Chief Compliance Officer

0001615774-18-008061.txt : 20180814 0001615774-18-008061.hdr.sgml : 20180814 20180814161637 ACCESSION NUMBER: 0001615774-18-008061 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180814 DATE AS OF CHANGE: 20180814 EFFECTIVENESS DATE: 20180814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: B. Riley Financial, Inc. CENTRAL INDEX KEY: 0001464790 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 270223495 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17148 FILM NUMBER: 181017738 BUSINESS ADDRESS: STREET 1: 21255 BURBANK BLVD. STREET 2: SUITE 400 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 BUSINESS PHONE: 818-884-3737 MAIL ADDRESS: STREET 1: 21255 BURBANK BLVD. STREET 2: SUITE 400 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 FORMER COMPANY: FORMER CONFORMED NAME: Great American Group, Inc. DATE OF NAME CHANGE: 20090522 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001464790 XXXXXXXX 06-30-2018 06-30-2018 false B. Riley Financial, Inc.

21255 Burbank Blvd. Suite 400 Woodland Hills CA 91367

13F COMBINATION REPORT 028-17148 0001079373 028-03991 FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC /TX N Michael Markunas Chief Compliance Officer 310-689-2220 /s/ Michael Markunas Los Angeles CA 08-14-2018 2 408 381561 1 0001658704 028-17147 B. RILEY CAPITAL MANAGEMENT, LLC 2 0001599892 028-16196 B. Riley Wealth Management, Inc. INFORMATION TABLE 2 infotable.xml ALPS ETF TR ALERIAN MLP 00162Q866 99 9766 SH DFND 1 9766 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 185 18051 SH DFND 2 0 0 18051 AT&T INC COM 00206R102 122 3808 SH DFND 1 3808 0 0 AT&T INC COM 00206R102 290 8935 SH DFND 2 0 0 8935 A10 NETWORKS INC COM 002121101 467 75000 SH DFND 75000 0 0 ARK ETF TR INNOVATION ETF 00214Q104 819 17432 SH DFND 2 0 0 17432 ABBOTT LABS COM 002824100 52 853 SH DFND 1 853 0 0 ABBOTT LABS COM 002824100 233 3706 SH DFND 2 0 0 3706 ABBVIE INC COM 00287Y109 79 853 SH DFND 1 853 0 0 ABBVIE INC COM 00287Y109 360 3643 SH DFND 2 0 0 3643 AEHR TEST SYSTEMS COM 00760J108 411 175000 SH DFND 1 175000 0 0 ADVISORSHARES TR ADVISORSHS ETF 00768Y206 252 4663 SH DFND 2 0 0 4663 AEGEAN MARINE PETE NETWORK I NOTE 4.250%12/1 00773VAB2 255 750000 PRN DFND 750000 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 112 605 SH DFND 1 605 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 292 1516 SH DFND 2 0 0 1516 ALPHABET INC CAP STK CL C 02079K107 188 163 SH DFND 2 0 0 163 ALPHABET INC CAP STK CL C 02079K107 195 175 SH DFND 1 175 0 0 ALPHABET INC CAP STK CL A 02079K305 34 30 SH DFND 1 30 0 0 ALPHABET INC CAP STK CL A 02079K305 840 720 SH DFND 2 0 0 720 ALTRIA GROUP INC COM 02209S103 43 750 SH DFND 1 750 0 0 ALTRIA GROUP INC COM 02209S103 237 4041 SH DFND 2 0 0 4041 AMAZON COM INC COM 023135106 184 108 SH DFND 1 108 0 0 AMAZON COM INC COM 023135106 2860 1641 SH DFND 2 0 0 1641 AMYRIS INC COM NEW 03236M200 27 4000 SH DFND 2 0 0 4000 AMYRIS INC COM NEW 03236M200 481 320240 SH DFND 1 320240 0 0 APOLLO INVT CORP COM 03761U106 269 48206 SH DFND 1 48206 0 0 APOLLO SR FLOATING RATE FD I COM 037636107 734 44973 SH DFND 1 44973 0 0 APOLLO TACTICAL INCOME FD IN COM 037638103 407 26082 SH DFND 1 26082 0 0 APPLE INC COM 037833100 1727 9331 SH DFND 1 9331 0 0 APPLE INC COM 037833100 2085 10954 SH DFND 2 0 0 10954 ARCHROCK INC COM 03957W106 404 310038 SH DFND 1 310038 0 0 ARES CAP CORP COM 04010L103 17 1000 SH DFND 2 0 0 1000 ARES CAP CORP COM 04010L103 1264 76833 SH DFND 1 76833 0 0 ARES DYNAMIC CR ALLOCATION F COM 04014F102 233 14489 SH DFND 1 14489 0 0 AROTECH CORP COM NEW 042682203 400 336582 SH DFND 1 336582 0 0 BBX CAP CORP NEW CL A 05491N104 744 82400 