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Andrew Hall

Managing Director, Nasdaq New Listings

Moderator

Andy has been with Nasdaq Listing Services since 2004, and has had various positions in the areas of Issuer Services & Market Intelligence. Andy has been on the New Listings team since 2007, and works with companies that are considering a Nasdaq listing. Andy has worked with companies that are moving from being a private to a public company in an IPO, and public companies that trade on the NYSE, NYSE MKT, TSX or OTC and are considering transferring, dual listing or uplisting to Nasdaq. Andy is also the creator & program manager of the Nasdaq International Designation for Level 1 ADRs and international companies that launched with its first group of companies in December 2015.

Jeffrey Fessler

Partner, Sheppard, Mullin, Richter & Hampton LLP

Panelist

Jeffrey Fessler is a partner in the Corporate Practice Group in the firm's New York office. Mr. Fessler is principally engaged in the practice of corporate and securities law. His practice is focused on the representation of public and private companies, principally in the biotechnology industry. Mr. Fessler has extensive experience representing investment banks and companies in public offerings and private placements as well as exchange listings and compliance. In addition, Mr. Fessler has been involved in a wide variety of corporate transactions, including mergers and acquisitions, joint ventures, proxy contests, restructurings and private equity and debt financings. In addition to the biotechnology industry, Mr. Fessler also represents companies in a variety of industries, including technology, telecommunications, broadcasting and healthcare.

Mitchell Nussbaum

Partner and Managing Partner, New York Office; Co-Chair, Capital Markets and Corporate; Chair, Asia, Loeb & Loeb LLP

Panelist

Mitch Nussbaum is the managing partner of Loeb & Loeb's New York office and serves as co-chair of the firm's Capital Markets and Corporate Department. His practice focuses on representing emerging growth companies and investment banks in initial public offerings, follow-on public offerings, shelf takedowns, registered direct placements, PIPEs and other private placements (144A, Reg D, Reg A, Reg S, etc.). Mr. Nussbaum also regularly represents public companies regarding their SEC and NYSE or Nasdaq listing compliance and has acted as outside general counsel, including corporate, securities, litigation and business counseling, to hundreds of private and public companies as well as their officers and directors. He also negotiates and documents acquisitions, mergers, going-private transactions, reverse mergers, proxy contests, tender offers, control contests, fund formations and secured lending financings and has represented issuers and underwriters in more than 100 SPAC public offerings and business combinations. Mr. Nussbaum was responsible for developing the groundbreaking IPAC, which features many of the benefits of the SPAC, but offers increased flexibility on pricing and deal structure, along with a more rapid transaction cycle.

According to the IPO Vital Signs league tables, in most of the past 10 years, Mr. Nussbaum has been ranked as one of the top five attorneys in the country based on the number of public offerings he has completed on behalf of issuers or underwriters. Mr. Nussbaum has also been named among the top attorneys in the areas of corporate and M&A law in the Chambers USA Guide to America's Leading Lawyers for Business.

Mr. Nussbaum and the Capital Markets Department routinely work seamlessly with colleagues in Loeb & Loeb's Advanced Media and Technology, Life Sciences, Intellectual Property, Energy and Tax practices to provide depth and sophistication in those areas during completion of capital markets or corporate transactions.

Bruce Poignant

Senior Consultant, Donohoe Advisory Associates LLC

Panelist

Bruce Poignant serves as a Senior Consultant for Donohoe Advisory Associates LLC, where he assists issuers, and their attorneys, in connection with efforts to uplist on a national securities exchange. He also more generally consults with currently listed issuers on the application of New York Stock Exchange ("NYSE") rules, policies and precedent. Prior to joining Donohoe Advisory in 2014, Mr. Poignant spent more than 20 years in the Exchange space, working at both the American Stock Exchange ("Amex") and NYSE. During this span, he worked with listed and prospective companies on regulatory and compliance issues. Mr. Poignant began his career at the Amex, working with companies on ongoing disclosure and corporate governance issues as well as identifying companies that had fallen below the continued listing requirements, eventually managing the group. Over the past 10 plus years, he worked within the capital markets groups at both the Amex and NYSE, working with numerous companies, both public and private to help them navigate through the original listing process and assisting with IPO readiness.

Prior to working in the Exchange sector, Bruce spent three years at Dean Witter in their operations and retail units. Bruce graduated with a BS degree from Montclair State and a Masters in Public Administration from Pace University.

 

Drew Bernstein

Co-Managing Partner, Marcum BP

Moderator

In 1983, Mr. Bernstein cofounded Bernstein & Pinchuk LLP, now the managing member of Marcum Bernstein & Pinchuk (MarcumBP), a PCAOB registered accounting firm headquartered in New York. Marcum is ranked within the top 15 firms and the combined firm is one of the largest middle market accounting firms servicing China-based, US publicly traded companies. Mr. Bernstein's early recognition of the global marketplace and his extensive work in the People's Republic of China resulted in the rapid expansion of his firm's services to that nation, where he has established local offices in Beijing, Shanghai, Hangzhou and Guangzhou, with coordinated services throughout the world. These offices are staffed with highly experienced SEC personnel dedicated to providing our clients services including audits and assurance, due diligence and transaction advisory.

