The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number: 3235-0006
Estimated average burden
hours per response: 23.8
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE
ALPS ETF TR ALERIAN MLP 00162Q866 99 9,766 SH   DFND 1 9,766 0 0
ALPS ETF TR ALERIAN MLP 00162Q866 185 18,051 SH   DFND 2 0 0 18,051
AT&T INC COM 00206R102 122 3,808 SH   DFND 1 3,808 0 0
AT&T INC COM 00206R102 290 8,935 SH   DFND 2 0 0 8,935
A10 NETWORKS INC COM 002121101 467 75,000 SH   DFND   75,000 0 0
ARK ETF TR INNOVATION ETF 00214Q104 819 17,432 SH   DFND 2 0 0 17,432
ABBOTT LABS COM 002824100 52 853 SH   DFND 1 853 0 0
ABBOTT LABS COM 002824100 233 3,706 SH   DFND 2 0 0 3,706
ABBVIE INC COM 00287Y109 79 853 SH   DFND 1 853 0 0
ABBVIE INC COM 00287Y109 360 3,643 SH   DFND 2 0 0 3,643
AEHR TEST SYSTEMS COM 00760J108 411 175,000 SH   DFND 1 175,000 0 0
ADVISORSHARES TR ADVISORSHS ETF 00768Y206 252 4,663 SH   DFND 2 0 0 4,663
AEGEAN MARINE PETE NETWORK I NOTE 4.250%12/1 00773VAB2 255 750,000 PRN   DFND   750,000 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 1,516 SH   DFND 2 0 0 1,516
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 4,041 SH   DFND 2 0 0 4,041
AMAZON COM INC COM 023135106 184 108 SH   DFND 1 108 0 0
AMAZON COM INC COM 023135106 2,860 1,641 SH   DFND 2 0 0 1,641
AMYRIS INC COM NEW 03236M200 27 4,000 SH   DFND 2 0 0 4,000
AMYRIS INC COM NEW 03236M200 481 320,240 SH   DFND 1 320,240 0 0
APOLLO INVT CORP COM 03761U106 269 48,206 SH   DFND 1 48,206 0 0
APOLLO SR FLOATING RATE FD I COM 037636107 734 44,973 SH   DFND 1 44,973 0 0
APOLLO TACTICAL INCOME FD IN COM 037638103 407 26,082 SH   DFND 1 26,082 0 0
APPLE INC COM 037833100 1,727 9,331 SH   DFND 1 9,331 0 0
APPLE INC COM 037833100 2,085 10,954 SH   DFND 2 0 0 10,954
ARCHROCK INC COM 03957W106 404 310,038 SH   DFND 1 310,038 0 0
ARES CAP CORP COM 04010L103 17 1,000 SH   DFND 2 0 0 1,000
ARES CAP CORP COM 04010L103 1,264 76,833 SH   DFND 1 76,833 0 0
ARES DYNAMIC CR ALLOCATION F COM 04014F102 233 14,489 SH   DFND 1 14,489 0 0
AROTECH CORP COM NEW 042682203 400 336,582 SH   DFND 1 336,582 0 0
BBX CAP CORP NEW CL A 05491N104 744 82,400 SH   DFND   82,400 0 0
BRT APARTMENTS CORP COM 055645303 722 56,616 SH   DFND 1 56,616 0 0
BABCOCK & WILCOX ENTERPRIS I COM 05614L100 3,690 1,550,276 SH   DFND 1 1,550,276 0 0
BABCOCK & WILCOX ENTERPRIS I COM 05614L100 23,188 9,742,915 SH   DFND   9,742,915 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 1,075 SH   DFND 2 0 0 1,075
BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 485 2,600 SH   DFND 1 2,600 0 0
BLACKSTONE GSO FLTING RTE FU COM 09256U105 180 10,000 SH   DFND 1 10,000 0 0
BOEING CO COM 097023105 398 1,146 SH   DFND 2 0 0 1,146
BROOKFIELD REAL ASSETS INCOM SHS BEN INT 112830104 238 10,479 SH   DFND 1 10,479 0 0
CANADIAN SOLAR INC NOTE 4.250% 2/1 136635AE9 46 48,000 PRN   DFND   48,000 0 0
CATERPILLAR INC DEL COM 149123101 270 1,908 SH   DFND 2 0 0 1,908
CENTURY CMNTYS INC COM 156504300 407 310,457 SH   DFND 1 310,457 0 0
CHENIERE ENERGY INC NOTE 4.250% 3/1 16411RAG4 8 10,000 PRN   DFND   10,000 0 0
CHEVRON CORP NEW COM 166764100 67 526 SH   DFND 1 526 0 0
CHEVRON CORP NEW COM 166764100 394 3,090 SH   DFND 2 0 0 3,090
CHILDRENS PL INC COM 168905107 28 235 SH   DFND 2 0 0 235
CHILDRENS PL INC COM 168905107 362 299,022 SH   DFND 1 299,022 0 0
CISCO SYS INC COM 17275R102 83 1,940 SH   DFND 1 1,940 0 0
CISCO SYS INC COM 17275R102 418 9,743 SH   DFND 2 0 0 9,743
COCA COLA CO COM 191216100 18 400 SH   DFND 1 400 0 0
COCA COLA CO COM 191216100 212 4,709 SH   DFND 2 0 0 4,709