SH DFND 82400 0 0 BRT APARTMENTS CORP COM 055645303 722 56616 SH DFND 1 56616 0 0 BABCOCK & WILCOX ENTERPRIS I COM 05614L100 3690 1550276 SH DFND 1 1550276 0 0 BABCOCK & WILCOX ENTERPRIS I COM 05614L100 23188 9742915 SH DFND 9742915 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 282 1 SH DFND 1 1 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 204 1075 SH DFND 2 0 0 1075 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 485 2600 SH DFND 1 2600 0 0 BLACKSTONE GSO FLTING RTE FU COM 09256U105 180 10000 SH DFND 1 10000 0 0 BOEING CO COM 097023105 398 1146 SH DFND 2 0 0 1146 BROOKFIELD REAL ASSETS INCOM SHS BEN INT 112830104 238 10479 SH DFND 1 10479 0 0 CANADIAN SOLAR INC NOTE 4.250% 2/1 136635AE9 46 48000 PRN DFND 48000 0 0 CATERPILLAR INC DEL COM 149123101 270 1908 SH DFND 2 0 0 1908 CENTURY CMNTYS INC COM 156504300 407 310457 SH DFND 1 310457 0 0 CHENIERE ENERGY INC NOTE 4.250% 3/1 16411RAG4 8 10000 PRN DFND 10000 0 0 CHEVRON CORP NEW COM 166764100 67 526 SH DFND 1 526 0 0 CHEVRON CORP NEW COM 166764100 394 3090 SH DFND 2 0 0 3090 CHILDRENS PL INC COM 168905107 28 235 SH DFND 2 0 0 235 CHILDRENS PL INC COM 168905107 362 299022 SH DFND 1 299022 0 0 CISCO SYS INC COM 17275R102 83 1940 SH DFND 1 1940 0 0 CISCO SYS INC COM 17275R102 418 9743 SH DFND 2 0 0 9743 COCA COLA CO COM 191216100 18 400 SH DFND 1 400 0 0 COCA COLA CO COM 191216100 212 4709 SH DFND 2 0 0 4709 COHEN & STEERS LTD DUR PFD I COM 19248C105 850 33256 SH DFND 1 33256 0 0 COHU INC COM 192576106 577 482520 SH DFND 1 482520 0 0 COMSTOCK RES INC NOTE 7.750% 4/0 205768AM6 383 390679 PRN DFND 390679 0 0 COSTCO WHSL CORP NEW COM 22160K105 120 565 SH DFND 2 0 0 565 COSTCO WHSL CORP NEW COM 22160K105 279 1335 SH DFND 1 1335 0 0 CUMMINS INC COM 231021106 241 1760 SH DFND 2 0 0 1760 DIGITAL TURBINE INC COM NEW 25400W102 16 10850 SH DFND 10850 0 0 DISNEY WALT CO COM DISNEY 254687106 202 1908 SH DFND 2 0 0 1908 DISNEY WALT CO COM DISNEY 254687106 241 2298 SH DFND 1 2298 0 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 19 930 SH DFND 2 0 0 930 DOUBLELINE INCOME SOLUTIONS COM 258622109 1577 78889 SH DFND 1 78889 0 0 DOWDUPONT INC COM 26078J100 369 5441 SH DFND 2 0 0 5441 DYCOM INDS INC COM 267475101 380 298373 SH DFND 1 298373 0 0 ECO STIM ENERGY SOLUTIONS IN COM 27888D101 126 193787 SH DFND 193787 0 0 EMERSON ELEC CO COM 291011104 214 3010 SH DFND 2 0 0 3010 EMERGE ENERGY SVCS LP COM REP PARTN 29102H108 156 21000 SH DFND 2 0 0 21000 ENTERPRISE PRODS PARTNERS L COM 293792107 31 1116 SH DFND 1 1116 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 378 13450 SH DFND 2 0 0 13450 EVERSPIN TECHNOLOGIES INC COM 30041T104 535 60000 SH DFND 1 60000 0 0 EXXON MOBIL CORP COM 30231G102 43 517 SH DFND 1 517 0 0 EXXON MOBIL CORP COM 30231G102 227 2719 SH DFND 2 0 0 2719 FACEBOOK INC CL A 30303M102 620 3191 SH DFND 1 3191 0 0 FACEBOOK INC CL A 30303M102 1213 5958 SH DFND 2 0 0 5958 FINJAN HLDGS INC COM NEW 31788H303 3475 1021912 SH DFND 1 1021912 0 0 FINTECH ACQUISITION CORP II COM 31810G109 1000 100000 SH DFND 1 100000 0 0 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 1188 8328 SH DFND 2 0 0 8328 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 975 16680 SH DFND 2 0 0 16680 FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 209 2971 SH DFND 2 0 0 2971 FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 1133 22658 SH DFND 2 0 0 22658 FIRST TR EXCHANGE TRADED FD RISNG DIVD ACHIV 33738R506 2149 70251 SH DFND 2 0 0 70251 FIRST TR EXCHANGE TRADED FD DORSEY WRIGHT 33738R878 832 29315 SH DFND 2 0 0 29315 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 455 23700 SH DFND 2 0 0 23700 FIRST TR EXCH TRADED FD III