Securities Transaction Summary
| Date of Filing |
| Type of Offering | Dollar Value of Offering | Registered (R) Or Exempt (E) | Securities Offered | Placement Agent | |
1/2010 | Aegean Earth and Marine Corporation | Private | $5,000,000 Plus | Exempt | Shares and Warrants | - | |
1/2010 | Aegean Earth and Marine Corporation | Reverse Merger | - | Exempt | - | - | |
1/2010 | China Polypeptide Group Limited | Private Placement | $3,500,00 Plus | Exempt | Common and Warrants | Direct | |
1/2010 | China Shandong Industries, Inc. | Public Offering | $10,000,000 Plus | Registration | Common and Warrants | To Be Announced Post Filing | |
1/2010 | Lotus Pharmaceuticals, Inc. | Public Offering | $15,000,000 Plus | Registration | Common | TBD | |
1/2010 | Stockcross | Acquisition of a Broker/Dealer | $900,000 | - | Cash | - | |
12/2009 | China Baicaotang Medicine Limited | Private Placement | $5,000,000 Plus | Exempt | Common and Warrants | May Davis/ American Capital | |
12/2009 | China Baicaotang Medicine Limited | Reverse Merger | - | Exempt | - | - | |
12/2009 | Decisionpoint Systems, Inc. | Private | $2,500,000 | Exempt | Notes, Shares and Warrants | - | |
12/2009 | WLG, Inc. | Loan Agreement | $5,000,000 | Exempt | Bank Loan | - | |
12/2009 | Stockcross | Acquisition | $15,000,000 Plus | - | Notes and Cash | - | |
11/2009 | China Polypeptide Group Limited | Reverse Merger | - | Exempt | - | - | |
11/2009 | China Shandong Industries, Inc. | Reverse Merger | - | Exempt | - | - | |
10/2009 | VLOV, Inc. | Private | $8,000,000 Plus | Exempt | Preferred Stock and Warrants | Gilford Secures | |
9/2009 | Arc China Inc. | Private | $3,000,000 Plus | Exempt | Common Stock | Gilford Secures | |
8/2009 | Waste 2 Energy | Private | $10,000,000 Plus | Exempt | Debentures and Warrants | Charles Vista | |
7/2009 | Alarian | Acquisition | $10M plus | - | Cash and Notes | Gilford Securities Incorporated (Advisor) | |
6/2009 | AGS /Taron Technologies Inc. | PR | $300,000 | E | Notes | - | |
6/2009 | Anpath Group Inc. | PR | $2,500,000 | E | Notes and Warrants | Laidlaw & Co. (UK) Ltd. | |
5/2009 | Waste2Energy | PR | $10M | E | Common Stock | Charles Vista | |
5/2009 | ChinAmerica Fund III | PR | $15M-$150M | E | Membership Interests | Laidlaw & Co. (UK) Ltd. | |
5/2009 | ChinAmerica Fund II | PR | $15M-$150M | E | Membership Interests | Laidlaw & Co. (UK) Ltd. | |
5/2009 | ChinAmerica Fund I | PR | $15M-$150M | E | Membership Interests | Laidlaw & Co. (UK) Ltd. | |
| 4/2009 | Six Diamond Resorts International | PR | $1.75M | E | Common Stock | Fordham Financial Management, Inc. | |
3/2009 | Six Diamond Resorts International | PR | $200,000 | E | Notes and Warrants | Fordham Financial Management, Inc. | |
2/2009 | Manhattan Pharmaceutical Inc. | PR | $3.5M | E | Notes and Warrants | National Securities Corporation | |
1/2009 | Domyliko S.A. | PR | $7.5M | E | Common Stock and Warrants | Newbridge Securities Corporation | |
1/2009 | Domyliko S.A. | RM | - | E | - | - | |
12/2008 | IP Knowledge Ventures, LLC | RM | - | E | - | Newbridge Securities Corporation | |
12/2008 | IP Knowledge Ventures, LLC | PR | $7.5M | E | Common Stock and Warrants | Newbridge Securities Corporation | |
11/2008 | P2W Holdings, LLC | PR | $3,500,000 | E | Membership Units/ Warrants | N/A | |
10/2008 | Royal Palms 160 LLC | PR | $600,000 | E | Notes | Laidlaw & Co. (UK) Ltd. | |
10/2008 | Laidlaw Realty Partners I, LLC | PR | $6,000,000 | E | Membership Interests | Laidlaw & Co. (UK) Ltd. | |
9/2008 | Six Diamond Resorts International | PR | $2,020,000 | E | Units | Fordham Financial Management, Inc. | |
9/2008 | Laidlaw Venture Partners I, LLC | PR | $1,000,000 | E | Preferred Stock | Laidlaw & Co. (UK) Ltd. | |
9/2008 | Laidlaw Holdings PLC | PR | $4,839,000 | E | Units | Laidlaw & Co. (UK) Ltd. | |
08/2008 | Anpath Group Inc. | PR | $1,000,000 | E | Loan | - | |
7/2008 | Objective Systems Pty, Ltd. | PR | $1,925,000 | E | Notes/Equity | N/A | |
6/2008 | Wherify Wireless, Inc. | PR | $800,000 | E | Notes | Laidlaw & Co. (UK) Ltd. | |
3/2008 | Spireline Systems, Inc. | PR | $1,000,000 | E | Common Stock | Laidlaw & Co. (UK) Ltd. | |
3/2008 | Assuretec Holdings, Inc. | PR | $925,000 | E | Units | Northeast Securities, Inc. | |
2/2008 | Six Diamond Resorts International | PR | $4,731,514 | E | Units | Fordham Financial Management, Inc. | |
2/2008 | Beacon Enterprise Solutions Group, Inc | PR | $4,000,000 | E | Units | Laidlaw & Co. (UK) Ltd. | |
2/2008 | Aegean Earth and Marine Corporation | PR | $7,500,000 | E | Units | N/A | |
1/2008 | Laidlaw & Co. (UK) Ltd. FSP, Inc. d/b/a Spireline Systems, Inc. | PR | $2,400,000 | E | Common Stock | Laidlaw & Co. (UK) Ltd. | |
12/2007 | Pacific CMA, Inc. | O – | --- | E | Agreement and Plan of Merger by and between Pacific CMA, Inc. and Pacific CMA Holding Limited | --- | |
12/2007 | Cyphermint, Inc. | PR | $800,000 | E | Units | Northeast Securities, Inc. | |
11/2007 | Green Holdings, Inc. | PR | $5,000,000 | E | Preference Shares | N/A | |
09/2007 | VB Trade, Inc. | O – | --- | E | Plan and Agreement of Merger between VB Trade, Inc. and Endeavor Uranium, Inc. | --- | |
09/2007 | Motive Interactive, Inc. | PR | $ 2,205,000 | E | Units | N/A | |
9/2007 | Laidlaw & Co. (UK) Ltd. Holdings PLC | PR | $3,115,800 | E | Units | Laidlaw & Co. (UK) Ltd. | |
08/2007 | Wherify Wireless, Inc. | PR | $1,129,000 | E | Series B Preferred | Laidlaw & Co. (UK) Ltd. | |
08/2007 | NWJ Signature Fund I, LLC | PR | $2,650,000 | E | Membership Units | Northeast Securities, Inc. | |
8/2007 | Allmarine Consultants Corporation, Inc. | PR | $8,555,504 | E | Common Stock | Laidlaw & Co. (UK) Ltd. | |
07/2007 | Wako Logistics Group, Inc. (acquires World Commerce Services LLC) | O – Membership Interests Purchase Agreement | Membership Interests purchased in exchange for common stock | E | Membership Interests | --- | |
