Thought Leading Speakers
Matthew Bernstein
Partner
Ellenoff Grossman & Schole LLP
Matthew Bernstein
Partner, Ellenoff Grossman & Schole LLP
Matthew Bernstein, a member of Ellenoff Grossman & Schole LLP, practices in all aspects of corporate and securities law. Mr. Bernstein’s experience includes representation of investment banks, registered broker-dealers and public and private companies in connection with both public and private offerings of equity and debt securities. Mr. Bernstein also represents several publicly-listed companies in their regulatory and securities compliance (including stock exchange-related compliance) and general corporate and commercial matters and has routine interactions with applicable regulatory authorities, including the SEC and FINRA. Mr. Bernstein earned a Bachelor of Science in Industrial and Labor Relations, with a concentration in Economics, at Cornell University and earned his Juris Doctorate at Fordham University School of Law.
Louis Bevilacqua
Managing Member
Bevilacqua PLLC
Louis Bevilacqua
Managing Member, Bevilacqua PLLCMr. Bevilacqua is the founding member of Bevilacqua PLLC, a boutique transactional corporate and securities law firm. Mr. Bevilacqua counsels companies of every size ranging from entrepreneurs with just an idea to established companies whose securities trade on the NYSE or NASDAQ. He has broad experience representing issuers in public offerings and private placements of securities (including private placements under Rule 506(c) of the Securities Act, crowdfunding offerings under Title III of the JOBS Act and Regulation CF and Regulation A+ offerings), Exchange Act compliance, angel and venture capital financings, other areas of equity and debt financing and mergers and acquisitions. Mr. Bevilacqua is also the Co-Founder, President and General Counsel of Digital Offering LLC and a registered representative of Cambria Capital LLC, both of which are SEC registered broker-dealers and FINRA members. Mr. Bevilacqua is a Senior Advisor to Visionary Private Equity Group and a member of the board of directors of Mid-Atlantic Angels.
Mohit Bhansali
Co-Founder
EquiDeFi
Mohit Bhansali
Co-Founder, EquiDeFi
Mohit Bhansali has over 25 years of experience in the securities compliance, corporate finance and technology industry. After working at Tradescape Corp. (acquired by ETRADE Securities in 2002), he pursued a career in securities compliance, which culminated in taking on the role of a securities regulation specialist at Haynes and Boone LLP in New York to support the corporate securities practice group.
While at Haynes and Boone, Mohit provided support and consulted on numerous initial public offerings (IPOs) and alternative public offerings (APOs). He developed a system for tracking complex capitalization stacks for private and public companies which helped facilitate share exchanges in the IPO and AP process.
In 2011, Mohit co-founded Equity Stock Transfer, LLC in New York City with less than five clients and grown the company to nearly 500 private and public company issuers while maintaining nearly the same staff size. He is a firm believer in creating operating efficiencies wherever possible while maintaining the highest standards of compliance.
It is with that credo that during the 2020 pandemic, Mohit conceived of EquiDeFi – a workflow tool for all securities professionals and investors to manage any type of offering exempt from registration with the Securities and Exchange Commission (SEC). By marrying modern software solutions to the arcane securities transaction processes, EquiDeFi was able to create transactional efficiencies and a compliance standard that has never existed before – a boon to issuers and their shareholders alike.
Mohit attended New York University and has also served as a NASDAQ registered representative and has held Series 7, 63 and 55 licenses. He holds a Java programming certification and a Blockchain Law, Regulation and Policy certificate from the University of Nicosia.
Jason Bond
Managing Partner
Boole Microcap Fund
Jason Bond
Managing Partner, Boole Microcap Fund- Launched the Boole Microcap Fund in June 2020.
- Founded the Boole Fund in January 2014.
- Taught Managerial Economics and Investments as an adjunct professor at Seattle University, 2013-2015 (4 courses).
- Earned a master’s degree in Economics from the University of Pennsylvania, and graduated magna cum laude from Gonzaga University with an Honors B.A. in Philosophy.
