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Growth Capitalist News and Analysis of Emerging Growth Company Finance

Growth Capitalist (https://growthcapitalist.com/category/premium-articles/executive-moves/page/11/)

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Executive Moves

Emerging growth capital market executive comings and goings.

  • Related Topics:
  • hirings and firings
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  • PIPE
Executive Moves
SEC

SEC’s Storch, Aronow Exit Agency, Krysa Tapped as Western U.S. Enforcement Head

By Brett Goetschius | July 15, 2014

The Securities and Exchange Commission announced that Adam D. Storch, Chief Operating Officer and Managing Executive of the Enforcement Division, had left the agency.

Executive Moves

H.C. Wainwright Further Expands Biotechnology Research with Four Senior Level Hires

By Brett Goetschius | June 30, 2014

H.C. Wainwright & Co. (HCW) has hire a managing director in its equity research department and three vice presidents in investment banking to further enhance its biotechnology practice.

Executive Moves

H.C. Wainwright Adds to Two to Research Group

By Brett Goetschius | April 22, 2014

H.C. Wainwright & Co. (HCW) has hired two senior equity research analysts to cover companies in the technology and emerging growth sectors. Amit Dayal joins

Executive Moves

Ladenburg Thalmann Hires Green to Head Tech Banking

By Brett Goetschius | April 13, 2014

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.

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Recent Filings

  • 1-U – StreamNet, Inc. (0001681343) (Filer)
  • 1-A/A – Nowigence Inc. (0001761911) (Filer)
  • 1-A/A – UMBRA Technologies (US) Inc. (0001742808) (Filer)
  • 1-U – TRUE LEAF MEDICINE INTERNATIONAL LTD. (0001698370) (Filer)
  • 1-A/A – Contact Gold Corp. (0001759352) (Filer)
  • 1-A – DPW Holdings, Inc. (0000896493) (Filer)
  • 1-A/A – Fundrise Growth eREIT 2019, LLC (0001768726) (Filer)
  • 1-A/A – Fundrise Income eREIT 2019, LLC (0001768760) (Filer)

Recent Stories

  • FAT Brands Starts Strong on Nasdaq

    On a side street off Times Square brokers and traders lined up earlier this week for a rare treat outside of Nasdaq’s Manhattan market center: free Fatburgers. Mark Elenowitz, the investment banker behind the $24 million Regulation A capital raise of FAT Brands, was glowing with pride. FAT Brands opening IPO day was here and market interest had driven the stock to open above the $12 Reg A offer price. The first trade sold at $12.80 and the stock soared to $13.99 in the morning hours. Elenowitz and his team at Tripoint Global Equities had worked all weekend to ensure the 2 million shares sold cleared the DTC (Depository Trust Company) and the hundreds of retail investors who bought stock through Tripoint’s online crowdfunding portal, BANQ, had their shares in their retail accounts available to trade immediately. FAT Brands is controlled by Andy Wiederhorn, head of the investment firm Fog Cutter Capital Group. The Southern California burger joint Fatburger, often touted by Hollywood celebrities, was started by Lovie Yancey and Charles Simpson. Yancey first opened a three-seater burger stand in the late 1940s in front of her house in South Central Los Angeles. FAT Brands, which stands for Fresh-Authentic-Tasty, owns multiple franchise chains focused on American food served in a fast casual setting. Fatburger is a 65-year-old company fashioned as a self-serve burger joint that competes with In-n-Out and Shake Shack (SHAK). Buffalo’s Café was founded in Roswell, Ga. in 1985, and is known for its chicken wings with 13 different sauces. And the company’s newest acquisition, Ponderosa and Bonanza Steakhouse, is a chain started in 1963 by Dan Blocker, who was known for his role as Hoss Cartwright in the TV western series Bonanza. CLICK HEADLINE FOR MORE>>

  • Reverse Merger Attorney Ofsink Pleads Guilty in Pump-and-Dump Scheme

    New York securities attorney Darren Ofsink, once an active adviser to emerging growth companies seeking to go public through reverse mergers, pleaded guilty on Oct. 18 to one charge of conspiracy to commit securities fraud, for his role in the $86 million manipulation scheme of CodeSmart Holdings (ITEN).

  • FAT Brands
    FAT Brands Readies Close of $24M APO

    Fast-casual dining franchise company FAT Brands expects to close it’s $24 million Reg A offering as soon as Oct. 20, according to company insiders. The quick closing follows reports that the company attracted millions of committed capital on its first day after the Securities and Exchange Commission qualified the offering on October 3. The owner of Fatburger and Buffalo’s Café is selling two million shares at $12, with a minimum investment of $500, from institutional and retail investors. The deal is being sold by Tripoint Global Securities as the exclusive bookrunner.

  • Zacks Small Cap Research Head and Banker Charged with Insider Trading

    The broker-dealer division of Chicago-based Zacks Investment Research, has been charged by the Securities and Exchange Commission for failure to supervise staff who traded on non-public material information. The action is a blow to the nascent Reg A research market, where Zacks has been the first and only traditional sell-side broker to offer equity research on Reg A issuers.

  • Arcimoto IPO
    Arcimoto’s Fast Close and Listing a Roadmap for Reg A+ Market

    The recent successful Reg A+ offering and immediate Nasdaq listing by an electric utility vehicle startup offers a roadmap for other issuers seeking a quick path to public capital and trading liquidity.

  • Arcimoto
    Second Ultra-light Carmaker Seeks to Tap Reg A Market

    An Oregon-based concept car company has been qualified by the Securities and Exchange Commission to raise $29.9 million through a Tier 2 Regulation A offering. Arcimoto is selling 4,600,000 shares at $6.50 through an exclusive underwriting agreement with WR Hambrecht + Co. The company plans to list on Nasdaq’s Capital Market.

Growth Capitalist publishes news and analysis of the markets for emerging growth company investment and finance. Our analysts and correspondents provide news coverage and research on public and private investment in pre-IPO and public reporting high-growth companies valued under $1 billion, via PIPEs, Reg A, Reg D, self-directed IPOs and other alternative offerings.

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