COHEN & STEERS LTD DUR PFD I COM 19248C105 850 33,256 SH   DFND 1 33,256 0 0
COHU INC COM 192576106 577 482,520 SH   DFND 1 482,520 0 0
COMSTOCK RES INC NOTE 7.750% 4/0 205768AM6 383 390,679 PRN   DFND   390,679 0 0
COSTCO WHSL CORP NEW COM 22160K105 120 565 SH   DFND 2 0 0 565
COSTCO WHSL CORP NEW COM 22160K105 279 1,335 SH   DFND 1 1,335 0 0
CUMMINS INC COM 231021106 241 1,760 SH   DFND 2 0 0 1,760
DIGITAL TURBINE INC COM NEW 25400W102 16 10,850 SH   DFND   10,850 0 0
DISNEY WALT CO COM DISNEY 254687106 202 1,908 SH   DFND 2 0 0 1,908
DISNEY WALT CO COM DISNEY 254687106 241 2,298 SH   DFND 1 2,298 0 0
DOUBLELINE INCOME SOLUTIONS COM 258622109 19 930 SH   DFND 2 0 0 930
DOUBLELINE INCOME SOLUTIONS COM 258622109 1,577 78,889 SH   DFND 1 78,889 0 0
DOWDUPONT INC COM 26078J100 369 5,441 SH   DFND 2 0 0 5,441
DYCOM INDS INC COM 267475101 380 298,373 SH   DFND 1 298,373 0 0
ECO STIM ENERGY SOLUTIONS IN COM 27888D101 126 193,787 SH   DFND   193,787 0 0
EMERSON ELEC CO COM 291011104 214 3,010 SH   DFND 2 0 0 3,010
EMERGE ENERGY SVCS LP COM REP PARTN 29102H108 156 21,000 SH   DFND 2 0 0 21,000
ENTERPRISE PRODS PARTNERS L COM 293792107 31 1,116 SH   DFND 1 1,116 0 0
ENTERPRISE PRODS PARTNERS L COM 293792107 378 13,450 SH   DFND 2 0 0 13,450
EVERSPIN TECHNOLOGIES INC COM 30041T104 535 60,000 SH   DFND 1 60,000 0 0
EXXON MOBIL CORP COM 30231G102 43 517 SH   DFND 1 517 0 0
EXXON MOBIL CORP COM 30231G102 227 2,719 SH   DFND 2 0 0 2,719
FACEBOOK INC CL A 30303M102 620 3,191 SH   DFND 1 3,191 0 0
FACEBOOK INC CL A 30303M102 1,213 5,958 SH   DFND 2 0 0 5,958
FINJAN HLDGS INC COM NEW 31788H303 3,475 1,021,912 SH   DFND 1 1,021,912 0 0
FINTECH ACQUISITION CORP II COM 31810G109 1,000 100,000 SH   DFND 1 100,000 0 0
FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 1,188 8,328 SH   DFND 2 0 0 8,328
FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 975 16,680 SH   DFND 2 0 0 16,680
FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 209 2,971 SH   DFND 2 0 0 2,971
FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 1,133 22,658 SH   DFND 2 0 0 22,658
FIRST TR EXCHANGE TRADED FD RISNG DIVD ACHIV 33738R506 2,149 70,251 SH   DFND 2 0 0 70,251
FIRST TR EXCHANGE TRADED FD DORSEY WRIGHT 33738R878 832 29,315 SH   DFND 2 0 0 29,315
FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 455 23,700 SH   DFND 2 0 0 23,700
FIRST TR EXCH TRADED FD III RIVRFRNT DYN EUR 33739P806 635 9,851 SH   DFND 2 0 0 9,851
FIRST TR EXCH TRADED FD III INSTL PFD SECS 33739P855 805 42,200 SH   DFND 2 0 0 42,200
FIRST TR SR FLOATING RATE 20 COM SHS 33740K101 137 14,733 SH   DFND 2 0 0 14,733
FLOTEK INDS INC DEL COM 343389102 113 35,000 SH   DFND   35,000 0 0
FORTRESS TRANS INFRST INVS L COM REP LTD LIAB 34960P101 205 10,900 SH   DFND 2 0 0 10,900
GSV CAP CORP COM 36191J101 32 4,600 SH   DFND 1 4,600 0 0
GSV CAP CORP COM 36191J101 55 7,875 SH   DFND 2 0 0 7,875
GARRISON CAP INC COM 366554103 19 2,300 SH   DFND 2 0 0 2,300
GARRISON CAP INC COM 366554103 387 47,568 SH   DFND 1 47,568 0 0
GASTAR EXPL INC NEW COM 36729W202 11 20,000 SH   DFND 2 0 0 20,000
GENERAL ELECTRIC CO COM 369604103 51 3,780 SH   DFND 1 3,780 0 0
GENERAL ELECTRIC CO COM 369604103 230 16,204 SH   DFND 2 0 0 16,204
GENTHERM INC COM 37253A103 252 151,731 SH   DFND 1 151,731 0 0
GLOBAL MED REIT INC COM NEW 37954A204 204 23,034 SH   DFND 2 0 0 23,034
GOLDMAN SACHS MLP INC OPP FD COM SHS 38147W103 712 78,935 SH   DFND 1 78,935 0 0
GOPRO INC NOTE 3.500% 4/1 38268TAB9 46 50,000 PRN   DFND   50,000 0 0
GORDON POINTE ACQUISITION CO COM CLASS A 382788107 1,215 125,000 SH   DFND 1 125,000 0 0
GORES HLDGS II INC COM CL A 382867109 1,523 150,000 SH   DFND 1 150,000 0 0
GORES HLDGS II INC *W EXP 01/13/202 382867117 56 35,000 SH   DFND 1 35,000 0 0
GROUPON INC COM 399473107 376 340,113 SH   DFND 1 340,113 0 0
HC2 HLDGS INC COM 404139107 4,140 707,734 SH   DFND   707,734 0 0
HC2 HLDGS INC COM 404139107 6,432 1,493,350 SH   DFND 1 1,493,350 0 0
HP INC COM 40434L105 1,521 67,048 SH   DFND 1 67,048 0 0
HANNON ARMSTRONG SUST INFR C COM 41068X100 433 314,718 SH   DFND 1 314,718 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 1,764 54,542 SH   DFND   54,542 0 0
HEALTH INS INNOVATIONS INC COM CL A 42225K106 6,199 191,620 SH   DFND 1 191,620 0 0
HENRY JACK & ASSOC INC COM 426281101 16 122 SH   DFND 1 122 0 0
HENRY JACK & ASSOC INC COM 426281101 501 3,730 SH   DFND 2 0 0 3,730
HEWLETT PACKARD ENTERPRISE C COM 42824C109 4 241 SH   DFND 2 0 0 241
HEWLETT PACKARD ENTERPRISE C COM 42824C109 336 22,982 SH   DFND 1 22,982 0 0
HI-CRUSH PARTNERS LP COM UNIT LTD 428337109 107 8,800 SH   DFND 2 0 0 8,800
HI-CRUSH PARTNERS LP COM UNIT LTD 428337109 332 287,458 SH   DFND 1 287,458 0 0
HOME DEPOT INC COM 437076102 265 1,360 SH   DFND 1 1,360 0 0
HOME DEPOT INC COM 437076102 272 1,376 SH   DFND 2 0 0 1,376
HORMEL FOODS CORP COM 440452100 394 10,544 SH   DFND 2 0 0 10,544
HORNBECK OFFSHORE SVCS INC N NOTE 1.500% 9/0 440543AN6 21 25,000 PRN   DFND   25,000 0 0
HUDSON GLOBAL INC COM 443787106 125 76,928 SH   DFND   76,928 0 0
ILLINOIS TOOL WKS INC COM 452308109 488 3,385 SH   DFND 2 0 0 3,385
IMAX CORP COM 45245E109 23 1,000 SH   DFND 2 0 0 1,000
IMAX CORP COM 45245E109 219 151,704 SH   DFND 1 151,704 0 0
IMMUNOMEDICS INC COM 452907108 353 287,091 SH   DFND 1 287,091 0 0
INDEXIQ ETF TR IQ MRGR ARB ETF 45409B800 284 9,152 SH   DFND 2 0 0 9,152
INDUSTRIAL LOGISTICS PPTYS T COM SHS BEN INT 456237106 401 301,592 SH   DFND 1 301,592 0 0
INSEEGO CORP NOTE 5.500% 6/1 45782BAA2 21 25,000 PRN   DFND   25,000 0 0
INTEL CORP COM 458140100 20 400 SH   DFND 1 400 0 0
INTEL CORP COM 458140100 332 6,360 SH   DFND 2 0 0 6,360
INTERNATIONAL BUSINESS MACHS COM 459200101 233 1,610 SH   DFND 2 0 0 1,610
INTERNATIONAL BUSINESS MACHS COM 459200101 699 5,000 SH   DFND 1 5,000 0 0
INVESCO QQQ TR UNIT SER 1 46090E103 213 1,201 SH   DFND 2 0 0 1,201
INVESCO QQQ TR UNIT SER 1 46090E103 1,282 7,470 SH   DFND 1 7,470 0 0
INVESCO QQQ TR UNIT SER 1 46090E103 25,748 150,000 SH Put DFND 1 150,000 0 0
INVESCO ACTIVELY MANAGD ETF OPTIMUM YIELD 46090F100 510 27,806 SH   DFND 2 0 0 27,806
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 2,895 27,727 SH   DFND 2 0 0 27,727
INVESCO EXCHANGE TRADED FD T HIG YLD EQ DIV 46137V563 528 29,346 SH   DFND 2 0 0 29,346
INVESCO EXCHANGE TRADED FD T DYNMC BIOTECH 46137V787 334 6,102 SH   DFND 1 6,102 0 0
INVESCO EXCHANGE TRADED FD T DWA MOMENTUM 46137V837 416 7,350 SH   DFND 2 0 0 7,350
INVESCO DB COMMDY INDX TRCK UNIT 46138B103 181 10,358 SH   DFND 2 0 0 10,358
INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 876 60,149 SH   DFND 1 60,149 0 0
INVESCO EXCHNG TRADED FD TR DWA EMERG MKTS 46138E867 465 23,265 SH   DFND 2 0 0 23,265
INVESCO DB MLTI SECTR CMMTY ENERGY FD 46140H304 189 11,048 SH   DFND 2 0 0 11,048
INVESCO DB MLTI SECTR CMMTY OIL FD 46140H403 220 17,564 SH   DFND 2 0 0 17,564
ISHARES INC MSCI BRAZIL ETF 464286400 10 300 SH   DFND 2 0 0 300
ISHARES INC MSCI BRAZIL ETF 464286400 245 7,640 SH   DFND 1 7,640 0 0
ISHARES INC MIN VOL GBL ETF 464286525 1,194 14,373 SH   DFND 1 14,373 0 0
ISHARES TR SELECT DIVID ETF 464287168 900 9,204 SH   DFND 1 9,204 0 0
ISHARES TR MSCI EMG MKT ETF 464287234 117 2,657 SH   DFND 2 0 0 2,657