Fun fact, I got to play professional basketball in Belgium for two years!
Peter Bookman
Founder and CEO
Guard Dog Solutions
Peter Bookman
Founder and CEO, Guard Dog SolutionsAs the Founder and CEO of Guard Dog Solutions, Peter Bookman is a visionary and a pioneer in the fields of security, mobility, and cloud computing. He has over 20 years of experience leading innovative technology companies and creating cutting-edge solutions that challenge the status quo and deliver value to customers and partners.
Peter Bookman has personally contributed and led teams to develop over 30 unique inventions in the form of patents and products, as well as helped commercialize many more. He has held various roles, such as Chief Scientist, Chief Marketing Officer, Chief Technology Officer, and Global Strategist, where he has demonstrated his technical expertise, strategic thinking, and marketing savvy. He has also been recognized with multiple awards and honors, including the Eagle Scout and the Demo God Award. Peter Bookman is driven by his passion for solving complex problems, creating positive impact, and leading the way in distributed cloud-based desktops, applications, and storage.
Jenn Calabrese
Founder and CEO
Calabrese Consulting LLC
Jenn Calabrese
Founder and CEO, Calabrese Consulting LLC
Jenn Calabrese began her career at KPMG, LLP specializing in the Information, Communications and Entertainment industry, and amassing knowledge and experience that would guide her life's work.
Jenn also spent several years working for publicly traded companies, serving as Corporate Controller, Director of Accounting and SEC Reporting, Executive Vice President of Finance and Chief Financial Officer.
She specializes in SEC financial reporting, compliance, and consulting services to facilitate the reporting between auditors and public companies on behalf of clients. Jenn founded Calabrese Consulting, LLC ("CCL") in 2012, a minority/woman-owned, full-service accounting and advisory firm which currently employs over 50 employees, serving more than 350 clients around the world. She applies a hands-on approach that stems from her tenure on both the client and audit sides, and exemplifies her dedication to her craft.
Sean Callagy
Founder
Unblinded Mastery
Sean Callagy
Founder, Unblinded MasterySean Callagy is the Chief Visionary Officer and Co-Founder of Unblinded. He is Founder and President of his 100+ person law firm, Callagy Law, and he built and sold his first 40-person law firm in a little over a year in his twenties when he was only two years out of law school. Sean is one of only two attorneys out of 1,220,000 attorneys in America to achieve 2 Top 100 National Jury Verdicts between 2014 and 2016, and the only one who was blind. He has also collected more than half a billion dollars on behalf of his healthcare clients.
As an international speaker, Sean has broken sales records on Tony Robbins stage, and speaks for Fortune 10-500 companies like T-Mobile, Disney, Bristol Myers Squibb, Salesforce, as well as for National News Networks and Legal Associations and raised over 10 million dollars for charity on stage in 2022.
Sean is also the founder of his own charitable foundation, the Callagy Christian Foundation, which he funded up front with a personal donation of over 7 figures. While creating his professional successes, he coached and attended virtually all of his three children’s more than 1,000 sporting events and activities over the past 15 years and he is a blind warrior and adventurer, skiing, surfing and scuba diving in the most extreme of conditions. His mission is to serve professionals and entrepreneurs to see what they do not see about integrously expanding their financial abundance, time freedom and magic.
Andrea Cataneo
Partner
Mitchell Silberberg & Knupp
Andrea Cataneo
Partner, Mitchell Silberberg & KnuppAndrea Cataneo is a partner in MSK's Corporate & Business Transactions Practice Group in the firm's New York office, and a member of the Capital Markets & Securities and Crypto Assets & Blockchain Technology teams as well.
Andrea’s practice focuses on preparing companies for capital raises, structuring secured and unsecured equity and debt financing transactions for early and late stage companies, and taking private companies public via self-registration statements and IPOs. Additionally, through her extensive relationships in the investment banking community, Andrea offers her clients introductions to targeted sources of capital.