Mr. Bernstein's diverse experience in retail, manufacturing, hospitality, pharmaceutical, professional practices, and real estate have contributed to the growth of the firm's client base abroad. Mr. Bernstein serves as an accountant and business advisor worldwide, providing specialized auditing and accounting services to public and non-public companies throughout the United States, China, Europe, and Africa.

Mr. Bernstein also serves as chairman of the audit committee of NASDAQ listed company and is a frequent speaker at industry, investment banking and university conferences. He is an active member of the board of directors and an officer of a prestigious foundation that was honored with the President's Voluntary Action Award by the late President Ronald Reagan.

Mr. Bernstein received his B.S. degree from the University of Maryland Business School.

Mitchell Nussbaum

Partner and Managing Partner, New York Office; Co-Chair, Capital Markets and Corporate; Chair, Asia, Loeb & Loeb LLP

Panelist

Mitch Nussbaum is the managing partner of Loeb & Loeb's New York office and serves as co-chair of the firm's Capital Markets and Corporate Department. His practice focuses on representing emerging growth companies and investment banks in initial public offerings, follow-on public offerings, shelf takedowns, registered direct placements, PIPEs and other private placements (144A, Reg D, Reg A, Reg S, etc.). Mr. Nussbaum also regularly represents public companies regarding their SEC and NYSE or Nasdaq listing compliance and has acted as outside general counsel, including corporate, securities, litigation and business counseling, to hundreds of private and public companies as well as their officers and directors. He also negotiates and documents acquisitions, mergers, going-private transactions, reverse mergers, proxy contests, tender offers, control contests, fund formations and secured lending financings and has represented issuers and underwriters in more than 100 SPAC public offerings and business combinations. Mr. Nussbaum was responsible for developing the groundbreaking IPAC, which features many of the benefits of the SPAC, but offers increased flexibility on pricing and deal structure, along with a more rapid transaction cycle.

According to the IPO Vital Signs league tables, in most of the past 10 years, Mr. Nussbaum has been ranked as one of the top five attorneys in the country based on the number of public offerings he has completed on behalf of issuers or underwriters. Mr. Nussbaum has also been named among the top attorneys in the areas of corporate and M&A law in the Chambers USA Guide to America's Leading Lawyers for Business.

Mr. Nussbaum and the Capital Markets Department routinely work seamlessly with colleagues in Loeb & Loeb's Advanced Media and Technology, Life Sciences, Intellectual Property, Energy and Tax practices to provide depth and sophistication in those areas during completion of capital markets or corporate transactions.

Louis Taubman

Partner, Hunter Taubman Fischer & Li LLC

Panelist

Louis Taubman is a partner in the New York office of Hunter Taubman Fischer & Li. Mr. Taubman’s practice concentrates on securities law, corporate finance and corporate governance. Mr. Taubman represents issuers, broker dealers and investors in connection with private and public financing transactions, mergers and acquisitions, corporate governance and SEC compliance. Mr. Taubman currently provides advice to various issuers with regard to their continued Securities Exchange Act of 1934 reporting requirements, as well as related issues of corporate compliance and governance. Mr. Taubman also assists issuers with regard to initial listing on the Nasdaq, NYSE-MKT, OTCQX and other markets and exchanges, as well as ongoing compliance with exchange listing requirements.

Robert K. Whyte

Managing Partner, Whyte & Co. LLC

Panelist

Robert K. Whyte is a mix of investment banker and entrepreneur. Currently he is a Managing Partner with Whyte & Co. LLC. where he oversees the EB-5 immigrant investment program for Direct and Regional Center projects with market caps from $50 - $500 million.

Prior to Whyte & Co. he headed the EB-5 practice at Aaron Capital, Inc. as Managing Director. Previously an I-banker/partner at Diamond Capital, a Los Angeles investment bank, that he founded. That firm was one of Los Angeles most progressive and successful private equity banking operations. He co-Founded Good Time Beverages, a contract packing spirits plant along with his patented FlexPouch™. Products sell throughout the USA and into some Asian countries. Robert came to this venture because after a twenty-one-year career on Wall Street completing investment banking transactions in consumer products and media.

The funding of Good Time Beverages used the EB-5 program. Robert realized that many business people do not understand EB-5. America's best kept funding secret. So, he wrote a bestselling book on the subject; "Secret Government Approved Funding" (available at Amazon) an overview of the Direct EB-5 process.

Involvement with EB-5 lead Robert to Whyte & Co. "the EB-5 Broker Dealer and Investment Bank", where he oversees larger EB-5 projects needing the assistance of a FINRA broker dealer to remain compliant with FINRA/SEC rules.

Historically, as an investment banker, he did M&A, and private equity funding deals from $15 million to $150 million per transaction, plus junk bonds and IPO's, so this is a natural extension helping EB-5 projects and investors from around the world with both Direct and Regional Center investments to ensure the projects are compliant with all SEC regulations.