RIVRFRNT DYN EUR 33739P806 635 9851 SH DFND 2 0 0 9851 FIRST TR EXCH TRADED FD III INSTL PFD SECS 33739P855 805 42200 SH DFND 2 0 0 42200 FIRST TR SR FLOATING RATE 20 COM SHS 33740K101 137 14733 SH DFND 2 0 0 14733 FLOTEK INDS INC DEL COM 343389102 113 35000 SH DFND 35000 0 0 FORTRESS TRANS INFRST INVS L COM REP LTD LIAB 34960P101 205 10900 SH DFND 2 0 0 10900 GSV CAP CORP COM 36191J101 32 4600 SH DFND 1 4600 0 0 GSV CAP CORP COM 36191J101 55 7875 SH DFND 2 0 0 7875 GARRISON CAP INC COM 366554103 19 2300 SH DFND 2 0 0 2300 GARRISON CAP INC COM 366554103 387 47568 SH DFND 1 47568 0 0 GASTAR EXPL INC NEW COM 36729W202 11 20000 SH DFND 2 0 0 20000 GENERAL ELECTRIC CO COM 369604103 51 3780 SH DFND 1 3780 0 0 GENERAL ELECTRIC CO COM 369604103 230 16204 SH DFND 2 0 0 16204 GENTHERM INC COM 37253A103 252 151731 SH DFND 1 151731 0 0 GLOBAL MED REIT INC COM NEW 37954A204 204 23034 SH DFND 2 0 0 23034 GOLDMAN SACHS MLP INC OPP FD COM SHS 38147W103 712 78935 SH DFND 1 78935 0 0 GOPRO INC NOTE 3.500% 4/1 38268TAB9 46 50000 PRN DFND 50000 0 0 GORDON POINTE ACQUISITION CO COM CLASS A 382788107 1215 125000 SH DFND 1 125000 0 0 GORES HLDGS II INC COM CL A 382867109 1523 150000 SH DFND 1 150000 0 0 GORES HLDGS II INC *W EXP 01/13/202 382867117 56 35000 SH DFND 1 35000 0 0 GROUPON INC COM 399473107 376 340113 SH DFND 1 340113 0 0 HC2 HLDGS INC COM 404139107 4140 707734 SH DFND 707734 0 0 HC2 HLDGS INC COM 404139107 6432 1493350 SH DFND 1 1493350 0 0 HP INC COM 40434L105 1521 67048 SH DFND 1 67048 0 0 HANNON ARMSTRONG SUST INFR C COM 41068X100 433 314718 SH DFND 1 314718 0 0 HEALTH INS INNOVATIONS INC COM CL A 42225K106 24 700 SH DFND 2 0 0 700 HEALTH INS INNOVATIONS INC COM CL A 42225K106 1764 54542 SH DFND 54542 0 0 HEALTH INS INNOVATIONS INC COM CL A 42225K106 6199 191620 SH DFND 1 191620 0 0 HENRY JACK & ASSOC INC COM 426281101 16 122 SH DFND 1 122 0 0 HENRY JACK & ASSOC INC COM 426281101 501 3730 SH DFND 2 0 0 3730 HEWLETT PACKARD ENTERPRISE C COM 42824C109 4 241 SH DFND 2 0 0 241 HEWLETT PACKARD ENTERPRISE C COM 42824C109 336 22982 SH DFND 1 22982 0 0 HI-CRUSH PARTNERS LP COM UNIT LTD 428337109 107 8800 SH DFND 2 0 0 8800 HI-CRUSH PARTNERS LP COM UNIT LTD 428337109 332 287458 SH DFND 1 287458 0 0 HOME DEPOT INC COM 437076102 265 1360 SH DFND 1 1360 0 0 HOME DEPOT INC COM 437076102 272 1376 SH DFND 2 0 0 1376 HORMEL FOODS CORP COM 440452100 394 10544 SH DFND 2 0 0 10544 HORNBECK OFFSHORE SVCS INC N NOTE 1.500% 9/0 440543AN6 21 25000 PRN DFND 25000 0 0 HUDSON GLOBAL INC COM 443787106 125 76928 SH DFND 76928 0 0 ILLINOIS TOOL WKS INC COM 452308109 488 3385 SH DFND 2 0 0 3385 IMAX CORP COM 45245E109 23 1000 SH DFND 2 0 0 1000 IMAX CORP COM 45245E109 219 151704 SH DFND 1 151704 0 0 IMMUNOMEDICS INC COM 452907108 353 287091 SH DFND 1 287091 0 0 INDEXIQ ETF TR IQ MRGR ARB ETF 45409B800 284 9152 SH DFND 2 0 0 9152 INDUSTRIAL LOGISTICS PPTYS T COM SHS BEN INT 456237106 401 301592 SH DFND 1 301592 0 0 INSEEGO CORP NOTE 5.500% 6/1 45782BAA2 21 25000 PRN DFND 25000 0 0 INTEL CORP COM 458140100 20 400 SH DFND 1 400 0 0 INTEL CORP COM 458140100 332 6360 SH DFND 2 0 0 6360 INTERNATIONAL BUSINESS MACHS COM 459200101 233 1610 SH DFND 2 0 0 1610 INTERNATIONAL BUSINESS MACHS COM 459200101 699 5000 SH DFND 1 5000 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 213 1201 SH DFND 2 0 0 1201 INVESCO QQQ TR UNIT SER 1 46090E103 1282 7470 SH DFND 1 7470 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 25748 150000 SH Put DFND 1 150000 0 0 INVESCO ACTIVELY MANAGD ETF OPTIMUM YIELD 46090F100 510 27806 SH DFND 2 0 0 27806 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 2895 27727 SH DFND 2 0 0 27727 INVESCO EXCHANGE