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Special Expo Issue of Growth Capital Investor Coming April 22

Look for our special Expo issue of Growth Capital Investor on April 22, featuring our Q1 Growth Equity Market Review, and the complete schedule of speakers and presentations at the Growth Capital Expo, April 29 – May 1, at Caesars Palace in Las Vegas. Click the events tab above for more information and to register under our 50% off subscriber rate.

News

Kingsway Subsidiary to Sponsor SPAC

Kingsway Financial Services (KFS) announced that its wholly-owned merchant banking subsidiary, 1347 Capital, LLC, has signed a letter of intent to sponsor an initial public offering by a special purpose acquisition company to be formed by it. The offering is expected to include 4 million units, each unit

SPAC Said to be Eyeing Retailer Bluestem

An unnamed SPAC is said to be looking at acquiring Bluestem Brands, which sells cosmetics and home goods to low- and middle-income customers through websites and catalogs, according to reports in the Wall Street Journal and Bloomberg. The company is working with Lazard Ltd. on a sale, according to the reports.

Legal & Regulatory

NASAA Comes Out Swinging in Fight over Reg A+ Rules

The North American Securities Administrators Association is pulling out the big guns in its battle regarding new Federal rule making for Regulation A+.

Rule 105 Short Selling Violations Lead to Largest SEC Fine Yet
SEC

The Securities and Exchange Commission has settled a suit against a Long Island, New York man running his own money through his prop-trading firm, Worldwide Capital, for short selling on sixty stocks that violated Rule 105. The regulator touted the $7.2 million fine as the largest Rule 105 settlement to day and boasted they have […]

Markets

Jolt to Life Science Sector to Test Robust Q1 Activity

A brisk life science IPO market dented equity private placements in the sector late last year as investors displayed a preference for buying new issues.

Regulators Offer Incremental Deal Finder Reforms
SEC

Regulators over the last several weeks have signaled that they are prepared to loosen regulations overseeing merger and acquisition brokers, advisory firms, and other consulting businesses that don’t facilitate securities offerings but may nevertheless receive compensation based on securities-related transactions.

Executive Moves

Ladenburg Thalmann Hires Green to Head Tech Banking

Mark Green has joined Ladenburg Thalmann & Co. as a managing director and head of technology investment banking at the firm, focusing on fundraising, structuring, advisory and M&A for innovative growth companies in the technology sector.

H.C. Wainwright Hires Euro Pacific’s Ihle as Metals and Mining Analyst

H.C. Wainwright & Co. has hired Heiko Ihle as senior metals & mining analyst in its equity research department.