In 2002, Robert founded the Los Angeles office of Morgan Joseph & Co. as Managing Partner and Compliance Officer. The firm specialized in SPAC's, PIPE's, high yield debt, institutional private equity or IPO's. He was part of the Media and Consumer Product I-banking groups.

Before moving to Los Angeles, Robert lived in New York City and was a partner in the Media and Broadcast Group of RBC Daniels and Associates. Historically, Mr. Whyte was one of the founding partners of Home Shopping Network and in 1986, led the company as its CEO through its Initial Public Offering on the Toronto Stock Exchange and the US Company on the American Stock Exchange. In 1980, he became the youngest CRTC licensee of a broadcasting radio station in Canada after raising the financing, building the station then growing that station to top market position within the first year of operation. He sold his majority interest to a publicly traded company and proceeded to travel for six months around the world to study other cultures.  

Robert holds SEC/FINRA Series 7, 63 securities licenses and held a General Principal Series 24 FINRA/SEC license. He became an American citizen in 2012, after 20 years as a permanent resident (visa "O" to green card). He is a multi engine IFR pilot and loves the great outdoors. Robert is a past Director of Pacific City Financial Corp, a Korean America bank located in Los Angeles. A Paul Harris Fellow of Rotary 5. Founder of the MeatEaters Ball (raising charity funds for CHLA). He was chairperson of the Investment Capital Conference, Los Angeles and past President and six-year board member of the Los Angeles Venture Association (LAVA). Member of IIUSA (Invest in America) and the EB-5 Investment Coalition located in Washington, DC. 

 

Caryn Schechtman

Partner, DLA Piper

Moderator

Caryn Schechtman practices in the areas of private securities litigation as well as securities regulatory law.

Caryn represents companies and individuals in investigations conducted by the US Department of Justice, the Securities and Exchange Commission, the New York Attorney General's Office, FINRA and other federal and state agencies. Caryn represents both foreign and US clients.

Caryn has focused on matters involving market manipulation or allegations of false representations in the purchase or sale of securities and insider trading. Her clients include individuals, hedge funds, public companies, private companies, investment advisors, brokerage firms and other financial services firms.

David Briones

Managing Member, BRIO Financial Group, LLC

Panelist

David S. Briones is the founder and managing member of Brio Financial Group, LLC (“Brio”) with over nineteen years of public accounting and executive level experience. He consults with various public companies in financial reporting, internal control development and evaluation, budgeting and forecasting. David has developed a specialty representing private companies as the outsourced CFO/Financial reporting specialist as a private company navigates toward becoming a public company through a self-filing, a reverse merger or through a traditional initial public offering. David’s client list crosses various industries: Technology/Internet, Manufacturing, Oil and Gas, Food and Beverage, Bio-technology, Software, Medical Device, Entertainment, Hedge Funds and Insurance.

Sarah Hewitt

Partner, Schnader Harrison Segal & Lewis LLP

Panelist

Sarah Hewitt is chair of the Firm's Corporate Practice Group and co-chair of its Mergers and Acquisitions and Art Law Practice Groups. As a corporate partner, she represents public and private companies, both U.S. and international, including emerging companies, family businesses, women and minority-owned businesses and nonprofit corporations, in the areas of corporate and securities law, private equity and venture capital financing, mergers and acquisitions, corporate governance, and general corporate counseling. She has also represented borrowers and lenders in secured and unsecured financing transactions, including asset-based loan transactions, most recently focusing on loans secured by fine art. She advises clients in a wide range of industries, including art, energy, financial services, gaming, mining, services, software, technology, and telecommunications.

Greg Kramer

Partner, Haynes & Boone, LLP

Panelist

Greg Kramer is a partner at Haynes and Boone, LLP and a go-to transactional lawyer for a wide array of clients who trust him with their most important and challenging deals. His practice focuses on private investments in public equity (PIPEs), registered direct offerings, corporate finance and mergers and acquisitions. Greg also represents public companies in connection with secondary public offerings, mergers and acquisitions, PIPEs and corporate finance matters. With experience representing both issuers and investors, he understands deals from the perspective of each party, making him a skilled and effective negotiator. Greg has been recognized for his work in the New York's legal community and named by Thomson Reuters as a Rising Star in the 2014 and 205 editions of New York Super Lawyers.

Howard Yeaton

Managing Partner & Founder, Financial Consulting Strategies LLC

Panelist

Howard is an expert in accounting for emerging public companies and in all aspects of public company financial reporting with extensive experience in IPO/APO's, acquisitions, reverse business combinations, SPACs, due diligence, financings, derivatives, Sarbanes-Oxley, and SEC regulations.

Howard is an advisor to a broad range of investors and companies in the micro and small cap space, providing financial guidance that facilitates getting companies and their acquisition candidates ready for the rigors of public reporting. He is also currently engaged as an Interim CFO.

Howard has over 25 years of senior financial and strategic business experience. He has experience in a wide array of industries including software development, government contracting, IP, risk management, consulting, real estate development, renewable energy, mining, digital advertising, life science, innovative technologies, beverage and special-purpose acquisition companies.