TRADED FD T HIG YLD EQ DIV 46137V563 528 29346 SH DFND 2 0 0 29346 INVESCO EXCHANGE TRADED FD T DYNMC BIOTECH 46137V787 334 6102 SH DFND 1 6102 0 0 INVESCO EXCHANGE TRADED FD T DWA MOMENTUM 46137V837 416 7350 SH DFND 2 0 0 7350 INVESCO DB COMMDY INDX TRCK UNIT 46138B103 181 10358 SH DFND 2 0 0 10358 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 876 60149 SH DFND 1 60149 0 0 INVESCO EXCHNG TRADED FD TR DWA EMERG MKTS 46138E867 465 23265 SH DFND 2 0 0 23265 INVESCO DB MLTI SECTR CMMTY ENERGY FD 46140H304 189 11048 SH DFND 2 0 0 11048 INVESCO DB MLTI SECTR CMMTY OIL FD 46140H403 220 17564 SH DFND 2 0 0 17564 ISHARES INC MSCI BRAZIL ETF 464286400 10 300 SH DFND 2 0 0 300 ISHARES INC MSCI BRAZIL ETF 464286400 245 7640 SH DFND 1 7640 0 0 ISHARES INC MIN VOL GBL ETF 464286525 1194 14373 SH DFND 1 14373 0 0 ISHARES TR SELECT DIVID ETF 464287168 900 9204 SH DFND 1 9204 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 117 2657 SH DFND 2 0 0 2657 ISHARES TR MSCI EMG MKT ETF 464287234 365 8427 SH DFND 1 8427 0 0 ISHARES TR IBOXX INV CP ETF 464287242 1093 9539 SH DFND 1 9539 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 539 3213 SH DFND 2 0 0 3213 ISHARES TR LATN AMER 40 ETF 464287390 202 6812 SH DFND 1 6812 0 0 ISHARES TR MSCI EAFE ETF 464287465 912 13376 SH DFND 2 0 0 13376 ISHARES TR MSCI EAFE ETF 464287465 1330 19864 SH DFND 1 19864 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 56 629 SH DFND 1 629 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 415 4608 SH DFND 2 0 0 4608 ISHARES TR RUS MD CP GR ETF 464287481 67 527 SH DFND 1 527 0 0 ISHARES TR RUS MD CP GR ETF 464287481 3002 23045 SH DFND 2 0 0 23045 ISHARES TR RUS MID CAP ETF 464287499 208 957 SH DFND 2 0 0 957 ISHARES TR RUS MID CAP ETF 464287499 3523 16605 SH DFND 1 16605 0 0 ISHARES TR CORE S&P MCP ETF 464287507 204 1018 SH DFND 2 0 0 1018 ISHARES TR CORE S&P MCP ETF 464287507 510 2616 SH DFND 1 2616 0 0 ISHARES TR NASDAQ BIOTECH 464287556 29 249 SH DFND 2 0 0 249 ISHARES TR NASDAQ BIOTECH 464287556 710 6469 SH DFND 1 6469 0 0 ISHARES TR S&P MC 400GR ETF 464287606 14 61 SH DFND 1 61 0 0 ISHARES TR S&P MC 400GR ETF 464287606 562 2431 SH DFND 2 0 0 2431 ISHARES TR RUS 1000 GRW ETF 464287614 59 400 SH DFND 2 0 0 400 ISHARES TR RUS 1000 GRW ETF 464287614 283 1965 SH DFND 1 1965 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 389 1846 SH DFND 2 0 0 1846 ISHARES TR RUS 2000 GRW ETF 464287648 494 2416 SH DFND 1 2416 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 8189 50000 SH Put DFND 1 50000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 8189 50000 SH Put DFND 50000 0 0 ISHARES TR CORE S&P SCP ETF 464287804 85 1015 SH DFND 1 1015 0 0 ISHARES TR CORE S&P SCP ETF 464287804 696 8052 SH DFND 2 0 0 8052 ISHARES TR S&P SML 600 GWT 464287887 743 3797 SH DFND 2 0 0 3797 ISHARES TR MSCI ACWI EX US 464288240 507 10730 SH DFND 1 10730 0 0 ISHARES TR JPMORGAN USD EMG 464288281 264 2429 SH DFND 2 0 0 2429 ISHARES TR JPMORGAN USD EMG 464288281 977 9147 SH DFND 1 9147 0 0 ISHARES TR NEW YORK MUN ETF 464288323 1548 28247 SH DFND 1 28247 0 0 ISHARES TR CALIF MUN BD ETF 464288356 374 6382 SH DFND 1 6382 0 0 ISHARES TR NATIONAL MUN ETF 464288414 1102 10108 SH DFND 1 10108 0 0 ISHARES TR INTL SEL DIV ETF 464288448 1818 56712 SH DFND 1 56712 0 0 ISHARES TR 1 3 YR CR BD ETF 464288646 2383 22984 SH DFND 1 22984 0 0 ISHARES TR GLOBAL MATER ETF 464288695 366 5448 SH DFND 1 5448 0 0 ISHARES TR EAFE GRWTH ETF 464288885 286 3576 SH DFND 2 0 0 3576 ISHARES TR RUS TP200 GR ETF 464289438 3444 42736 SH DFND 2 0 0 42736 ISHARES TR MSCI INDIA ETF 46429B598 209 6150 SH DFND 2 0 0 6150 ISHARES TR FLTG RATE NT ETF 46429B655 33 650 SH