Our Professionals

We’re More Than Just Investment Bankers

In addition to our extensive transactional experience, our professional team possesses previous operating experience within both publicly-traded and privately-held companies. In addition, our team members include CPAs and engineers.

We’re Highly Experienced Investment Bankers

Our team of US-based professionals have advised on over 300 completed transactions and collectively possess in excess of 275 years of business experience.

We Are FINRA Licensed

The Securities Exchange Act of 1934 (“Exchange Act” or “Act”) governs the United States’ securities markets:

  • Section 3(a)(4)(A) of the Act generally defines a “broker” broadly as: any person engaged in the business of effecting transactions in securities for the account of others.
  • Section 3(a)(5)(A) of the Act generally defines a “dealer” as: any person engaged in the business of buying and selling securities for his own account, through a broker or otherwise.

Consequences of using an Unregistered Broker/Dealer for a Securities Transaction:

  • Use of an unregistered broker/dealer in connection with an issuance of securities is a violation of securities laws.
  • In instances where a seller uses an unregistered broker/dealer to facilitate a stock transaction, the Buyer has the right to rescind on the purchase at any time, including receiving full re-imbursement of the entire purchase price with interest.
  • For further information, see the following websites: