| NEWBRIDGE SECURITIES CORPORATION | 104065 | PALOMA PHARMACEUTICALS INC | 1353255 | 09/10/2010 | D | $3,000,000 | $1,200,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Mewbourne Energy Partners 18-A, L.P. | 1739171 | 06/15/2018 | D | $120,000,000 | $960,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Service Finance Funding II, LLC | 1473057 | 10/29/2009 | D | $10,000,000 | $806,776 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | BriaCell Therapeutics Corp. | 1610820 | 04/10/2018 | D | $800,000 | $800,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | ROYALE ENERGY INC | 864839 | 01/06/2010 | D | $3,500,000 | $762,500 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Grom Social Enterprises, Inc. | 1662574 | 12/13/2018 | D | $552,000 | $552,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | PALOMA PHARMACEUTICALS INC | 1353255 | 09/02/2009 | D | $2,000,000 | $500,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | Service Finance Funding II, LLC | 1473057 | 09/25/2009 | D | $10,000,000 | $425,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | PIZZA FUSION HOLDINGS INC | 1421953 | 01/29/2010 | D | $3,000,000 | $400,000 |
| NEWBRIDGE SECURITIES CORPORATION | 104065 | ROYALE ENERGY INC | 864839 | 06/25/2009 | D | $6,600,000 | $348,000 |