DFND 2 0 0 650 ISHARES TR FLTG RATE NT ETF 46429B655 3088 60544 SH DFND 1 60544 0 0 ISHARES TR MIN VOL EAFE ETF 46429B689 657 9238 SH DFND 1 9238 0 0 ISHARES TR MIN VOL USA ETF 46429B697 845 15902 SH DFND 1 15902 0 0 ISHARES TR USA MOMENTUM FCT 46432F396 1324 11760 SH DFND 2 0 0 11760 ISHARES TR CORE MSCI EAFE 46432F842 656 10352 SH DFND 1 10352 0 0 ISHARES INC CORE MSCI EMKT 46434G103 261 4909 SH DFND 2 0 0 4909 ITERIS INC COM 46564T107 467 485399 SH DFND 1 485399 0 0 J JILL INC COM 46620W102 187 20000 SH DFND 1 20000 0 0 JPMORGAN CHASE & CO COM 46625H100 24 232 SH DFND 1 232 0 0 JPMORGAN CHASE & CO COM 46625H100 223 2091 SH DFND 2 0 0 2091 JOHNSON & JOHNSON COM 478160104 141 1160 SH DFND 1 1160 0 0 JOHNSON & JOHNSON COM 478160104 512 4016 SH DFND 2 0 0 4016 KBL MERGER CORP IV COM 48242A104 398 40000 SH DFND 1 40000 0 0 KBL MERGER CORP IV *W EXP 01/15/202 48242A112 12 40000 SH DFND 1 40000 0 0 KBL MERGER CORP IV RIGHT 03/22/2019 48242A120 13 40000 SH DFND 1 40000 0 0 KAYNE ANDERSON ACQUISITION COM CL A 48661U102 2075 209998 SH DFND 1 209998 0 0 KAYNE ANDERSON ACQUISITION *W EXP 06/30/202 48661U110 80 66666 SH DFND 1 66666 0 0 KINDRED BIOSCIENCES INC COM 494577109 213 20000 SH DFND 20000 0 0 KOPPERS HOLDINGS INC COM 50060P106 301 281348 SH DFND 1 281348 0 0 LF CAP ACQUISITION CORP UNIT 06/19/2025 50200K207 1064 105700 SH DFND 105700 0 0 LADENBURG THALMAN FIN SVCS I COM 50575Q102 510 150000 SH DFND 1 150000 0 0 LIBERTY TAX INC CL A 53128T102 1127 139586 SH DFND 139586 0 0 LIMELIGHT NETWORKS INC COM 53261M104 268 60000 SH DFND 60000 0 0 LIMELIGHT NETWORKS INC COM 53261M104 1765 394841 SH DFND 1 394841 0 0 LINCOLN ELEC HLDGS INC COM 533900106 263 2922 SH DFND 2 0 0 2922 LOCKHEED MARTIN CORP COM 539830109 717 2321 SH DFND 2 0 0 2321 LONESTAR RES US INC CL A VTG 54240F103 9897 1172622 SH DFND 1 1172622 0 0 LUMENTUM HLDGS INC COM 55024U109 29 500 SH DFND 2 0 0 500 LUMENTUM HLDGS INC COM 55024U109 409 145798 SH DFND 1 145798 0 0 MGIC INVT CORP WIS COM 552848103 399 315171 SH DFND 1 315171 0 0 MANPOWERGROUP INC COM 56418H100 301 3483 SH DFND 2 0 0 3483 MARATHON PETE CORP COM 56585A102 222 3083 SH DFND 2 0 0 3083 MARTIN MIDSTREAM PRTNRS L P UNIT L P INT 573331105 361 307521 SH DFND 1 307521 0 0 MATLIN & PARTNERS ACQUISITIO CL A 57682V106 987 100000 SH DFND 1 100000 0 0 MATLIN & PARTNERS ACQUISITIO *W EXP 05/28/202 57682V114 68 100000 SH DFND 1 100000 0 0 MATTHEWS INTL CORP CL A 577128101 418 306281 SH DFND 1 306281 0 0 MAXWELL TECHNOLOGIES INC COM 577767106 130 25000 SH DFND 25000 0 0 MERCK & CO INC COM 58933Y105 52 852 SH DFND 1 852 0 0 MERCK & CO INC COM 58933Y105 316 5071 SH DFND 2 0 0 5071 META FINL GROUP INC COM 59100U108 371 335008 SH DFND 1 335008 0 0 MICROSOFT CORP COM 594918104 285 2794 SH DFND 2 0 0 2794 MICROSOFT CORP COM 594918104 3593 36438 SH DFND 1 36438 0 0 MICRON TECHNOLOGY INC COM 595112103 105 2000 SH DFND 1 2000 0 0 MICRON TECHNOLOGY INC COM 595112103 137 2450 SH DFND 2 0 0 2450 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 62 10825 SH DFND 2 0 0 10825 MONDELEZ INTL INC CL A 609207105 323 7671 SH DFND 2 0 0 7671 NII HLDGS INC COM PAR 62913F508 367 94045 SH DFND 1 94045 0 0 NATURAL RESOURCE PARTNERS L COM UNIT LTD PAR 63900P608 2355 75000 SH Call DFND 1 75000 0 0 NETFLIX INC COM 64110L106 247 595 SH DFND 2 0 0 595 NETSCOUT SYS INC COM 64115T104 439 282349 SH DFND 1 282349 0 0 NEW MTN FIN CORP COM 647551100 408 30000 SH DFND 1 30000 0 0 NOVAVAX INC COM 670002104 3 2000 SH DFND 2 0 0 2000 NOVAVAX INC COM 670002104 354 383595 SH DFND 1 383595 0 0 NVIDIA CORP COM 67066G104 269 1064 SH DFND 2 0 0 1064 NUVEEN MTG OPPORTUNITY TERM COM 670735109 218 9283 SH DFND 1 9283 0 0 NUVEEN