She represents publicly-held companies with respect to 1934 Act reporting obligations to the Securities and Exchange Commission, and performs a variety of corporate transactions for her clients, including mergers and acquisitions, joint ventures, proxy contests, restructurings and corporate governance, NASDAQ and NYSE-American listing applications and all related compliance matters. Her practice covers domestic and international transactions, and she has been active in Italy, Mexico, Argentina, Canada, China, Israel and Kenya. Andrea has also been a leading voice in the Cannabis space, helping private and public clients navigate the developing legal landscape.
Andrea serves on the Boards of Together1Heart Foundation and the National Investment Banking Association.
Brian Chingono
Partner and Director of Quantitative Research
Verdad
Brian Chingono
Partner and Director of Quantitative Research, VerdadBefore joining Verdad, Brian worked at Dimensional Fund Advisors and Credit Suisse. Brian earned an AB from Harvard College and an MBA with honors from the University of Chicago Booth School of Business. As a graduate student, Brian co-authored two research papers related to Verdad’s investment strategy: Leveraged Small Value Equities and Forecasting Debt Paydown Among Leveraged Equities.
Joanne Chiu
COO/Chairperson
Kreit & Chiu CPA LLP
Joanne Chiu
COO/Chairperson, Kreit & Chiu CPA LLPJoanne has over twenty years of experience in public accounting. Most recently, she served as Managing Director of the Asia Practice at a National Firm. Prior to that, she served as a Director and Founding Member of the China Desk at a large national firm. She specializes in EB5, e-commerce, estate & trusts, high-net-worth individuals, import & export, coordination of public offerings, and mergers & acquisitions.
The clients she serves operate in the family office, private equity, VC, not-for-profit, life science, cannabis, professional services, entertainment, technology, manufacturing, and real estate.
Joanne is a frequent presenter of international tax and real estate-related topics at events hosted by the Asian Real Estate Association of America (AREAA), China Real Estate Association, and NYC Real Estate Expo. Joanne also serves on the advisory board of AREAA Manhattan.
Chaz Churchwell
Agency Owner
Churchwell Insurance Agency
Chaz Churchwell
Agency Owner, Churchwell Insurance Agency
Chaz, the Principal of Churchwell Insurance Agency and RestaurantBarInsurance.net, has offices in both Charlotte, NC, and Wilmington, NC. Originally from Dallas, TX, he earned a BA from the University of North Texas before pursuing his MA in Apologetics (with honors) at BIOLA University in Los Angeles, CA. A U.S. Army veteran, Chaz embarked on his journey to establish this boutique insurance agency in 2014, built on the foundations of honor, integrity, and discipline, with a mission to safeguard what his clients work hard to build.
Currently working hard for over 1,200 clients, Churchwell Insurance Agency has proven to be a comprehensive solution, tailored to address each client's unique needs effectively. With nearly two decades of experience in the insurance industry, Chaz is currently on track to attain the highest industry certification, specializing in executive liability insurance lines - the ExecPLP designation. When it comes to protecting what your team is building, whether your entity is currently trading on NASDAQ or NYSE, preparing for an IPO, SPAC, deSPAC, DPO, uplist, or cross-list, you can rely on Chaz and his Executive Liability Team. They possess the markets, knowledge, and determination needed to provide you with the utmost protection and honor.
Outside of his professional pursuits, Chaz cherishes life's journey alongside his incredible wife and daughter. He remains dedicated to maintaining a healthy lifestyle, pushing himself in the gym and at Crossfit, as well as enjoying his new boat. An avid reader, he finds solace in engaging with captivating non-fiction books and dedicates time to serve in his church. Sports are a passion for Chaz, and he takes great joy in attending his daughter's basketball games. Despite the disappointments, he continues to lie to himself saying, "this will be the year the Cowboys make it back to the Super Bowl”.