07/2007 | Airgate International Corp. | PR | $5,000,000 | E | $5,000,000 Interim Loan from BHC Interim Funding II, L.P. | N/A | |
06/2007 | MEDL Holdings, LLC | PR | $6,000,000 | E | Class A Member Interests | Laidlaw & Co. (UK) Ltd. | |
04/2007 | Pacific CMA, Inc | N/A | $10,000,000 | Revolving Note | N/A | ||
04/2007 | Merlot Communications, Inc. | PR | $500,000 | E | Note and Warrants | ||
04/2007 | GPS Associates, LLC | PR | $6,000,000 | E | Class A Member Interests | Laidlaw & Co. (UK) Ltd. | |
2/2007 | Palisades Media Asset Fund, LLC | PR | $5,836,350 | E | Membership Interests | Laidlaw & Co. (UK) Ltd. | |
| 2/2007 | Merlot Communications Inc. | PR | $3,500,000 | E | Units | Laidlaw & Co. (UK) Ltd. | |
2/2007 | GPS Associates, LLC | PR | $1,200,000 | E | Class A Member Interests | Laidlaw & Co. (UK) Ltd. | |
| 1/2007 | Janel World Trade, Inc | PR | $500,000 | E | Preferred Stock | Laidlaw & Co. (UK) Ltd. | |
| 1/2007 | Donut Holdings LLC | PR | $8,5000,000 | E | Membership Interests | Laidlaw & Co. (UK) Ltd. | |
| 1/2007 | American Telecom Systems | PR | $13,000,000 | E | Common Stock and Warrants | Northeast Securities, Inc. | |
11/2006 | Zestra Laboratories, Inc. | PR | $3,000,000 | E | Common stock | Alaron Financial Services, Inc. | |
11/2006 | Viaspace | PR | $3,800,000 | E | Convertible Debentures | Gilford Securities | |
10/2006 | Patron Systems, Inc. | PR | $3,120,966 | E | Series B Units | Laidlaw & Co. (UK) Ltd. | |
10/2006 | HMDR Investors, LLC | PR | $2,600,000 | E | Membership Interests | Laidlaw & Co. (UK) Ltd. | |
| 09/2006 | UniPixel | PR | $900,000 | E | Units | Northeast | |
08/2006 | Zestra Laboratories, Inc. | PR | $6,000,000 | E | Series B Convertible Preferred Stock | Laidlaw & Company (UK) Ltd. | |
08/2006 | XA, Inc | PR | $1,500,000 | E | Notes & Warrants | Laidlaw & Co. (UK) Ltd. | |
08/2006 | Unipixel Inc. | PR | $900,000 | E | Notes | Northeast Securities, Inc. | |
8/2006 | Strategic Oil & Gas | PR | $3,000,000 (plus) | E | Units | Gilford Securities | |
06/2006 | Zestra Laboratories | PR | $6,000,000 | E | Preferred Stock | Laidlaw & Co. (UK) Ltd. | |
05/2006 | Phase III Medical, Inc. | PR | $3,000,000 | E | Units | --- | |
05/2006 | Pacific CMA, Inc | N/A | Restructuring of $7,500,000 Credit Facility | Notes | N/A | ||
05/2006 | Charys | PR | $3.5M (plus) | E | Units | Gilford Securities | |
05/2006 | TREK | PR | $8,000,000 | E | Units | Laidlaw & Co. (UK) Ltd. | |
04/2006 | Transparent Value, LLC | PR | $1,750,900 | E | Units (A and A-1) | N/A | |
04/2006 | Palisades Systems, Inc. | PR | $3,067,972 | E | Units | Laidlaw & Co. (UK) Ltd. | |
03/2006 | Real Time Risk Systems LLC | PR | $250,000 | E | Membership Interests | N/A | |
03/2006 | Patron Systems, Inc. | PR | $4,820,501 | E | Series A Units | Laidlaw & Co. (UK) Ltd. | |
03/2006 | Motive Interactive, Inc. | PR | $4,925,385 | E | Units | N/A | |
02/2006 | American Caresource Holdings | PR | $9,997,000 | E | Common Stock | Laidlaw & Co. (UK) Ltd. | |