BUILD AMER BD FD COM 67074C103 483 23447 SH DFND 1 23447 0 0 NUVEEN HIGH INCOME 2020 TARG COM 67075L102 534 54008 SH DFND 2 0 0 54008 NUVEEN HGH INC DEC18 TRGT TR COM 67075P103 143 14597 SH DFND 2 0 0 14597 NUVEEN CR OPPORTUNITIES 2022 COM 67075U102 464 48868 SH DFND 2 0 0 48868 NUVEEN HIGH INCOME DECMBR 20 COM 67076E107 598 60800 SH DFND 2 0 0 60800 NUVEEN HIGH INCOME NOVEMBER COM 67077N106 837 86782 SH DFND 2 0 0 86782 OHA INVT CORP COM 67091U102 71 46800 SH DFND 46800 0 0 O REILLY AUTOMOTIVE INC NEW COM 67103H107 297 1030 SH DFND 2 0 0 1030 ON SEMICONDUCTOR CORP COM 682189105 325 14600 SH DFND 1 14600 0 0 ONE LIBERTY PPTYS INC COM 682406103 409 15482 SH DFND 1 15482 0 0 OOMA INC COM 683416101 471 288441 SH DFND 1 288441 0 0 OPGEN INC COM NEW 68373L208 246 138000 SH DFND 1 138000 0 0 OPKO HEALTH INC COM 68375N103 58 10000 SH DFND 2 0 0 10000 PAYPAL HLDGS INC COM 70450Y103 344 3994 SH DFND 2 0 0 3994 PENNANTPARK INVT CORP COM 708062104 2825 403237 SH DFND 1 403237 0 0 PENNANTPARK FLOATING RATE CA COM 70806A106 2544 186236 SH DFND 1 186236 0 0 PFIZER INC COM 717081103 187 5150 SH DFND 1 5150 0 0 PFIZER INC COM 717081103 449 11984 SH DFND 2 0 0 11984 PHYSICIANS RLTY TR COM 71943U104 163 10200 SH DFND 2 0 0 10200 PIMCO ETF TR ENHNCD LW DUR AC 72201R718 3023 30319 SH DFND 1 30319 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 8111 79877 SH DFND 1 79877 0 0 PLATFORM SPECIALTY PRODS COR COM 72766Q105 696 60000 SH DFND 1 60000 0 0 PREFERRED BK LOS ANGELES CA COM NEW 740367404 355 293691 SH DFND 1 293691 0 0 PRIMO WTR CORP COM 74165N105 406 200773 SH DFND 1 200773 0 0 PROCTER AND GAMBLE CO COM 742718109 15 187 SH DFND 1 187 0 0 PROCTER AND GAMBLE CO COM 742718109 550 6888 SH DFND 2 0 0 6888 PROSHARES TR RUSS 2000 DIVD 74347B698 207 3535 SH DFND 2 0 0 3535 PROSHARES TR PSHS LC COR PLUS 74347R248 405 5833 SH DFND 2 0 0 5833 RPM INTL INC COM 749685103 257 4255 SH DFND 2 0 0 4255 RADISYS CORP COM 750459109 68 96600 SH DFND 96600 0 0 RANGER ENERGY SVCS INC COM CL A 75282U104 4962 541166 SH DFND 1 541166 0 0 RAYTHEON CO COM NEW 755111507 388 1983 SH DFND 2 0 0 1983 RENT A CTR INC NEW COM 76009N100 821 55798 SH DFND 55798 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 920 325000 SH DFND 1 325000 0 0 RUBICON PROJ INC COM 78112V102 65 22961 SH DFND 22961 0 0 RUBICON PROJ INC COM 78112V102 5784 2029437 SH DFND 1 2029437 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 797 2859 SH DFND 2 0 0 2859 SPDR S&P 500 ETF TR TR UNIT 78462F103 1827 6734 SH DFND 1 6734 0 0 SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 991 19789 SH DFND 1 19789 0 0 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 1040 21874 SH DFND 2 0 0 21874 SPDR SERIES TRUST BLMBRG BRC CNVRT 78464A359 207 3832 SH DFND 2 0 0 3832 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 2 64 SH DFND 1 64 0 0 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 305 8549 SH DFND 2 0 0 8549 SPDR SERIES TRUST DJ REIT ETF 78464A607 403 4251 SH DFND 2 0 0 4251 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 256 5758 SH DFND 2 0 0 5758 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 494 2037 SH DFND 1 2037 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1986 7970 SH DFND 2 0 0 7970 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1031 2821 SH DFND 2 0 0 2821 S&W SEED CO COM 785135104 551 493922 SH DFND 1 493922 0 0 SACHEM CAP CORP COM 78590A109 877 213973 SH DFND 1 213973 0 0 SACHEM CAP CORP COM 78590A109 1872 456619 SH DFND 456619 0 0 SANOFI RIGHT 12/31/2020 80105N113 0 17 SH DFND 1 17 0 0 SANOFI RIGHT 12/31/2020 80105N113 122 244754 SH DFND 244754 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 376 