 

Marc Ross

Founding Partner, Sichnezia Ross Ference Kesner LLP

Moderator

Marc J. Ross is a founding partner of Sichenzia Ross Ference Kesner LLP, formerly known as Sichenzia Ross Friedman Ference LLP, a firm he started in 1998 which specializes in corporate, securities, litigation and regulatory matters.

In the securities and corporate area, Mr. Ross advises companies with their 1934 Act reporting requirements as well as their NASDAQ, AMEX and NYSE and other exchange listing and compliance matters. In addition, Mr. Ross assists companies going public, whether through a reverse merger (RTO), initial public offering (IPO), or company offering (DPO). He also advises clients on investment and capital raising transactions, including private investments in public equities (PIPEs), initial public offerings (IPOs), registered direct offerings (RDs), and shelf offerings.

In the litigation and regulatory area, Mr. Ross represents clients in commercial/securities matters from arbitrations before FINRA, the AAA, and JAMS, to court cases nationwide. Mr. Ross also counsels clients in civil regulatory and possible criminal investigations before self-regulatory organizations, state agencies, or federal agencies, and he regularly appears before the SEC, FINRA, and state securities agencies in connections with their investigations.

Mr. Ross also specializes in advising marijuana and marijuana-related companies. In particular, he is very knowledgeable in, and often speaks on, the legal issues associated with marijuana and marijuana-related businesses, including the interplay between state laws which legalize recreational and/or medical marijuana uses, and federal laws which bar such uses.

Mr. Ross teaches the first law school course on marijuana at Hofstra University School of Law, titled Business and Law of Marijuana. In his course, Mr. Ross introduces students to the rapidly-developing legal questions encountered in the operation of marijuana-related businesses. The course uses a fictional business, Cannabis Inc., to explore (1) the interplay between state laws legalizing recreational and/or medical marijuana uses and the Federal Controlled Substances Act; (2) enforcement and application of other regulatory regimes governing the operation of marijuana-related businesses, such as banking and securities laws; and (3) the ethical considerations for an attorney advising a client engaged in a marijuana-related business.

Scott Greiper

President, Viridian Capital Advisors

Panelist

Mr. Greiper has had a highly successful 30-year career on Wall Street and in his own businesses, with a focus on helping to back and build emerging growth companies. He is the Founder and President of Viridian Capital Advisors, LLC, a financial and strategic advisory firm dedicated to the medicinal and legal cannabis market. Viridian provides market intelligence, investment banking, and corporate development services to emerging growth companies in the cannabis sector. Its banking practice, through broker-dealer Pickwick Capital Partners, LLC (Member FINRA/SIPC), provides capital and M&A to fund the growth of Viridian's clients, while its advisory practice helps to position and build their businesses. Leveraging the team's decades of high level operating and transactional experience on Wall Street and in the commercial and government sectors, Viridian provides comprehensive strategic and financial solutions that assist cannabis enterprises in realizing their full potential.

Scott has been involved in raising more than $400 million in capital for emerging growth companies and has completed a range of M&A transactions. He attended the Executive MBA program at Columbia University and received his B.A. in economics from the University of Chicago. He lives in New York City with his wife and two children.

Nick Kovacevich

CEO, Kush Bottles

Panelist

Nick Kovacevich is a seasoned entrepreneur who has built several successful businesses, including Kush Bottles, a leading compliant packaging solutions provider for the legal cannabis industry. Mr. Kovacevich was a captain for the NCAA Division II men's basketball team at Southwest Baptist University, where he graduated in 2009 with summa cum laude honors. Mr. Kovacevich started Kush Bottles in 2010, with a goal to provide pharmaceutical grade, child-safe packaging to the emerging medical cannabis industry. Kush Bottles now has facilities in three states with over 45 employees. In addition, the company is fully compliant with the SEC and publicly traded on the OTC exchange under the symbol KSHB.

In 2012, Kovacevich helped found BigRentz, an Irvine-based technology company. Mr. Kovacevich is an advisor and board director for the 90+ employee business, which generated nearly $30M in sales in 2015.

Today, Nick Kovacevich is the CEO of Kush Bottles and a recognized cannabis industry expert. Kovacevich is respected for bringing child-safe packaging and compliance standards to the emerging market. He is often asked to speak around the country at various cannabis conferences and has been featured on major media networks such as CNBC.

Derek Peterson

President & CEO, TerraTech

Panelist

Derek Peterson has served as Terra Tech’s President and Chief Executive Officer, and Chairman of the Board, since February 9, 2012. Prior to joining Terra Tech, Mr. Peterson was also co-owner of Black Oak, a medical marijuana dispensary located in Oakland, California. As a co-owner of Black Oak, Mr. Peterson worked with governmental agencies and tax authorities in Oakland, including working with the city to establish medical cannabis ordinances, competed for a permit to operate, and responded to a city request for proposal. Mr. Peterson is a CFP Professional and has held Series 7, General Securities Sales Supervisor Series 9 and 10, National Commodity Futures Series 3, Series 65 and California Insurance Licenses. Mr. Peterson holds a degree in Business Management from Pepperdine University.

 

Melina Ambrosino

Executive Vice President, Cherrytree Group

Moderator

Melina Ambrosino is the Executive Vice President at the Cherrytree Group. She joined the Cherrytree Group team in 2011; and has worked extensively with the various tax credit incentive programs in Massachusetts, as well as certain federal tax credit programs.