01/2006 | THC-TREK Holdings, LLC | PR | $10,800,000 | E | Membership Interests | Laidlaw & Co. (UK) Ltd. | |
01/2006 | Telecomm Sales Network, Inc. | PR | $8,500,000 | E | Common Stock | Laidlaw & Company (UK) Ltd., APS Financial Corp., Riverstone Wealth Management | |
01/2006 | Telecomm Sales Network, Inc. | PR | $7,500,000 | E | Reverse Merger, PIPE Transaction – Common Stock | N/A | |
01/2006 | LightEdge Solutions, Inc | PR | $7,245,972 | E | Preferred Shares | Laidlaw & Co. (UK) Ltd. | |
01/2006 | Clearwave Focus Fund, LLC | PR | E | LLC Interests | --- | ||
01/2006 | Baseline Oil & Gas, Inc. | PR | $9,000,000 | E | Common Stock | Gilford Securities | |
01/2006 | Alliance Distributors Holdings Inc. | PR | $60,000,000 | E | Units | Sanders Morris Harris, Inc. | |
12/2005 | Allion Healthcare Co. | IPO | $20M plus | R | Common Stock | - | |
12/2005 | Jinti, Inc. | PR | $1,000,000 | E | Preferred Shares | N/A | |
11/2005 | Telecomm Sales Network, Inc. | O – | --- | --- | Agreement and Plan of Merger by and among Telecomm Sales Network, Inc., TSN Acquisition Corporation and Envirosystems, Inc. | --- | |
11/2005 | Patient Infosystems, Inc. | PR | $12,000,000 | E | Common Stock | Laidlaw & Co. (UK) Ltd. | |
11/2005 | College Oak Investments, Inc. | PR | $2,375,000 | E | Notes/Equity | Gilford Securities | |
10/2005 | Wako Logistics Group, Inc. (acquires Asean Cargo Pty Ltd.) | O – Securities Purchase Agreement | Common stock for common stock transaction pursuant to Securities Purchase Agreements | E | Common stock | --- | |
10/2005 | Modern Office Systems, Inc. | PR | $600,000 | E | Common Stock | N/A | |
09/2005 | Mix & Burn, Inc. | PR | $6,000,000 | E | Units | --- | |
09/2005 | Giant Motorsports, Inc. | PR | $2,870,000 | E | Preferred Stock | HCFP/Brenner Securities LLC | |
09/2005 | Advanced Analytical Technologies, Inc. | PR | $5,300,000 | E | Preferred Stock | Laidlaw & Co. (UK) Ltd. | |
08/2005 | Pacific CMA, Inc. | PR | $7,500,000 | E | Secured Convertible Minimum Borrowing Note and Secured Revolving Note to Laurus Master Fund Ltd. | N/A | |
08/2005 | Neocork Technologies, Inc. | PR | $4,009,802 | E | Preferred Stock | Laidlaw & Co. (UK) Ltd. | |
08/2005 | Centuria Corporation | PR | $12,798,375 | E | Preferred Stock | Laidlaw & Co. (UK) Ltd. | |
07/2005 | Victor Cosmeceuticals, Inc. – Trident Growth Fund Financing | PR | $1,300,000 | E | Units | Sanders Morris Harris, Inc. | |
06/2005 | Giant Motorsport | Debt Financing | $2,000,000 | E | Secured Debt | - | |
06/2005 | Royal Palms 160 Unit LLC | PR | $4,700,000 | E | Membership Interests | Laidlaw & Co. (UK) Ltd. | |
06/2005 | HealthWatchSystems, Inc. | PR | $2,387,500 | E | Common Stock | Gilford Securities | |
05/2005 | Victor Cosmeceuticals, Inc. | PR | $1,200,000 | E | Units | Sanders Morris Harris, Inc. | |
05/2005 | Lev Pharmaceuticals, Inc. | PR | $5,044,774 | E | Common Stock | Laidlaw & Co. (UK) Ltd. | |
04/2005 | Zonal HiTech Corp. | PR | $175,000 | E | Common Stock | N/A | |
