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The Syndicates Investment Banking division is highly experienced in handling Domestic, International and Cross Border transactions, including (but not limited to): Initial Public Offerings, High Yield and Investment Grade Debt Offerings, Rule 144A and Regulation S Offerings for Foreign Private Issuers, Registered Direct Offerings, At-the-Market Offerings ("ATM's") Public and Private Equity Line Transactions, Special Purpose Acquistion Companies ("SPAC's"), Real Estate Investment Trusts ("REIT's"), Private Investment in Public Entities ("PIPE's"). 

Our clients include (but is not limited to) U.S. and Non-U.S. Public and Private issuers, as well as Underwriters, Financial Institutions, Venture Capital Funds, Hedge Funds, Broker Dealers, Investment Companies, and Private Investment Firms in all aspects of U.S., International and Cross Border securities offerings. 

Equity Capital Markets:

Private and Public Companies looking to secure investment capital, engage the Syndicate team to advise them on the best equity structures to meet their business objectives. Syndicate team members have worked on industry leading U.S., International and Cross Border Equity Capital Markets transactions, and have experience covering a wide variety of equity offerings, including (but not limited to): ADR/GDR Registrations and Offerings, Confidentiality Marketed Public Offerings (CMPOs), Employee Stock Option Plans, Follow-on Offerings, Foreign Listings, Initial Public Offerings (IPO's), PIPE Transactions, Real Estate Investment Trusts (REITs), Regulation A+ Offerings, Regulation S Offerings, EB5 Offerings, Regulation D Offerings, Rule 144A Offerings, Shelf Registration Statements, Special Purpose Acquisition Companies (SPACs), Transfer of Foreign Listings to the United States, UK Cash Shells, and more...

Debt Capital Markets:

Domestic and International Issuers and Underwriters trust the Syndicate team to handle their most sophisticated Domestic, International and Cross Border investment transactions. The Syndicate team provides counsel to Public and Private Companies, Sovereign Entities, and Financial Institutions on the full scope of possible Debt Capital Structures and options that suit their needs. The Syndicate team's capabilities include (but are not limited to): Capital Trust Securities, Cash Tender Offers, Commercial Paper, Exchange Offers and Consent Solicitations, High Yield Offerings, Investment Grade Offerings, Municipal Securities, Private Placements, Project Bonds, Rule 144A and Regulation S Offerings, Securitizations, Shelf Registration Statements, Sovereign and Quasi-Sovereign Offerings, Structured Notes and Subordinated Debt Offerings. 

Municipal Securities:

The Syndicate team has experience in municipal securities, and are able to provide counsel to Financial Institutions and local, state, and national governments on leading government financing matters, including (but not limited to): Taxable Bonds, Tax-Exempt Bonds, and Private Activity Bonds. 

Public Company Advisory:

The Syndicate team offers several corporate finance and securities services to nanocap and microcap public companies, including financial statement reporting (10-K, 10-Q, 8-K, Form 10, etc.), secondary offerings, private investments in public entities (PIPE's) documentations, and merger / spin-off strategies. 

The Syndicate team assists micro and small cap private and public companies, including smaller reporting companies and emerging growth companies navigate the regulatory landscape and effectively deal with the SEC, FINRA, DTC, OTC Markets, NASDAQ, and the NYSE. 

The Syndicate team is experienced in Traditional Reverse Mergers, Roll-ups, Direct Public Offerings (IPOs), Private Placements, Blue Sky Compliance, OTC Markets, OTCQB, OTCQX, Alternative Reporting Issuers, Forms 10, S-1, S-3, S-4, S-8, S-11, Reg A+, SEC filings such as 10-K, 10-Q, 8-K, 14-C, 14-A, Forms 3, 4, and 5, Schedule 13D and 13G, Equity Lines, Convertible Notes, PIPE Transactions, 3(a)(10), 3(a)(9), Rule 144 Opinions, 15c-211 Applications, Board of Director and Audit, Compensation and Nominating issues. 

Markets we work with:

  • Private Placement Markets

  • New York Stock Exchange


  • OTC Markets (OTCQX & OTCQB)

  • Toronto Stock Exchange

  • Bermuda Stock Exchange (mainly the Mezzanine Market)

  • Cyprus Stock Exchange

  • Cayman Islands Stock Exchange

  • Euronext

  • NASDAQ OMX First North

  • London Stock Exchange (Main Market & the AIM Market)

  • Deutsche Borse Markets

  • Shanghai Stock Exchange

  • Shenzhen Stock Exchange

  • Hong Kong Stock Exchange

  • SIX Swiss Exchange

  • Irish Stock Exchange (Primarily Debt Instruments)

  • B3 Stock Exchange

  • Japan Stock Exchange Group / Tokyo Stock Exchange

  • Australian Securities Exchange

  • Johannesburg Stock Exchange

  • BME Spanish Exchange

  • Singapore Stock Exchange 

  • Taiwan Stock Exchange

  • KRX - Korea Exchange 

  • Bombay Stock Exchange

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