At the Cherrytree Group, Melina focuses on operational oversight, including employee management, marketing, business development and client relations, while dedicating herself to understanding fundamentals of these tax credit incentive programs so that she can expand the Cherrytree Group's clientele base and help the business expand organically.

Melina serves as the first point of contact for LSPs, developers, and real estate professionals, assisting them in determining their tax credit eligibility and helping to structure their projects accordingly.

Melina has a BA from Suffolk University, and is a resident of Wakefield, Massachusetts.

Monte Colbert

Director, Tax & Business Services, Marcum LLP

Panelist

Monte Colbert is a Director in the Firm's New York City office. He works closely with SEC reporting, large multi-state, and multi-national companies as well as closely-held and family-operated businesses and their owners. He provides tax consulting, planning and compliance services.

Mr. Colbert has more than 25 years of tax experience and client representation in many industries. He assists clients with broker-dealer matters, executive and deferred compensation, tax controversy including voluntary disclosure, and tax audits. He provides tax consulting services related to research and development and energy tax credits.

Mr. Colbert has been published in The CPA Journal, is a frequent contributor to the Firm's newsletter Beyond the Numbers and conducts training on specific tax topics.

Lawrence Curtis

President and Managing Partner, WinnDevelopment

Panelist

Lawrence H. Curtis, the President and Managing Partner of WinnDevelopment and member of the Board of Directors of WinnCompanies, has led a full range of real estate development and acquisition activities for more than 29 years.

His primary focus has been on the creation of affordable housing, mixed income housing and historic rehabilitation developments. In recent years under his leadership, WinnDevelopment has transformed historic properties and rehabilitated thousands of units of housing valued at $500 million.

He is a member of the Board of Directors for the National Multi-Housing Council, where he chairs their Workforce Housing Committee and serves on the National Trust for Historic Preservation's Board of Trustees. He has also received numerous awards, including the Paul E. Tsongas Award from Preservation Massachusetts and The Rental Housing Association's President's Award.

Warren Kirshenbaum

President, Cherrytree Group, LLC

Panelist

Warren Kirshenbaum is the President of the Cherrytree Group, LLC, a company he founded in 2006 and has built into a specialist tax credit consultation, brokerage, and syndication firm. Most employees have grown with Cherrytree, and have been immersed in a team based environment that fosters training and learning, combined with, leveraging practical expertise and industry connections have created a full service brokerage and syndication platform. Warren has utilized his expertise to build an office that focuses on the structural and development finance aspects of tax incentivized real estate based transactions, particularly in the environmental remediation (Brownfields), renewable energy, and historic rehabilitation areas. Warren has experience in both business and real estate, and has worked on corporate, securities, and tax credit transactions including; the Massachusetts Brownfields Tax Credit, Renewable Energy Tax Credits, such as the Federal Investment Tax Credit (ITC), the Low-Income Housing Tax Credit, and the federal and state Historical Rehabilitation Tax Credit.

 

James Alfaro

Managing Director, Healthcare Investment Banking, Maxim Group LLC

Moderator

Mr. Alfaro is the Managing Director, Healthcare Investment Banking at Maxim Group LLC. Mr. Alfaro has over 15 years of experience in investment banking and has completed a variety of capital raising and advisory transactions in the medical device, biotechnology and specialty pharmaceutical sectors. Previous to joining Maxim, Mr. Alfaro was a Senior Vice President and Head of Healthcare Investment Banking at Wedbush Morgan Securities.

Mr. Alfaro began his career at Chase Securities in the firm's Mergers & Acquisitions and Syndicated Finance groups and later joined J.P. Morgan's Capital Markets Group. He holds an MBA from the University of California at Berkeley and holds a B.A. from the University of Texas at Austin.

Robert Giordano

Managing Director - Giordano Group - President- Network 1 Financial Securities, Inc.

Panelist

Bob’s career in the financial services industry spans 35 plus years, with a major concentration in investment banking, related advisory and consulting work on behalf of emerging life science companies. This includes drug development companies, medical device development companies, both diagnostic and therapeutic, medical informatics companies and health care companies. Bob holds a BA from St. John's University, an LLB from St. John's University Law School, and a FINRA Series 79 License.

Stephen Goodman

Partner, Pryor Cashman LLP

Panelist

Stephen Goodman is a partner and leader of Pryor Cashman’s Life Sciences and Technology practices. In this role, he represents entrepreneurs, emerging entities and multinational technology-based companies involved in drug compounds and formulations, software and other technologies in a wide variety of matters. Notably, Steve brings his deep industry experience to bear in negotiations of joint venture, partnership and other deals that increase the value of his clients’ innovations and expand their market opportunities. His ability to close critical financial and patent transactions helps biotechnology and technology companies, university researchers and other inventors to monetize their IP assets. In addition, Steve is the co-founder of Mid Atlantic Bio Angels (MABA), an invitation-only angel investor group focused exclusively on funding new and emerging life sciences companies.