ISHARES TR MSCI EMG MKT ETF 464287234 365 8,427 SH   DFND 1 8,427 0 0
ISHARES TR IBOXX INV CP ETF 464287242 1,093 9,539 SH   DFND 1 9,539 0 0
ISHARES TR S&P 500 GRWT ETF 464287309 539 3,213 SH   DFND 2 0 0 3,213
ISHARES TR LATN AMER 40 ETF 464287390 202 6,812 SH   DFND 1 6,812 0 0
ISHARES TR MSCI EAFE ETF 464287465 912 13,376 SH   DFND 2 0 0 13,376
ISHARES TR MSCI EAFE ETF 464287465 1,330 19,864 SH   DFND 1 19,864 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 4,608 SH   DFND 2 0 0 4,608
ISHARES TR RUS MD CP GR ETF 464287481 67 527 SH   DFND 1 527 0 0
ISHARES TR RUS MD CP GR ETF 464287481 3,002 23,045 SH   DFND 2 0 0 23,045
ISHARES TR RUS MID CAP ETF 464287499 208 957 SH   DFND 2 0 0 957
ISHARES TR RUS MID CAP ETF 464287499 3,523 16,605 SH   DFND 1 16,605 0 0
ISHARES TR CORE S&P MCP ETF 464287507 204 1,018 SH   DFND 2 0 0 1,018
ISHARES TR CORE S&P MCP ETF 464287507 510 2,616 SH   DFND 1 2,616 0 0
ISHARES TR NASDAQ BIOTECH 464287556 29 249 SH   DFND 2 0 0 249
ISHARES TR NASDAQ BIOTECH 464287556 710 6,469 SH   DFND 1 6,469 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 2,431 SH   DFND 2 0 0 2,431
ISHARES TR RUS 1000 GRW ETF 464287614 59 400 SH   DFND 2 0 0 400
ISHARES TR RUS 1000 GRW ETF 464287614 283 1,965 SH   DFND 1 1,965 0 0
ISHARES TR RUS 2000 GRW ETF 464287648 389 1,846 SH   DFND 2 0 0 1,846
ISHARES TR RUS 2000 GRW ETF 464287648 494 2,416 SH   DFND 1 2,416 0 0
ISHARES TR RUSSELL 2000 ETF 464287655 8,189 50,000 SH Put DFND 1 50,000 0 0
ISHARES TR RUSSELL 2000 ETF 464287655 8,189 50,000 SH Put DFND   50,000 0 0
ISHARES TR CORE S&P SCP ETF 464287804 85 1,015 SH   DFND 1 1,015 0 0
ISHARES TR CORE S&P SCP ETF 464287804 696 8,052 SH   DFND 2 0 0 8,052
ISHARES TR S&P SML 600 GWT 464287887 743 3,797 SH   DFND 2 0 0 3,797
ISHARES TR MSCI ACWI EX US 464288240 507 10,730 SH   DFND 1 10,730 0 0
ISHARES TR JPMORGAN USD EMG 464288281 264 2,429 SH   DFND 2 0 0 2,429
ISHARES TR JPMORGAN USD EMG 464288281 977 9,147 SH   DFND 1 9,147 0 0
ISHARES TR NEW YORK MUN ETF 464288323 1,548 28,247 SH   DFND 1 28,247 0 0
ISHARES TR CALIF MUN BD ETF 464288356 374 6,382 SH   DFND 1 6,382 0 0
ISHARES TR NATIONAL MUN ETF 464288414 1,102 10,108 SH   DFND 1 10,108 0 0
ISHARES TR INTL SEL DIV ETF 464288448 1,818 56,712 SH   DFND 1 56,712 0 0
ISHARES TR 1 3 YR CR BD ETF 464288646 2,383 22,984 SH   DFND 1 22,984 0 0
ISHARES TR GLOBAL MATER ETF 464288695 366 5,448 SH   DFND 1 5,448 0 0
ISHARES TR EAFE GRWTH ETF 464288885 286 3,576 SH   DFND 2 0 0 3,576
ISHARES TR RUS TP200 GR ETF 464289438 3,444 42,736 SH   DFND 2 0 0 42,736
ISHARES TR MSCI INDIA ETF 46429B598 209 6,150 SH   DFND 2 0 0 6,150
ISHARES TR FLTG RATE NT ETF 46429B655 33 650 SH   DFND 2 0 0 650
ISHARES TR FLTG RATE NT ETF 46429B655 3,088 60,544 SH   DFND 1 60,544 0 0
ISHARES TR MIN VOL EAFE ETF 46429B689 657 9,238 SH   DFND 1 9,238 0 0
ISHARES TR MIN VOL USA ETF 46429B697 845 15,902 SH   DFND 1 15,902 0 0
ISHARES TR USA MOMENTUM FCT 46432F396 1,324 11,760 SH   DFND 2 0 0 11,760
ISHARES TR CORE MSCI EAFE 46432F842 656 10,352 SH   DFND 1 10,352 0 0
ISHARES INC CORE MSCI EMKT 46434G103 261 4,909 SH   DFND 2 0 0 4,909
ITERIS INC COM 46564T107 467 485,399 SH   DFND 1 485,399 0 0
J JILL INC COM 46620W102 187 20,000 SH   DFND 1 20,000 0 0
JPMORGAN CHASE & CO COM 46625H100 24 232 SH   DFND 1 232 0 0
JPMORGAN CHASE & CO COM 46625H100 223 2,091 SH   DFND 2 0 0 2,091
JOHNSON & JOHNSON COM 478160104 141 1,160 SH   DFND 1 1,160 0 0
JOHNSON & JOHNSON COM 478160104 512 4,016 SH   DFND 2 0 0 4,016
KBL MERGER CORP IV COM 48242A104 398 40,000 SH   DFND 1 40,000 0 0
KBL MERGER CORP IV *W EXP 01/15/202 48242A112 12 40,000 SH   DFND 1 40,000 0 0