04/2005 | Wako Logistics Group, Inc. (acquires Kay O’Neill (USA Holdings) Limited) | O – Membership Interests Purchase Agreement | Membership Interests purchased for $1,000,000 (+assumption of outstanding debt) | E | Membership Interests | --- | |
04/2005 | FBO Air, Inc. | PR | $4,488,975 | E | Preferred Stock | Laidlaw & Co. (UK) Ltd. | |
04/2005 | Critterpix Studios | PR | $2,105,000 | E | Notes | Laidlaw & Co. (UK) Ltd. | |
03/2005 | Victor Cosmeceuticals Inc. | PR | $3,500,000 | E | Notes and Warrants | Sanders Morris Harris, Inc. | |
03/2005 | Qualilife Pharmaceuticals, Inc. | PR | $3,000,000 | E | Preferred Stock | Gryphon Financial Securities Corp. | |
03/2005 | Patron Systems, Inc. | PR | $3,500,000 | E | Notes | Laidlaw & Co. (UK) Ltd. | |
02/2005 | Transbeam, Inc. | PR | $1,300,000 | E | Acquisition of I-2000, Inc. Common Stock | N/A | |
02/2005 | Rhodes Cosmeceuticals, Inc. | PR | $1,000,000 | E | Units | --- | |
01/2005 | Steakhouse Partners, Inc. | PR | $1,050,000 | E | Common Stock | Laidlaw & Co. (UK) Ltd. | |
12/2004 | International Shipping Enterpries, Inc. | IPO (SPAC) | $102,000,000 | R | Common Stock in Warrants | Sunrise Securities Corp. | |
12/2004 | Siricomm, Inc. | PR | $638,000 | E | Units/ Common Stock | Sands Brothers International, Ltd. | |
12/2004 | SecureCare Technologies, Inc | PR | $200,000 | E | Preferred Stock | Gryphon Financial Securities Corp. | |
12/2004 | ImaRx Therapeutics, Inc. | PR | $7,000,000 | E | Common Stock | First Montauk Securities Corp. | |
11/2004 | Royal Palms Golf Condominium Partners LLC | PR | $4,000,000 | E | Notes | Sands Brothers International, Ltd. | |
11/2004 | Qualilife Pharmaceuticals, Inc. | PR | $250,000 | E | Notes/Equity | Gryphon Financial Securities Corp. | |
10/2004 | SecureCare Technologies, Inc | PR | $1,955,000 | E | Preferred Stock | Gryphon Financial Securities Corp. | |
08/2004 | Pacific CMA, Inc. | N/A | $7,500,000 | N/A | Revolving Notes | N/A | |
08/2004 | Inyx, Inc. | PR | $7,000,000 | E | Units | Sands Brothers International, Ltd. | |
06/2004 | StockCross Financial Services Inc. | O | $850,000 | N/A | Asset Acquisition of Barry Murphy & Company, Inc. | N/A | |
05/2004 | Pacific CMA, Inc | PR | $2,000,000 | E | Preferred Stock and Warrants | N/A | |
04/2004 | Pacific CMA, Inc | PR | $3,000,000 | E | Preferred Stock and Warrants | N/A | |
04/2004 | NUR Macroprinter | PR | $3,000,000 | E | Common Stock | Duncan Capital LLC | |
01/2004 | Moneta Capital Prosperity Fund, LLC | PR | $25,000,000 | E | Partnership Interests | N/A | |
01/2004 | MediaBay Inc. | PR | $4,000,000 | E | Notes | Duncan Capital LLC | |
01/2004 | Natural Golf Corporation | IPO | $12M | R | Common Stock | Gilford Securities Incorporated | |
*For type of offering, please indicate as follows:
PR – Private Placement SYN – Syndication GBO – Government Bond Offering
IPO – Initial Public Offering LP – Limited Partnership TS – Tax Shelter
SPO – Secondary Public Offering BO – Private Bond Offering O – Other (specify)