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| COMPANY | SYMBOL | TYPE | PRICE | Shares | Trade Date | UNDERWRITER (S) |
| China Commercial Credit | CCCR | IPO | Priced at $6.50 | 1.37 million | 8/13/2013 | Burnham Securities |
| Code Rebel | CDRB | IPO | Priced at $5.00 | 2 million | 5/19/2015 | Burnham Securities |
| Fuling Global | FORK | IPO | $5.00-$5.00 | 4 million | 11/4/2015 | Burnham Securities, Network 1 Financial Securities |
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