James Sapirstein

CEO, Contravir

Panelist

James Sapirstein brings over thirty years of pharmaceutical industry experience to Contravir. He began his career in 1984 with Eli Lilly, later accepting a position at Hoffmann-LaRoche in 1987, where he served for almost a decade as part of its commercial teams in the US and abroad. He moved to BMS in 1996 the Director of International Marketing in the Infectious Disease group.

James joined Gilead Sciences in order to lead the Global Marketing team in its launch of Viread. In 2002, he accepted the position of EVP for Serono Laboratories before becoming the founding CEO of Tobira Therapeutics in 2006. In 2012, after several years in the infectious diseases space, Mr. Sapirstein became the CEO of Alliqua Therapeutics at Alliqua, Inc., where he helped lead the transformation of transdermal wound care and drug delivery technology into a premier wound care organization.

Mr. Sapirstein holds board positions on RespireRx Pharmaceuticals (RSPI). He is also the Chairman of BioNJ and a Board director for BIO, where he sits on both the Health Section Governing and Emerging Companies Section Governing Boards.

Bill Welch

CEO, Trovagene

Panelist

Bill Welch joined Trovagene as Chief Executive Officer and member of the Board of Directors in 2016.

Prior to Trovagene, Mr. Welch was President and CEO at Sequenom Inc. where he introduced the first non-invasive prenatal test (NIPT) utilizing a maternal blood sample to identify fetal chromosomal abnormalities and helped establish a $3.0B global NIPT market. Prior to Sequenom, Mr. Welch was Senior Vice President, Chief Commercial Officer at Monogram Biosciences, a leader in HIV and oncology diagnostic testing services. Previously, Mr. Welch was Vice President of Sales and Marketing at La Jolla Pharmaceutical, an immunology based Biotechnology Company, developing and commercializing innovative therapies intended to significantly improve outcomes in patients suffering from life-threatening diseases. Mr. Welch also worked at Dade Behring MicroScan as Vice President of Global Marketing. Mr. Welch entered the healthcare industry with Abbott Laboratories where he held progressive management positions in therapeutics and medical devices.

Mr. Welch interests include the consumerization of healthcare, particularly in precision medicine and genomics. He has led numerous commercial and development programs through the FDA regulatory process for drugs and devices, from NDA's to in-vitro diagnostics Class II 510(k) & Class III PMA as well as CLIA and CAP laboratory certifications.

Mr. Welch has an MBA from Harvard University and a BS in Chemical Engineering from University of California at Berkeley.

 

Mitchell Littman

Founding Partner, Littman Krooks LLP

Moderator

Mitchell Littman is a founding partner of Littman Krooks LLP and heads the firm's corporate and securities department. His practice includes public and private offerings, broker- dealer and investment banking matters, secondary market transactions, venture and private equity capital investments and mergers and acquisitions. Mr. Littman's clients consist of public and private companies, broker-dealers, investment banking firms and individual entrepreneurs. In his 34-year career, he has rep- resented issuers, underwriters and placement agents in hundreds of private and public securities offer- ings, including reverse mergers, PIPEs, IPOs, SPACs, private placements and mergers and acquisitions.

Mr. Littman is an Adjunct Professor of Law at Brooklyn Law School, where he teaches Transactional Skills for Start-Ups as well as seminars on corporate finance and transactional matters.

Mr. Littman is a member of the New York County Lawyers Association Committees on Corporate and Securities and Exchange Commission. He is a frequent speaker and panelist at investment banking, accounting and securities law conferences, at conferences concerning capital formation, private placements and securities law matters and is frequently quoted in news media and trade publications.

Mark Elenowitz

CEO and Founder, BANQ, a division of TriPoint Global Equities, LLC

Panelist

Mark H. Elenowitz, CEO and Founder of BANQ, a division of TriPoint Global Equities, LLC, is an electronic investment banking platform that streamlines the matching of investors with quality growth companies and alternative investment opportunities. BANQ provides accredited investors access to exciting companies with exposure to rapidly growing sectors and new technologies. BANQ takes the entire public and private offering process digital and online, providing access to U.S. opportunities and offerings in the U.S. markets. BANQ widely markets its offerings utilizing the new general solicitation and advertising rules promulgated by the U.S. Securities & Exchange Commission, in response to the passage of the JOBS Act of 2012 including Regulation A.

Mr. Elenowitz is responsible for the overall corporate development of TriPoint and BANQ, advising clients on structuring, financings and acquisitions. He has extensive experience in advising clients on governance, compliance, and capital markets navigation including acting as a member of the board of directors. He has worked with numerous public and private companies. Mr. Elenowitz integrates a strong, successful entrepreneurial background with extensive financial services and capital markets experience. He has assisted numerous companies in a "soup-to-nuts" process, preparing them for life as a public company and advising them on an ongoing basis as to further rounds of financing, strategic acquisitions and a broader investor base via a listing on a higher securities exchange or market.

Mr. Elenowitz is also Managing Director of TriPoint Capital Advisors, LLC, a merchant banking and financial consulting affiliate of TriPoint Global Equities. He is the recipient of several entrepreneurial awards and has been profiled in BusinessWeek and CNBC, as well as several other publications. He is a graduate of the University of Maryland School of Business and Management with a B.S. in Finance. He holds Series 24, 62, 63, 79, 82 and 99 licenses.

