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.

Executive Moves

Newly Reconstituted H.C. Wainwright Bolsters Research Team

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H.C. Wainwright & Co. has made several recent hires to its research department as the firm rebuilds its growth equity private placement business after its acquisition earlier this year by former senior management of Rodman & Renshaw. Jeff Wright joined H.C. Wainwright as a managing director of equity research in late August. Wright comes to the firm from Global Hunter Securities. Wright has more than 15 years of capital markets experience, specializing in natural resources, metals and mining.

Executive Moves

Feldman Joining Olshan Frome

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Longtime Greenberg Traurig partner Spencer Feldman is leaving the firm to join Olshan Frome Wolosky, according to industry sources. Feldman has spent more than 20 years at Greenberg focused on the firm’s capital markets practice, where he serves as head of the firm's Smaller Publicly Traded Companies Practice Group. He has concentrated on initial public offerings, follow-on offerings, shelf takedowns, confidentially marketed offerings, registered directs, PIPEs and other private financings, rights offerings, reverse public offerings, and mergers & acquisitions, with an emphasis on representing computer, Internet, media, life sciences and other technology-driven companies, and the banks, financial institutions and other institutional investors which provide capital to these companies. Feldman is a member of the editorial board of the Journal of Commercial Biotechnology, a publication for bioscience business professionals. Recently, he served as the moderator of the Securities Regulation of Smaller Public Companies Breakout Group at the 2012 SEC Government-Business Forum on Small Business Capital Formation.