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| Role | Company Name | Ticker | Market | Offering Type | Status | ||||
| Underwriter - Lead | ACCOONA CORP | ㍰ | NASDAQ National Market | Initial | Withdrawn | ||||
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| Underwriter | ACHILLION PHARMACEUTICALS INC | ACHN | Nasdaq National Market | Initial | Priced | ||||
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| Underwriter | ADVANCED TECHNOLOGY ACQUISITION CORP. | AXC.U | American Stock Exchange | Initial | Priced | ||||
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| Underwriter - Lead | ALDA OFFICE PROPERTIES, INC. | AOPI | Nasdaq SmallCap Market | Initial | Filed | ||||
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| Underwriter - Lead | ALPHA SECURITY GROUP CORP | HDS.U | American Stock Exchange | Initial | Priced | ||||
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| Underwriter | ALYST ACQUISITION CORP. | AYA.U | American Stock Exchange | Initial | Priced | ||||
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| Underwriter | ANDINA ACQUISITION CORP | ANDAU | Nasdaq SmallCap Market | Initial | Priced | ||||
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| Underwriter - Lead | ANSWERS CORP | GRU | American Stock Exchange | Initial | Priced | ||||
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| Underwriter | APMEX PHYSICAL - 1 OZ. GOLD REDEEMABLE TRUST | AUOZ | New York Stock Exchange | Initial | Filed | ||||
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| Underwriter | ARTES MEDICAL INC | ARTE | Nasdaq National Market | Initial | Priced | ||||
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| Underwriter | BARZEL INDUSTRIES INC. | SHJ-U | American Stock Exchange | Initial | Priced | ||||
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| Underwriter | BPW ACQUISITION CORP. | BPW.U | American Stock Exchange | Initial | Priced | ||||
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| Underwriter | BRAINSWAY LTD. | ㍰ | Nasdaq SmallCap Market | Initial | Withdrawn | ||||
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| Underwriter - Lead | CAMPUSU | ㍰ | Nasdaq SmallCap Market | Initial | Withdrawn | ||||
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| Underwriter | CARIBOU COFFEE COMPANY, INC. | CBOU | Nasdaq National Market | Initial | Priced | ||||
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| Underwriter | CERBERUS MORTGAGE CAPITAL, INC. | ㍰ | New York Stock Exchange | Initial | Filed | ||||
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| Underwriter - Lead | CHINA FOR-GEN CORP. | ㍰ | American Stock Exchange | Initial | Withdrawn | ||||
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| Underwriter | CHINA HEALTHCARE ACQUISITION CORP. | CHM.U | American Stock Exchange | Initial | Priced | ||||
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| Underwriter | CHINA HYDROELECTRIC CORP | CHC | New York Stock Exchange | Initial | Priced | ||||
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| Underwriter - Lead | CHINA MEDIAEXPRESS HOLDINGS, INC. | TMI.U | American Stock Exchange | Initial | Priced | ||||
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| Underwriter | CHINA POWER TECHNOLOGY, INC. | CNPT | Nasdaq National Market | Initial | Filed | ||||
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| Underwriter | CIS ACQUISITION LTD. | CISAU | Nasdaq SmallCap Market | Initial | Priced | ||||
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| Underwriter | COFFEE HOLDING CO INC | JVA | American Stock Exchange | Initial | Priced | ||||
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| Underwriter - Lead | COMMUNITY BANKERS TRUST CORP | BTC.U | American Stock Exchange | Initial | Priced | ||||
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| Underwriter | COMPASS GROUP DIVERSIFIED HOLDINGS LLC | CODI | Nasdaq National Market | Initial | Priced | ||||
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