3440 SH DFND 1 3440 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 449 4010 SH DFND 2 0 0 4010 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 5 184 SH DFND 1 184 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 413 15178 SH DFND 2 0 0 15178 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 242 3287 SH DFND 2 0 0 3287 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 657 9156 SH DFND 2 0 0 9156 SELECT ENERGY SVCS INC CL A COM 81617J301 368 264192 SH DFND 1 264192 0 0 SHERWIN WILLIAMS CO COM 824348106 548 1308 SH DFND 2 0 0 1308 SHOPIFY INC CL A 82509L107 413 2600 SH DFND 2 0 0 2600 SIGA TECHNOLOGIES INC COM 826917106 129 21709 SH DFND 21709 0 0 SINCLAIR BROADCAST GROUP INC CL A 829226109 1570 348630 SH DFND 1 348630 0 0 SNAP INC CL A 83304A106 12 900 SH DFND 2 0 0 900 SNAP INC CL A 83304A106 358 27314 SH DFND 1 27314 0 0 SOGOU INC ADR REPSTG A 83409V104 632 55300 SH Put DFND 1 55300 0 0 SOLAR SR CAP LTD COM 83416M105 4352 266815 SH DFND 1 266815 0 0 SOUTHCROSS ENERGY PARTNERS L COM UNIT LTDPT 84130C100 76 48370 SH DFND 2 0 0 48370 SOUTHWESTERN ENERGY CO COM 845467109 417 313192 SH DFND 1 313192 0 0 SPECTRUM PHARMACEUTICALS INC COM 84763A108 405 302915 SH DFND 1 302915 0 0 SPIRIT AEROSYSTEMS HLDGS INC COM CL A 848574109 433 5043 SH DFND 2 0 0 5043 SPLUNK INC COM 848637104 33 333 SH DFND 2 0 0 333 SPLUNK INC COM 848637104 595 6000 SH DFND 1 6000 0 0 SQUARE INC CL A 852234103 307 4740 SH DFND 2 0 0 4740 STAMPS COM INC COM NEW 852857200 135 500 SH DFND 2 0 0 500 STAMPS COM INC COM NEW 852857200 335 253238 SH DFND 1 253238 0 0 STARBUCKS CORP COM 855244109 285 5661 SH DFND 2 0 0 5661 STEWART INFORMATION SVCS COR COM 860372101 307 7124 SH DFND 1 7124 0 0 THL CR INC COM 872438106 164 21000 SH DFND 1 21000 0 0 TELENAV INC COM 879455103 4168 744317 SH DFND 1 744317 0 0 TEMPUR SEALY INTL INC COM 88023U101 2611 54341 SH DFND 54341 0 0 TEMPUR SEALY INTL INC COM 88023U101 4985 103736 SH DFND 1 103736 0 0 TIVO CORP COM 88870P106 381 319908 SH DFND 1 319908 0 0 TORTOISE MLP FD INC COM 89148B101 886 51878 SH DFND 1 51878 0 0 TORTOISE MLP FD INC RIGHT 07/18/2018 89148B119 19 51900 SH DFND 1 51900 0 0 TRAVELCENTERS AMER LLC COM 894174101 420 354801 SH DFND 1 354801 0 0 TRINITY MERGER CORP *W EXP 05/11/202 89653L114 117 292400 SH DFND 292400 0 0 TRINITY MERGER CORP UNIT 05/11/2025 89653L205 1459 145000 SH DFND 1 145000 0 0 TRUECAR INC COM 89785L107 401 332679 SH DFND 1 332679 0 0 TUESDAY MORNING CORP COM NEW 899035505 306 100375 SH DFND 100375 0 0 TWITTER INC COM 90184L102 169 3866 SH DFND 2 0 0 3866 TWITTER INC COM 90184L102 336 7700 SH DFND 1 7700 0 0 USA COMPRESSION PARTNERS LP COMUNIT LTDPAR 90290N109 394 337362 SH DFND 1 337362 0 0 UMH PPTYS INC COM 903002103 400 301465 SH DFND 1 301465 0 0 U.S. AUTO PARTS NETWORK INC COM 90343C100 273 182018 SH DFND 182018 0 0 UNION PAC CORP COM 907818108 394 2733 SH DFND 2 0 0 2733 URBAN EDGE PPTYS COM 91704F104 329 14365 SH DFND 1 14365 0 0 VAIL RESORTS INC COM 91879Q109 685 2500 SH Put DFND 1 2500 0 0 VANGUARD GROUP DIV APP ETF 921908844 1528 15032 SH DFND 1 15032 0 0 VANGUARD STAR FD VG TL INTL STK F 921909768 437 8074 SH DFND 1 8074 0 0 VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 327 3664 SH DFND 2 0 0 3664 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 52 640 SH DFND 1 640 0 0 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 1126 13919 SH DFND 2 0 0 13919 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 2204 45125 SH DFND 1 45125 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 343 6612 SH DFND 1 6612 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 72 1677 SH DFND 2 0 0 1677 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 