industrials |
Specialty Chemicals Manufacturer |
- Mosse & Mosse Associates, Inc.

|
M&A |
Sale |
Financial Services |
Insurance Brokerage |
- Surgi-Care, Inc.

|
M&A |
Sale |
Health Care |
Health Care Equipment Distribution |
- Engine Control Systems Ltd. - Standard Exhaust Products Division

|
M&A |
Sale |
Industrials |
Automotive Parts Manufacturer |
- Newman Associates, Inc.

|
M&A |
Sale |
Industrials |
Construction Products Distribution |
- Industrial Services of America, Inc.

|
Private Placement |
Debt |
Industrials |
Metals Recycling |
- Industrial Services of America, Inc.

|
Private Placement |
Equity |
Industrials |
Metals Recycling |
- Preserve

|
Private Placement |
Equity |
Consumer Discretionary |
Plastics Recycling |
- Material Sampling Technologies, LLC

|
M&A |
Sale |
Industrials |
Precious Metals Reclamation |
- Salvage Direct, Inc.

|
M&A |
Sale |
Industrials |
Salvage Vehicle Recycling |
- Metalico, Inc.

|
PIPE |
Equity |
Industrials |
Metals Recycling |
- Environmental Power Corporation

|
Public Offering |
IPO |
Energy |
Alternative Fuel |
- Empire Water Corporation

|
PIPE |
Equity |
Utilities |
Water Utilities |
- Catalytic Solutions, Inc.

|
Private Placement |
Debt |
Industrials |
Automotive Parts Manufacturer |
- Escrow Investments LLC

|
Private Placement |
Debt |
Consumer Discretionary |
Tobacco Products |
- Advanced Environmental Recycling Technologies, Inc.

|
PIPE |
Equity |
Industrials |
Plastics Recycling |
- Metalico, Inc.

|
PIPE |
Equity |
Industrials |
Metals Recycling |
- Callidus Capital Management, LLC

|
Public Offering |
IPO |
Financial Services |
Diversified Financial Services |
- Callidus Capital Management, LLC

|
Public Offering |
IPO |
Financial Services |
Diversified Financial Services |
- Tecnofarma S.A.

|
Private Placement |
Debt |
Health Care |
Pharmaceuticals |
- CornerStone Natural Resources

|
Private Placement |
Equity |
Energy |
Oil, Gas & Consumable Fuels |
- Slate River Resources

|
Private Placement |
Equity |
Energy |
Oil, Gas & Consumable Fuels |
- Pet's Choice, Inc.

|
M&A |
Sale |
Consumer Staples |
Veterinary Hospitals |
- Auction Broadcasting Company

|
Private Placement |
Debt |
Industrials |
Automobile Auctions |
- ThermoGenesis Corp.

|
PIPE |
Equity |
Health Care |
Biotechnology |
- Wolverine Tube, Inc.

|
PIPE |
Equity |
Industrials |
Building Products |
- Fantasy Entertainment, Inc.

|
Private Placement |
Debt |
Consumer Discretionary |
Amusements |
- NuCO2 Inc.

|
PIPE |
Subordinated Debt |
Industrials |
CO2 Distribution |
- Gadzooks, Inc.

|
PIPE |
Convertible Debt |
Consumer Discretionary |
Apparel Retailing |
- Innovo Group, Inc.

|
PIPE |
Equity |
Consumer Discretionary |
Branded Apparel |
- Penwest Pharmaceuticals Co.

|
PIPE |
Equity |
Health Care |
Pharmaceuticals |
- Global Imaging Systems

|
PIPE |
Convertible Debt |
Information Technology |
Technology Hardware, Storage & Peripherals |
- Blue Rhino Corporation

|
PIPE |
Equity |
Industrials |
Propane Gas Distribution |
- CTM Group, Inc.

|
Private Placement |
Equity |
Consumer Discretionary |
Amusements |
- NuCO2 Inc.

|
PIPE |
Equity |
Industrials |
CO2 Distribution |
- Good Guys, Inc.

|
Public Offering |
Block Trades |
Consumer Discretionary |
Specialty Retail |
- Good Guys, Inc.

|
PIPE |
Equity |
Consumer Discretionary |
Specialty Retail |
- RentWay, Inc.

|
PIPE |
Equity |
Consumer Discretionary |
Specialty Retail |
- Nanophase Technologies Corporation

|
PIPE |
Equity |
Materials |
Advanced Materials |
- Kinark Corporation

|
PIPE |
Subordinated Debt |
Industrials |
Metals Processing |
- SpectRx, Inc.

|
PIPE |
Equity |
Health Care |
Medical Devices |
- iPhysicianNet

|
Private Placement |
Equity |
Information Technology |
Software |
- Accutech Plastics, Inc.

|
M&A |
Sale |
Industrials |
Plastic Injection Molding |
- Discover Why

|
Private Placement |
Equity |
Consumer Discretionary |
Media |
- Infraworks

|
Private Placement |
Equity |
Information Technology |
Software |
- Asset Management Outsourcing

|
Private Placement |
Equity |
Financial Services |
Professional Services |
- Back Bay Restaurant Group

|
M&A |
Sale |
Consumer Discretionary |
Hotels, Restaurants & Leisure |
- SRC Holdings, Inc.

|
Private Placement |
Debt |
Consumer Discretionary |
Hotels, Restaurants & Leisure |
- Reflective Technologies, Inc.

|
Private Placement |
Equity |
Industrials |
Specialty Chemicals Manufacturer |
- Erie County Plastics Corporation

|
Private Placement |
Debt |
Industrials |
Plastic Injection Molding |
- IntelliSpace

|
Private Placement |
Equity |
Information Technology |
Internet Software & Services |
- Chaparral Network Storage

|
Private Placement |
Equity |
Information Technology |
Technology Hardware, Storage & Peripherals |
- Prospect Street

|
Public Offering |
Rights |
Financial Services |
Capital Markets |
- Bank Rhode Island

|
Public Offering |
IPO |
Financial Services |
Banking |
- Freedom Securities Corp.

|
Public Offering |
IPO |
Financial Services |
Capital Markets |
- Abington Bancorp

|
Public Offering |
Trust Preferred Securities |
Financial Services |
Banking |
- Century Bancorp, Inc.

|
Public Offering |
Trust Preferred Securities |
Financial Services |
Banking |
- Litchfield Financial Corporation

|
Public Offering |
IPO |
Financial Services |
Thrifts & Mortgage Finance |
- Loon Mountain

|
M&A |
Fairness Opinion |
Consumer Discretionary |
Hotels, Restaurants & Leisure |
- Pacific National Bank of Nantucket

|
M&A |
Fairness Opinion |
Financial Services |
Banking |
- Bank Atlantic Bancorp

|
Public Offering |
Convertible Debt |
Financial Services |
Banking |
- Firestone Financial Corp.

|
M&A |
Sale |
Financial Services |
Route Based Vending |
- Litchfield Financial Corporation

|
Public Offering |
Senior Notes |
Financial Services |
Thrifts & Mortgage Finance |