KBL MERGER CORP IV RIGHT 03/22/2019 48242A120 13 40,000 SH   DFND 1 40,000 0 0
KAYNE ANDERSON ACQUISITION COM CL A 48661U102 2,075 209,998 SH   DFND 1 209,998 0 0
KAYNE ANDERSON ACQUISITION *W EXP 06/30/202 48661U110 80 66,666 SH   DFND 1 66,666 0 0
KINDRED BIOSCIENCES INC COM 494577109 213 20,000 SH   DFND   20,000 0 0
KOPPERS HOLDINGS INC COM 50060P106 301 281,348 SH   DFND 1 281,348 0 0
LF CAP ACQUISITION CORP UNIT 06/19/2025 50200K207 1,064 105,700 SH   DFND   105,700 0 0
LADENBURG THALMAN FIN SVCS I COM 50575Q102 510 150,000 SH   DFND 1 150,000 0 0
LIBERTY TAX INC CL A 53128T102 1,127 139,586 SH   DFND   139,586 0 0
LIMELIGHT NETWORKS INC COM 53261M104 268 60,000 SH   DFND   60,000 0 0
LIMELIGHT NETWORKS INC COM 53261M104 1,765 394,841 SH   DFND 1 394,841 0 0
LINCOLN ELEC HLDGS INC COM 533900106 263 2,922 SH   DFND 2 0 0 2,922
LOCKHEED MARTIN CORP COM 539830109 717 2,321 SH   DFND 2 0 0 2,321
LONESTAR RES US INC CL A VTG 54240F103 9,897 1,172,622 SH   DFND 1 1,172,622 0 0
LUMENTUM HLDGS INC COM 55024U109 29 500 SH   DFND 2 0 0 500
LUMENTUM HLDGS INC COM 55024U109 409 145,798 SH   DFND 1 145,798 0 0
MGIC INVT CORP WIS COM 552848103 399 315,171 SH   DFND 1 315,171 0 0
MANPOWERGROUP INC COM 56418H100 301 3,483 SH   DFND 2 0 0 3,483
MARATHON PETE CORP COM 56585A102 222 3,083 SH   DFND 2 0 0 3,083
MARTIN MIDSTREAM PRTNRS L P UNIT L P INT 573331105 361 307,521 SH   DFND 1 307,521 0 0
MATLIN & PARTNERS ACQUISITIO CL A 57682V106 987 100,000 SH   DFND 1 100,000 0 0
MATLIN & PARTNERS ACQUISITIO *W EXP 05/28/202 57682V114 68 100,000 SH   DFND 1 100,000 0 0
MATTHEWS INTL CORP CL A 577128101 418 306,281 SH   DFND 1 306,281 0 0
MAXWELL TECHNOLOGIES INC COM 577767106 130 25,000 SH   DFND   25,000 0 0
MERCK & CO INC COM 58933Y105 52 852 SH   DFND 1 852 0 0
MERCK & CO INC COM 58933Y105 316 5,071 SH   DFND 2 0 0 5,071
META FINL GROUP INC COM 59100U108 371 335,008 SH   DFND 1 335,008 0 0
MICROSOFT CORP COM 594918104 285 2,794 SH   DFND 2 0 0 2,794
MICROSOFT CORP COM 594918104 3,593 36,438 SH   DFND 1 36,438 0 0
MICRON TECHNOLOGY INC COM 595112103 105 2,000 SH   DFND 1 2,000 0 0
MICRON TECHNOLOGY INC COM 595112103 137 2,450 SH   DFND 2 0 0 2,450
MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 62 10,825 SH   DFND 2 0 0 10,825
MONDELEZ INTL INC CL A 609207105 323 7,671 SH   DFND 2 0 0 7,671
NII HLDGS INC COM PAR 62913F508 367 94,045 SH   DFND 1 94,045 0 0
NATURAL RESOURCE PARTNERS L COM UNIT LTD PAR 63900P608 2,355 75,000 SH Call DFND 1 75,000 0 0
NETFLIX INC COM 64110L106 247 595 SH   DFND 2 0 0 595
NETSCOUT SYS INC COM 64115T104 439 282,349 SH   DFND 1 282,349 0 0
NEW MTN FIN CORP COM 647551100 408 30,000 SH   DFND 1 30,000 0 0
NOVAVAX INC COM 670002104 3 2,000 SH   DFND 2 0 0 2,000
NOVAVAX INC COM 670002104 354 383,595 SH   DFND 1 383,595 0 0
NVIDIA CORP COM 67066G104 269 1,064 SH   DFND 2 0 0 1,064
NUVEEN MTG OPPORTUNITY TERM COM 670735109 218 9,283 SH   DFND 1 9,283 0 0
NUVEEN BUILD AMER BD FD COM 67074C103 483 23,447 SH   DFND 1 23,447 0 0
NUVEEN HIGH INCOME 2020 TARG COM 67075L102 534 54,008 SH   DFND 2 0 0 54,008
NUVEEN HGH INC DEC18 TRGT TR COM 67075P103 143 14,597 SH   DFND 2 0 0 14,597
NUVEEN CR OPPORTUNITIES 2022 COM 67075U102 464 48,868 SH   DFND 2 0 0 48,868
NUVEEN HIGH INCOME DECMBR 20 COM 67076E107 598 60,800 SH   DFND 2 0 0 60,800
NUVEEN HIGH INCOME NOVEMBER COM 67077N106 837 86,782 SH   DFND 2 0 0 86,782
OHA INVT CORP COM 67091U102 71 46,800 SH   DFND   46,800 0 0
O REILLY AUTOMOTIVE INC NEW COM 67103H107 297 1,030 SH   DFND 2 0 0 1,030