Joe Darragh
Digital Consultant and Data Scientist
Pillar Digital Marketing Agency
Joe Darragh
Digital Consultant and Data Scientist, Pillar Digital Marketing AgencyJoe Darragh is a Certified Fraud Examiner, data scientist and Microcap Fraud Subject Matter Expert. From 2013-2022 Joe served as the principal investigator for the SEC's Microcap Fraud Task Force.
During his tenure at the SEC, Joe helped to reinvent methods for detecting and analyzing pump and dump schemes, while partnering closely with the FBI, DOJ, IRS, and foreign regulators to combat Microcap fraud around the globe.
Joe has worked on 100s of trading suspensions and dozens of investigations totaling over $700 million in fraud. Most notably those resulting in litigation against:
● IPC Corporate Services,
● Legacy Global Markets,
● Beaufort Securities &
● Blacklight S.A.
Joe also served as a Microcap specialist for the development of the Consolidated Audit Trail, the Microcap Fraud Early Alert Tool, Amendments to Rule 15c-211 and DARPA's Memex project among others.
In 2022, Joe left the SEC to fight a different type of fraud - scams against homeowners. As the co-founder of Pillar Digital Marketing, Joe is working to reduce fraud in the home services industry by helping the most qualified local businesses stand out over their unqualified competitors.
Joe also continues to work in the Microcap space as an independent investigator, and is working to simplify investor education while harnessing the potential of AI in the fight against fraud.
Chris DeFalco
Managing Director
Oppenheimer & Co.
Chris DeFalco
Managing Director, Oppenheimer & Co.Chris DeFalco is a Managing Director in Equity Capital Markets, specializing in capital markets advisory for Technology and Consumer growth companies. He also serves as the Head of the SPAC ECM practice at Oppenheimer & Co., where he has been since 2015. Chris has executed over 240 bookrun/lead-managed equity and equity-linked offerings, raising over $4.3 billion in gross proceeds. He has extensive experience with Follow-Ons, Registered Directs, PIPEs, IPOs, SPACs (front-and back-end), and Convertible Offerings.
Prior to joining Oppenheimer & Co., Chris was an industry investment banker focused on small-cap Healthcare companies for Roth Capital Partners. Chris graduated from Rutgers University with a BS in Finance.
Outside of work, Chris is an avid fitness enthusiast and enjoys being outdoors. You can find him most weekends at his favorite group workout class, Barry's Bootcamp. He also enjoys playing board games and puzzles, such as Settlers of Catan which is his preferred game of choice. Chris is a Co-Creator of the table-top game Pop Under Pressure™ and the viral plush toy, Emotional Support Fries™. These interests outside of work highlight Chris's creativity and passion for bringing people together through fun and unique experiences.
Mark Elenowitz
Managing Director
Digital Offering
Mark Elenowitz
Managing Director, Digital OfferingMark Elenowitz is a Wall Street veteran with over 30 years’ experience. He co-founded a boutique investment bank and its online capital formation platform BANQ® (www.banq.co), both which have been instrumental in laying down the framework for Regulation A+ offerings. The methodology Mark structed is what led the first successful Reg A + IPO to list on a National Securities Exchange-the NYSE- with other Reg A+ offerings following the blazing trail. He is a noted speaker at Small Cap and Reg A events, including the SEC Small Business Forum, and has been profiled in BusinessWeek, CNBC, and several other publications. Mark also is a member of the Depository Trust & Clearing Corporation (DTCC) Private Markets Executive Advisory Board tasked with developing DTCC’s new Digital Securities Management (DSM) platform. In addition, Mark is a member of the board of directors of the Long Island Capital Alliance and the National Investment Banking Association. 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
Douglas S. Ellenoff
Partner
Ellenoff Grossman & Schole
Douglas S. Ellenoff
Partner, Ellenoff Grossman & ScholeDouglas S. Ellenoff, a member of Ellenoff Grossman & Schole LLP since its founding in 1992, is a corporate and securities attorney with a specialty in alternative financings, including, SPACs, M&A, PIPEs, RDs and Crowdfunding. In the last 10 years, he has been involved at various stages in numerous registered public offerings, including more than 100 financings and, hundreds of private placements into public companies. Since 2002, Mr. Ellenoff has been involved with over 250 SPAC IPOs and 60 business combinations.
