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SAGIENT RESEARCH - PIPE MARKET INVESTMENT BANKING LEAGUE TABLE

The First Half 2006 PIPE Market Investment Banking League Table By Number of Transactions:

Investment Banking rankings exclude all Equity Line of Credit transactions and all PIPE transactions conducted by Canadian domiciled issuers.  On transactions where an investment banking firm has acted solely as Financial Advisor, that transaction has been excluded from that firm’s ranking.  Co-agented transactions award full transaction credit to all agents participating (regardless of status of lead agent or co-agent).  Data is created and reported by Sagient Research Systems as of 7/19/06.

Placement Agent Name

Transaction Count

 Total Amount Placed

Rodman & Renshaw, LLC

20

 $ 291,639,911
Roth Capital Partners, LLC

16

 $ 226,757,645
Cowen and Company, LLC

14

 $ 654,101,499
Midtown Partners & Co., LLC

10

 $ 28,844,077
Sanders Morris Harris, Inc.

9

 $ 161,862,851
HPC Capital Management Corp.

9

 $ 40,313,604
C.E. Unterberg, Towbin

8

 $ 56,597,202
Dawson James Securities, Inc.

8

 $ 55,290,542
Banc of America Securities, LLC

7

 $ 227,614,301
Piper Jaffray & Co.

7

 $ 213,713,849
Oppenheimer & Co., Inc.

7

 $ 131,908,750
Ascendiant Securities, LLC

7

 $ 30,250,000
Jefferies & Co., Inc.

6

 $ 278,544,750
Burnham Hill Partners

6

 $ 70,028,153
Stonegate Securities, Inc. 

6

 $ 50,550,000
Deutsche Bank Securities, Inc.

5

 $ 601,800,000
Merriman Curhan Ford & Co.

5

 $ 120,829,000
Brean Murray, Carret & Co.

5

 $ 66,640,172
Taglich Brothers, Inc.

5

 $ 35,948,131
vFinance Investments, Inc.

5

 $ 20,362,682
Westminster Securities Corp.

5

 $ 10,325,000
J.P. Morgan Chase & Co.

4

 $ 510,505,985
Broadband Capital Management, LLC

4

 $ 240,873,500
UBS Investment Bank

4

 $ 201,834,001
Needham & Company, Inc.

4

 $ 146,605,183

 

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