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Securities & Investment Banking Firm Transactions

( - indicates Berkshire Capital client )

Date
Announced

Sept -2005
Buyer
Canaccord Capital Inc.


Seller

Adams Harkness Financial Group, Inc.

Type


SEC
Details


Date
Announced

Aug -2005
Buyer
Bank Hapoalim B.M.


Seller

Investec (US) Incorported (Investec USA Holdings Corp.)

Type


SEC
Details


Date
Announced

Feb -2005
Buyer
Janney Montgomery Scott LLC
(Penn Mutual Life Insurance Company)


Seller

Parker/Hunter Incorporated

Type


SEC
Details

Date
Announced

Mar-2004
Buyer
LPL Financial Services


Seller

W.S. Griffith Securities & Main Street Management Company (The Phoenix Companies)

Type


SEC
Details


Date
Announced

Oct-2003
Buyer
Knight Trading Group


Seller

Donaldson & Co. Incorporated

Type


SEC
Details


Date
Announced

Feb-2003
Buyer
Wachovia Corporation


Seller

Prudential Financial, Inc.
(Retail Brokerage & Clearing Divisions)

Type


SEC
Details


Date
Announced

Dec-2002
Buyer
Fahnestock Viner Holdings Inc.


Seller

CIBC U.S. Private Client Group

Type


SEC
Details


Date
Announced

Dec-2002
Buyer
RBC Dain Rauscher Inc.
(Royal Bank of Canada)


Seller

First Institutional Securities, L.L.C.

Type


SEC
Details


Date
Announced

Nov-2000
Buyer
McDonald Investments Inc.
(KeyCorp)


Seller

The Wallach Company, Inc.

Type


SEC


Date
Announced

Nov-2000
Buyer
First Tennessee
Securities Corporation


Seller

Midwest Research-Maxus Group Limited

Type


SEC


Date
Announced

Sep-2000
Buyer
Tucker Anthony Sutro


Seller

Branch, Cabell & Co., Inc.

Type


SEC


Date
Announced

Sep-2000
Buyer
Raymond James Financial, Inc.


Seller

Goepel McDermid, Inc.

Type


SEC


Date
Announced

Sep-2000
Buyer
First Union Corporation


Seller

JWGenesis Financial Corp.

Type


SEC


Date
Announced

Sep-2000
Buyer
First Security Corporation


Seller

Black & Company, Inc.

Type


SEC


Date
Announced

Jul-2000
Buyer
Lehman Brothers Holdings


Seller

SG Cowen Securities Corp. Private Client Group

Type


SEC


Date
Announced

May-2000
Buyer
First Union Corporation


Seller

First Albany Companies Inc.
Private Client Group

Type


SEC


Date
Announced

Nov-1999
Buyer
Instinet Corporation


Seller

Lynch, Jones & Ryan, Inc.

Type


SEC


Date
Announced

Jun-1999
Buyer
Freedom Securities


Seller

Gibraltar Securities

Type


SEC


Date
Announced

Jun-1999
Buyer
Prudential Securities Incorporated


Seller

Vector Securities International, Inc.

Type


SEC


Date
Announced

Nov-1998
Buyer
Freedom Securities


Seller

Hopper Soliday & Co., Inc,
(First Maryland Bancorp)

Type


SEC


Date
Announced

Oct-1998
Buyer
Wachovia Corporation


Seller

Interstate/Johnson Lane, Inc.

Type


SEC

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