John Hughes

Director, Assurance Services, Marcum LLP

Panelist

John J. Hughes is a Director in the New York City office of Marcum LLP. As a member of the Firm's Assurance and SEC practice groups, Mr. Hughes has extensive experience working with public and private companies in the areas of accounting, auditing, advisory services, mergers and acquisitions, capital financing transactions and business restructuring. He has developed a reputation for successfully guiding clients through the intricacies of complex accounting and reporting issues, closing mergers, acquisitions and capital financing transactions.

Mr. Hughes primarily works with mid to small-cap companies, many of which are involved with mergers and acquisitions and capital financing transactions. He also advises private companies going public on capital raising strategies, reverse mergers, initial public offerings and the securities registration process. Mr. Hughes has also developed an extensive understanding of capital raising strategies recently permitted under the JOBS Act, including strategies involving Regulation A+ and crowdfunding.

Mr. Hughes extends his expertise internally as a coach and mentor to the Firm's up and coming professionals. He has developed and taught continuing education seminars on various accounting, auditing and business strategy topics. Mr. Hughes is a Certified Public Accountant licensed in the State of New York, and a member of the American Institute of Certified Public Accountants and the New York State Society of Certified Public Accountants.

Jason Paltrowitz

Executive Vice President, Corporate Services, OTC Markets Group

Panelist

Jason Paltrowitz is Executive Vice President and Global Head of Business Development at OTC Markets Group, where he is responsible for all international and domestic corporate services new business and relationship management. Prior to joining OTC Markets in October 2013, Jason was Managing Director and Segment Head at JP Morgan Chase and was responsible for the custody, clearing and collateral management business in the Corporate and Investment Bank division. Jason started his career at BNY Mellon serving in multiple senior management positions, most notably as Head of M&A for the Financial Markets and Treasury Services Sector and 11 years in the Depositary Receipt Division as the Head of the Global Capital Markets Group. Jason also served as a member of the Board of Directors at OTC Markets Group from 2008 – 2011. Jason holds a Bachelor's degree in International Relations from Boston University and received his MBA from the NYU Stern School of Business

Jeff Ramson

Founder and CEO, PCG Advisory Group

Panelist

Jeff Ramson is the Chief Executive Officer of PCG Advisory Group which he founded in 2008. He is well regarded as a business entrepreneur and innovator, with a proven track record of more than 25 years' experience on Wall Street, raising capital and providing strategic guidance for emerging public and private companies in various stages of development. Uniquely, Jeff was a pioneer in the intelligent use of social media to advance investor relations' goals. SEC guidelines on the appropriate use of social media were only recently issued, years after PCG's introduction of strategies and tactics for its clients to successfully utilize social media tools to increase awareness among key stakeholders.

PCG is geared toward helping investors identify value where it is not most obvious by facilitating a dynamic flow of information between its clients and the financial community. PCG is structured as a holding company for a network of resources dedicated to the discovery and creation of value in the small and micro-cap market, an organic synergy between the entrepreneurial spirit that Jeff's career has embodied and the entrepreneurial nature of the many small and micro-cap companies PCG works with.

Jeff began his career as a Certified Public Accountant at Price Waterhouse. He then held positions of increasing responsibility at First Boston, Crédit Lyonnais, Bank of Nova Scotia, Barclays and Moore Capital, before founding a full-service broker/dealer. Jeff holds a BS degree in Accounting from George Washington University, Washington, D.C. He received CPA certification in 1985.

 

Alexander McClean

Partner, Harter Secrest & Emery LLP

Moderator

Alex R. McClean, Securities and Capital Markets practice group leader at Harter Secrest & Emery, focuses his practice on securities, corporate governance, mergers & acquisitions, and general business and corporate matters. He regularly counsels public companies regarding compliance with disclosure requirements and exchange listing standards. He represents issuers and underwriters in capital market transactions, and counsels investment advisors and broker-dealers on regulatory compliance.

Since our first public offering in 1962, the HSE Securities and Capital Markets team have guided clients through complex transactions, facilitated access to the capital markets, and navigated our clients through ever-changing regulation. We partner with our clients to provide actionable advice helping them to grow their business.

David Bocchi

Head of Investment Banking, Aegis Capital Corp.

Panelist

Mr. Bocchi joined Aegis in 2010 and has led Aegis' Investment Banking Group to become one of the most active equity underwriters and placement agents in the small cap and middle-market arena. During Mr. Bocchi's tenure, Aegis has raised in excess of two billion in capital markets transactions as Lead manager, Co-Manager or Syndicate member. Under Mr. Bocchi's leadership, Aegis has completed in excess of one hundred public offerings as a book-runner, including Initial Public Offerings. He has traditionally focused on equity financings, mergers and acquisitions, debt capital markets, and alternative financings. He has expertise in the middle-market, and structuring investment product for growth opportunities. Mr. Bocchi has raised capital and advised for Health Care, Consumer Goods, Real Estate, Autos & Dealerships, Media, Long Term Care, Defense, Retail, and Resource companies. He also enjoys investing in a multitude of growth opportunities including small cap equities, as well as Real Estate opportunities. David graduated magna cum laude with a BBA from Boston University School of Management, with a dual concentration in Finance and Accounting, and a minor in Political Science. He holds the Series 24, 63 and 7 licenses.