2320 54974 SH DFND 1 54974 0 0 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 668 9540 SH DFND 1 9540 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 29 500 SH DFND 2 0 0 500 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 476 8473 SH DFND 1 8473 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1061 13598 SH DFND 2 0 0 13598 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 7256 92906 SH DFND 1 92906 0 0 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 687 7841 SH DFND 1 7841 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 3017 36121 SH DFND 1 36121 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 357 4322 SH DFND 2 0 0 4322 VANGUARD INDEX FDS SML CP GRW ETF 922908595 46 263 SH DFND 1 263 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 707 3893 SH DFND 2 0 0 3893 VANGUARD INDEX FDS SM CP VAL ETF 922908611 406 2910 SH DFND 2 0 0 2910 VANGUARD INDEX FDS MID CAP ETF 922908629 54 335 SH DFND 2 0 0 335 VANGUARD INDEX FDS MID CAP ETF 922908629 3447 21869 SH DFND 1 21869 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 6 45 SH DFND 2 0 0 45 VANGUARD INDEX FDS LARGE CAP ETF 922908637 9306 74594 SH DFND 1 74594 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 386 2578 SH DFND 1 2578 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 3668 23792 SH DFND 2 0 0 23792 VANGUARD INDEX FDS VALUE ETF 922908744 132 1276 SH DFND 1 1276 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 3861 36199 SH DFND 2 0 0 36199 VANGUARD INDEX FDS SMALL CP ETF 922908751 68 439 SH DFND 1 439 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 199 1243 SH DFND 2 0 0 1243 VANGUARD INDEX FDS TOTAL STK MKT 922908769 239 1655 SH DFND 2 0 0 1655 VANGUARD INDEX FDS TOTAL STK MKT 922908769 2154 15336 SH DFND 1 15336 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 83 1655 SH DFND 1 1655 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 232 4519 SH DFND 2 0 0 4519 VIASAT INC COM 92552V100 28 400 SH DFND 2 0 0 400 VIASAT INC COM 92552V100 398 279908 SH DFND 1 279908 0 0 VIEWRAY INC COM 92672L107 334 285871 SH DFND 1 285871 0 0 VISA INC COM CL A 92826C839 258 1887 SH DFND 2 0 0 1887 VITAMIN SHOPPE INC NOTE 2.250%12/0 92849EAB7 284 374000 PRN DFND 374000 0 0 WESTERN DIGITAL CORP COM 958102105 774 10000 SH DFND 1 10000 0 0 WISDOMTREE TR HEDGED HI YLD BD 97717W430 471 19660 SH DFND 2 0 0 19660 WISDOMTREE TR GLB US QTLY DIV 97717W844 698 12222 SH DFND 1 12222 0 0 AVISTA HEALTHCARE PUB ACQ CO CL A G0726L125 1001 100000 SH DFND 1 100000 0 0 EATON CORP PLC SHS G29183103 272 3473 SH DFND 2 0 0 3473 FERROGLOBE PLC SHS G33856108 2041 238181 SH DFND 1 238181 0 0 GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 2516 250099 SH DFND 1 250099 0 0 GTY TECHNOLOGY HOLDINGS INC *W EXP 10/25/202 G4182A128 73 58333 SH DFND 1 58333 0 0 WEATHERFORD INTL PLC ORD SHS G48833100 63 18000 SH DFND 2 0 0 18000 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 16 700 SH DFND 2 0 0 700 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 294 202178 SH DFND 1 202178 0 0 ATTUNITY LTD SHS NEW M15332121 999 86015 SH DFND 1 86015 0 0 MAGICJACK VOCALTEC LTD SHS M6787E101 10622 1249600 SH DFND 1249600 0 0 POINTER TELOCATION LTD SHS M7946T104 389 364925 SH DFND 1 364925 0 0 AEGEAN MARINE PETROLEUM NETW SHS Y0017S102 304 458342 SH DFND 458342 0 0 AEGEAN MARINE PETROLEUM NETW SHS Y0017S102 484 730030 SH DFND 1 730030 0 0 AEGEAN MARINE PETE NETWORK I NOTE 4.000%11/0 Y0020QAA9 167 341000 PRN DFND 341000 0 0 AEGEAN MARINE PETE NETWORK I NOTE 4.000%11/0 Y0020QAA9 2836 5750000 PRN DFND 1 5750000 0 0 GLOBAL SHIP LEASE INC NEW SHS A Y27183105 152 114796 SH DFND 114796 0 0