Executive Moves

Growth Capital Executive Moves

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Maxim Group Hires Eric Cheng, John Shaw and John Fletcher
Maxim Group announced Eric Cheng is joining the firm as senior managing director and head of Healthcare Investment Banking. Maxim also announced John Shaw III has joined as a managing director. Prior to joining Maxim, Shaw was a senior officer in equity capital markets at Deutsche Bank from 2007-2012, where he was responsible for managing the bank’s special purpose acquisition company practice globally. The investment bank also announced John Fletcher has joined as a managing director. Prior to joining Maxim, Fletcher spent more than 17 years at Brean Capital, most recently as a managing director and co-head of Investment Banking with a focus on oil and gas companies.

Executive Moves

Growth Capital Executive Moves

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SEC Names Abero to Head Small Business Policy Office

The Securities and Exchange Commission has named Sebastian Gomez Abero as chief of the Office of Small Business Policy. The appointment is effective immediately. Mr. Gomez previously was a special counsel in the Office of Chief Counsel of the SEC’s Division of Corporation Finance, where he played a key role in drafting proposed rules to implement the crowdfunding provisions of the Jumpstart Our Business Startups (JOBS) Act. He succeeds Gerald  J. Laporte, who retired in July after heading the Office of Small Business Policy for more than a decade. Houlihan Lokey Hires Liquidation Specialist from PAM

Houlihan Lokey named Harry Green as a director with a primary focus on transaction execution, further strengthening IFA’s senior execution capabilities.

Executive Moves

Growth Capital Personnel Moves

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SEC Names Julie Lutz to Direct Denver Office
The U.S. Securities and Exchange Commission named Julie K. Lutz as director of the Denver Regional Office, where she will oversee the SEC’s enforcement and examinations in a seven-state region. Lutz has supervised the enforcement program in the Denver office as associate director since 2010. She has been serving as acting co-director of the office for the past few months. Lutz joined the SEC staff in 1977 and worked in San Francisco and Washington, D.C., before moving to the Denver office in 1996. Lazard’s Gabrielski Moves to Stephens Inc.
Stephens Inc. hired Will Gabrielski as a senior analyst and senior vice president and will be covering Engineering and Construction as well as Oilfield Services companies.

Executive Moves

Growth Capital Personnel Moves

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Lazard Capital Markets CEO Buchanan Resigns in Wake of Staff Acquisition by FBR
Lazard Capital Markets CEO William Buchanan resigned effective Oct. 30, just two weeks after the firm sold much of its research, trading and clearing operations to FBR & Co., The active growth equity private placement agent also said it had completed a strategic review designed to cut expenses and explore merger options. Buchanan will be succeeded by co-CEOs Scott McLaughlin and William Rosenberg. McLaughlin is currently the head of equities and will stay in that role as well. Rosenberg also will retain his duties as COO and CFO.