Eric Cheng

Managing Director, Head of Healthcare Investment Banking, ROTH Capital Partners

Panelist

Eric Cheng is Managing Director and Head of Healthcare Investment Banking at ROTH Capital Partners. Prior to joining ROTH, Mr. Cheng was Senior Managing Director and Head of Healthcare Investment Banking at Maxim Group. Mr. Cheng has over 20 years of investment banking experience and has completed over 130 equity, debt and M&A transactions, representing over $8.5 billion in aggregate value. He has advised and raised capital for a wide range of biotechnology, specialty pharmaceutical, medical device and diagnostic companies. Prior to joining Maxim, Mr. Cheng was Director of Life Sciences Investment Banking at BMO Capital Markets and also co-founder and Senior Vice President of the healthcare investment banking group of WR Hambrecht & Co. He has also been an investment banker with Deutsche Bank Securities and Lehman Brothers. Mr. Cheng began his career as a public accountant at Deloitte & Touche.

Jason Goldstein

Founder and Managing Partner, Peak One Investments

Panelist

Jason C. Goldstein is the founder and managing partner of Peak One Investments, LLC and oversees all aspects of Peak One Opportunity Fund, LP's portfolio investments. Peak One provides bridge and mezzanine capital to small and micro-cap companies. Prior to forming Peak One Investments, LLC in 2010, Mr. Goldstein served as the Senior Vice President of Corporate Finance at Divine Capital Markets LLC, a broker dealer headquartered in New York City. While at Divine Capital, he structured numerous convertible debt financings, private placements and private investments in public entity transactions (referred to as "PIPES") across a wide range of industries. Mr. Goldstein has more than 20 years experience in financial structuring, secured and unsecured investing, advising issuers on capital structures, raising capital and other investment banking activities.

 

Jeffrey Goldberger

Managing Partner, KCSA

Moderator

Jeffrey Goldberger is a Managing Partner at KCSA who oversees the firm's integrated communications service offering as well as the life sciences and financial transactions practice area.

For 21 years Jeffrey has provided strategic counsel to private and publicly-traded micro/small-cap companies. His experience includes strategic counsel, proactive institutional outreach and transactional (IPO, secondary and M&A) communications support.

He holds a bachelor's degree in communications from the University of Wisconsin-Madison. Jeffrey actively participates in triathlons and was a finisher of Ironman Wisconsin in 2005 and Ironman Switzerland in 2010.

Douglas Armstrong, Ph.D.

Chief Business Officer, Dawson James

Panelist

Douglas Armstrong, Ph.D., has over 25 years of life science industry business and finance experience, with emphasis on early stage and emerging growth life science companies. Dr. Armstrong is a seasoned and diverse life science operational and banking executive, including serving as the CEO and Chairman of Aastrom Biosciences and TyraTech, Inc., leading both through initial public offerings, after a tenure as the Executive Vice President of the Sanford Burnham Institute. He specializes in emerging growth development and implementation of capital strategies having personally led capital raises through a variety of public, PIPE and other structured deals, including strategic partnering transactions with capital investment. Dr. Armstrong has also served at the chairman or board level of multiple public and private life science companies, including the advisory board of a venture capital fund. He is currently a member of the senior management of Dawson James Securities, Inc., and is also a founding partner and president of Auxol Capital, LLC life science investments. Dr. Armstrong holds a Ph.D. degree in Pharmacology from the Medical College of Virginia, and a BA degree in Chemistry from the University of Richmond.

Francis Mainville

CPA/APV, CFA, Senior Vice President, VRC| Valuation Research Group

Panelist

Francis Mainville specializes in the valuation of companies and business units for public and private clients.

With over 20 years of experience, Frank also advises in support of mergers and acquisitions, tax planning and strategic decision-making. He provides valuations for financial reporting and tax purposes, and board and lender requirements. Including intangible asset valuation, purchase price allocation, goodwill and asset impairment, and for equity compensation purposes. He also values complex securities such as warrants, options, preferred and common stock, and convertible debt.

A senior vice president with VRC | Valuation Research, he is a Certified Public Accountant (CPA), Accredited in Business Valuation (ABV) and a CFA® charterholder (CFA).

Joseph Oltmanns

Vice President, Corporate Services, OTC Markets Group

Panelist

Joseph Oltmanns joined OTC Markets Group in 2009. Joe leads the Domestic Corporate Services group focused on business development in the U.S. In this role, he works with public and private companies to better understand their needs and objectives so that they maximize investor engagement. Prior to joining OTC Markets Group, Joe was Director of Listing & Client Services at NYSE Amex where he consulted with various private and public companies seeking to list on a national exchange while conducting due diligence reviews on their management teams, business plans, and corporate structure. Joe holds a BS from Villanova University and an MBA from Fordham University.