ON SEMICONDUCTOR CORP COM 682189105 325 14,600 SH   DFND 1 14,600 0 0
ONE LIBERTY PPTYS INC COM 682406103 409 15,482 SH   DFND 1 15,482 0 0
OOMA INC COM 683416101 471 288,441 SH   DFND 1 288,441 0 0
OPGEN INC COM NEW 68373L208 246 138,000 SH   DFND 1 138,000 0 0
OPKO HEALTH INC COM 68375N103 58 10,000 SH   DFND 2 0 0 10,000
PAYPAL HLDGS INC COM 70450Y103 344 3,994 SH   DFND 2 0 0 3,994
PENNANTPARK INVT CORP COM 708062104 2,825 403,237 SH   DFND 1 403,237 0 0
PENNANTPARK FLOATING RATE CA COM 70806A106 2,544 186,236 SH   DFND 1 186,236 0 0
PFIZER INC COM 717081103 187 5,150 SH   DFND 1 5,150 0 0
PFIZER INC COM 717081103 449 11,984 SH   DFND 2 0 0 11,984
PHYSICIANS RLTY TR COM 71943U104 163 10,200 SH   DFND 2 0 0 10,200
PIMCO ETF TR ENHNCD LW DUR AC 72201R718 3,023 30,319 SH   DFND 1 30,319 0 0
PIMCO ETF TR ENHAN SHRT MA AC 72201R833 8,111 79,877 SH   DFND 1 79,877 0 0
PLATFORM SPECIALTY PRODS COR COM 72766Q105 696 60,000 SH   DFND 1 60,000 0 0
PREFERRED BK LOS ANGELES CA COM NEW 740367404 355 293,691 SH   DFND 1 293,691 0 0
PRIMO WTR CORP COM 74165N105 406 200,773 SH   DFND 1 200,773 0 0
PROCTER AND GAMBLE CO COM 742718109 15 187 SH   DFND 1 187 0 0
PROCTER AND GAMBLE CO COM 742718109 550 6,888 SH   DFND 2 0 0 6,888
PROSHARES TR RUSS 2000 DIVD 74347B698 207 3,535 SH   DFND 2 0 0 3,535
PROSHARES TR PSHS LC COR PLUS 74347R248 405 5,833 SH   DFND 2 0 0 5,833
RPM INTL INC COM 749685103 257 4,255 SH   DFND 2 0 0 4,255
RADISYS CORP COM 750459109 68 96,600 SH   DFND   96,600 0 0
RANGER ENERGY SVCS INC COM CL A 75282U104 4,962 541,166 SH   DFND 1 541,166 0 0
RAYTHEON CO COM NEW 755111507 388 1,983 SH   DFND 2 0 0 1,983
RENT A CTR INC NEW COM 76009N100 821 55,798 SH   DFND   55,798 0 0
RIGEL PHARMACEUTICALS INC COM NEW 766559603 920 325,000 SH   DFND 1 325,000 0 0
RUBICON PROJ INC COM 78112V102 65 22,961 SH   DFND   22,961 0 0
RUBICON PROJ INC COM 78112V102 5,784 2,029,437 SH   DFND 1 2,029,437 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 797 2,859 SH   DFND 2 0 0 2,859
SPDR S&P 500 ETF TR TR UNIT 78462F103 1,827 6,734 SH   DFND 1 6,734 0 0
SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 991 19,789 SH   DFND 1 19,789 0 0
SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 1,040 21,874 SH   DFND 2 0 0 21,874
SPDR SERIES TRUST BLMBRG BRC CNVRT 78464A359 207 3,832 SH   DFND 2 0 0 3,832
SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 2 64 SH   DFND 1 64 0 0
SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 305 8,549 SH   DFND 2 0 0 8,549
SPDR SERIES TRUST DJ REIT ETF 78464A607 403 4,251 SH   DFND 2 0 0 4,251
SPDR SERIES TRUST S&P OILGAS EXP 78464A730 256 5,758 SH   DFND 2 0 0 5,758
SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 494 2,037 SH   DFND 1 2,037 0 0
SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1,986 7,970 SH   DFND 2 0 0 7,970
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1,031 2,821 SH   DFND 2 0 0 2,821
S&W SEED CO COM 785135104 551 493,922 SH   DFND 1 493,922 0 0
SACHEM CAP CORP COM 78590A109 877 213,973 SH   DFND 1 213,973 0 0
SACHEM CAP CORP COM 78590A109 1,872 456,619 SH   DFND   456,619 0 0
SANOFI RIGHT 12/31/2020 80105N113 0 17 SH   DFND 1 17 0 0
SANOFI RIGHT 12/31/2020 80105N113 122 244,754 SH   DFND   244,754 0 0
SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 376 3,440 SH   DFND 1 3,440 0 0
SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 449 4,010 SH   DFND 2 0 0 4,010
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 15,178 SH   DFND 2 0 0 15,178
SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 242 3,287 SH   DFND 2 0 0 3,287
SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 657 9,156 SH   DFND 2 0 0 9,156
SELECT ENERGY SVCS INC CL A COM 81617J301 368 264,192 SH   DFND 1 264,192 0 0
SHERWIN WILLIAMS CO COM 824348106 548 1,308 SH   DFND 2 0 0 1,308
SHOPIFY INC CL A 82509L107 413 2,600 SH   DFND 2 0 0 2,600
SIGA TECHNOLOGIES INC COM 826917106 129 21,709 SH   DFND   21,709 0 0
SINCLAIR BROADCAST GROUP INC CL A 829226109 1,570 348,630 SH   DFND 1 348,630 0 0
SNAP INC CL A 83304A106 12 900 SH   DFND 2 0 0 900
SNAP INC CL A 83304A106 358 27,314 SH   DFND 1 27,314 0 0
SOGOU INC ADR REPSTG A 83409V104 632 55,300 SH Put DFND 1 55,300 0 0
SOLAR SR CAP LTD COM 83416M105 4,352 266,815 SH   DFND 1 266,815 0 0
SOUTHCROSS ENERGY PARTNERS L COM UNIT LTDPT 84130C100 76 48,370 SH   DFND 2 0 0 48,370
SOUTHWESTERN ENERGY CO COM 845467109 417 313,192 SH   DFND 1 313,192 0 0
SPECTRUM PHARMACEUTICALS INC COM 84763A108 405 302,915 SH   DFND 1 302,915 0 0
SPIRIT AEROSYSTEMS HLDGS INC COM CL A 848574109 433 5,043 SH   DFND 2 0 0 5,043
SPLUNK INC COM 848637104 33 333 SH   DFND 2 0 0 333
SPLUNK INC COM 848637104 595 6,000 SH   DFND 1 6,000 0 0
SQUARE INC CL A 852234103 307 4,740 SH   DFND 2 0 0 4,740
STAMPS COM INC COM NEW 852857200 135 500 SH   DFND 2 0 0 500
STAMPS COM INC COM NEW 852857200 335 253,238 SH   DFND 1 253,238 0 0
STARBUCKS CORP COM 855244109 285 5,661 SH   DFND 2 0 0 5,661
STEWART INFORMATION SVCS COR COM 860372101 307 7,124 SH   DFND 1 7,124 0 0
THL CR INC COM 872438106 164 21,000 SH   DFND 1 21,000 0 0
TELENAV INC COM 879455103 4,168 744,317 SH   DFND 1 744,317 0 0
TEMPUR SEALY INTL INC COM 88023U101 2,611 54,341 SH   DFND   54,341 0 0
TEMPUR SEALY INTL INC COM 88023U101 4,985 103,736 SH   DFND 1 103,736 0 0
TIVO CORP COM 88870P106 381 319,908 SH   DFND 1 319,908 0 0
TORTOISE MLP FD INC COM 89148B101 886 51,878 SH   DFND 1 51,878 0 0
TORTOISE MLP FD INC RIGHT 07/18/2018 89148B119 19 51,900 SH   DFND 1 51,900 0 0
TRAVELCENTERS AMER LLC COM 894174101 420 354,801 SH   DFND 1 354,801 0 0
TRINITY MERGER CORP *W EXP 05/11/202 89653L114 117 292,400 SH   DFND   292,400 0 0
TRINITY MERGER CORP UNIT 05/11/2025 89653L205 1,459 145,000 SH   DFND 1 145,000 0 0
TRUECAR INC COM 89785L107 401 332,679 SH   DFND 1 332,679 0 0
TUESDAY MORNING CORP COM NEW 899035505 306 100,375 SH   DFND   100,375 0 0
TWITTER INC COM 90184L102 169 3,866 SH   DFND 2 0 0 3,866
TWITTER INC COM 90184L102 336 7,700 SH   DFND 1 7,700 0 0
USA COMPRESSION PARTNERS LP COMUNIT LTDPAR 90290N109 394 337,362 SH   DFND 1 337,362 0 0
UMH PPTYS INC COM 903002103 400 301,465 SH   DFND 1 301,465 0 0
U.S. AUTO PARTS NETWORK INC COM 90343C100 273 182,018 SH   DFND   182,018 0 0
UNION PAC CORP COM 907818108 394 2,733 SH   DFND 2 0 0 2,733
URBAN EDGE PPTYS COM 91704F104 329 14,365 SH   DFND 1 14,365 0 0
VAIL RESORTS INC COM 91879Q109 685 2,500 SH Put DFND 1 2,500 0 0
VANGUARD GROUP DIV APP ETF 921908844 1,528 15,032 SH   DFND 1 15,032 0 0
VANGUARD STAR FD VG TL INTL STK F 921909768 437 8,074 SH   DFND 1 8,074 0 0
VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 327 3,664 SH   DFND 2 0 0 3,664
VANGUARD BD INDEX FD INC INTERMED TERM 921937819 52 640 SH   DFND 1 640 0 0
VANGUARD BD INDEX FD INC INTERMED TERM 921937819 1,126 13,919 SH   DFND 2 0 0 13,919
VANGUARD MALVERN FDS STRM INFPROIDX 922020805 2,204 45,125 SH   DFND 1 45,125 0 0
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 343 6,612 SH   DFND 1 6,612 0 0
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 72 1,677 SH   DFND 2 0 0 1,677
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 2,320 54,974 SH   DFND 1 54,974 0 0
VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 668 9,540 SH   DFND 1 9,540 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 8,473 SH   DFND 1 8,473 0 0
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1,061 13,598 SH   DFND 2 0 0 13,598
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 7,256 92,906 SH   DFND 1 92,906 0 0
VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 687 7,841 SH   DFND 1 7,841 0 0
VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 3,017 36,121 SH   DFND 1 36,121 0 0
VANGUARD INDEX FDS REAL ESTATE ETF 922908553 357 4,322 SH   DFND 2 0 0 4,322
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 3,893 SH   DFND 2 0 0 3,893
VANGUARD INDEX FDS SM CP VAL ETF 922908611 406 2,910 SH   DFND 2 0 0 2,910
VANGUARD INDEX FDS MID CAP ETF 922908629 54 335 SH   DFND 2 0 0 335
VANGUARD INDEX FDS MID CAP ETF 922908629 3,447 21,869 SH   DFND 1 21,869 0 0
VANGUARD INDEX FDS LARGE CAP ETF 922908637 6 45 SH   DFND 2 0 0 45
VANGUARD INDEX FDS LARGE CAP ETF 922908637 9,306 74,594 SH   DFND 1 74,594 0 0
VANGUARD INDEX FDS GROWTH ETF 922908736 386 2,578 SH   DFND 1 2,578 0 0
VANGUARD INDEX FDS GROWTH ETF 922908736 3,668 23,792 SH   DFND 2 0 0 23,792
VANGUARD INDEX FDS VALUE ETF 922908744 132 1,276 SH   DFND 1 1,276 0 0
VANGUARD INDEX FDS VALUE ETF 922908744 3,861 36,199 SH   DFND 2 0 0 36,199
VANGUARD INDEX FDS SMALL CP ETF 922908751 68 439 SH   DFND 1 439 0 0
VANGUARD INDEX FDS SMALL CP ETF 922908751 199 1,243 SH   DFND 2 0 0 1,243
VANGUARD INDEX FDS TOTAL STK MKT 922908769 239 1,655 SH   DFND 2 0 0 1,655
VANGUARD INDEX FDS TOTAL STK MKT 922908769 2,154 15,336 SH   DFND 1 15,336 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 83 1,655 SH   DFND 1 1,655 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 232 4,519 SH   DFND 2 0 0 4,519
VIASAT INC COM 92552V100 28 400 SH   DFND 2 0 0 400
VIASAT INC COM 92552V100 398 279,908 SH   DFND 1 279,908 0 0
VIEWRAY INC COM 92672L107 334 285,871 SH   DFND 1 285,871 0 0
VISA INC COM CL A 92826C839 258 1,887 SH   DFND 2 0 0 1,887
VITAMIN SHOPPE INC NOTE 2.250%12/0 92849EAB7 284 374,000 PRN   DFND   374,000 0 0
WESTERN DIGITAL CORP COM 958102105 774 10,000 SH   DFND 1 10,000 0 0
WISDOMTREE TR HEDGED HI YLD BD 97717W430 471 19,660 SH   DFND 2 0 0 19,660
WISDOMTREE TR GLB US QTLY DIV 97717W844 698 12,222 SH   DFND 1 12,222 0 0
AVISTA HEALTHCARE PUB ACQ CO CL A G0726L125 1,001 100,000 SH   DFND 1 100,000 0 0
EATON CORP PLC SHS G29183103 272 3,473 SH   DFND 2 0 0 3,473
FERROGLOBE PLC SHS G33856108 2,041 238,181 SH   DFND 1 238,181 0 0
GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 2,516 250,099 SH   DFND 1 250,099 0 0
GTY TECHNOLOGY HOLDINGS INC *W EXP 10/25/202 G4182A128 73 58,333 SH   DFND 1 58,333 0 0
WEATHERFORD INTL PLC ORD SHS G48833100 63 18,000 SH   DFND 2 0 0 18,000
MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 16 700 SH   DFND 2 0 0 700
MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 294 202,178 SH   DFND 1 202,178 0 0
ATTUNITY LTD SHS NEW M15332121 999 86,015 SH   DFND 1 86,015 0 0
MAGICJACK VOCALTEC LTD SHS M6787E101 10,622 1,249,600 SH   DFND   1,249,600 0 0
POINTER TELOCATION LTD SHS M7946T104 389 364,925 SH   DFND 1 364,925 0 0
AEGEAN MARINE PETROLEUM NETW SHS Y0017S102 304 458,342 SH   DFND   458,342 0 0
AEGEAN MARINE PETROLEUM NETW SHS Y0017S102 484 730,030 SH   DFND 1 730,030 0 0
AEGEAN MARINE PETE NETWORK I NOTE 4.000%11/0 Y0020QAA9 167 341,000 PRN   DFND   341,000 0 0
AEGEAN MARINE PETE NETWORK I NOTE 4.000%11/0 Y0020QAA9 2,836 5,750,000 PRN   DFND 1 5,750,000 0 0
GLOBAL SHIP LEASE INC NEW SHS A Y27183105 152 114,796 SH   DFND   114,796 0 0