Seth Farbman
Chairman and President
Vstock Transfer
Seth Farbman
Chairman and President, Vstock TransferSeth Farbman has built a career in servicing private and public (domestic and foreign) companies. Mr. Farbman was the Co-Founder and President of Vintage Filings which he sold to PR Newswire (UBM) in 2007. In this role, Mr. Farbman serviced over 3,000 publicly traded companies to provide SEC EDGAR and financial print services related to IPOs, Proxy Statements, Annual Reports, Shareholder Meetings, etc. Mr. Farbman was a founding partner and a Co-Chairman of Vcorp Services which he sold in October 2016 to Wolters Kluwer. Mr. Farbman was also the Co-Founder and Chairman of Vcheck Global (vcheckglobal.com), a background and due diligence services company which he sold in 2021 to Sunstone Partners, a private equity firm. Mr. Farbman currently serves as the Chairman and President of Vstock Transfer, with a focus on pre IPO, Nasdaq and NYSE MKT listed issuers. He is also the founder of eSignatureGuarantee.com, an online resource for medallion signature guarantees. Prior to starting Vintage Filings, Mr. Farbman served as a securities attorney at a NY Law Firm with a concentration on securities regulation and capital markets. Mr. Farbman enjoys speaking with people about all things related to startups, marketing and Linkedin. He recently launched a Linkedin marketing for private and public companies, Share Media. Feel free to connect or follow at https://www.linkedin.com/in/sethfarbman/
Jacob Frenkel
Attorney/Partner
Dickinson Wright
Jacob Frenkel
Attorney/Partner, Dickinson WrightClients hire Jacob because his aggressive, tenacious, creative and proactive strategies often put the other side on its heels, and because he gets successful results in investigations and litigation. Jacob has secured superior results for his securities enforcement, white-collar criminal defense, FCPA and internal and government investigations clients. Jacob brings his experience and outstanding reputation, including for creative strategies and solutions, to the defense of investigations, litigation strategy and governance counseling. Jacob's clients view him as a trusted advisor who understands the needs of their business.
Marc Gabelli
Vice Chairman and President
Gabelli Group
Marc Gabelli
Vice Chairman and President, Gabelli GroupMr. Gabelli with over three decades worth of experience in Micro Caps as an Investor, Builder, and Owner Operator.
A fund micro-cap manager since 1990, Mr. Gabelli's focus is global value investments with portfolio assignments including alternative and traditional asset classes. Starting in the 1990's, Mr. Gabelli managed several Morningstar five-star mutual funds in the United States and Canada including managing the Lipper #1 ranked U.S. global equity mutual fund.
As an owner operator, Mr. Gabelli is Vice Chairman and President of the Gabelli Group (GGCP, Inc.), the parent company of the Gabelli organization. Among GGCP's controlled listed Micro-cap Companies include four listed Investment Managers Teton Advisors, Inc (OTCQX:TETAA) , GAMCO Investors, Inc. GAMI (OTCMKTS), Associated Capital Group, Inc. (AC:NYSE) and the Gabelli Merger Plus Trust PLC (GMP: LSE) ; two listed manufacturing Companies LGL Group (LGL: NYSE MKT) and Mtron Industries (MPTI); A telecom services businesses of LICT Corporation (OTC:LICT); and in capital formation, he has led several SPAC initiatives in the US and Europe.
As a builder, Mr. Gabelli is active with many aspects of corporate restructurings and capital formation for mico-caps in the listed markets in the US and Europe, including initial public offerings, reg A offerings, private placements, spin-offs, rights issues and warrant dividends, mergers and acquisitions, and sales, among other aspects of planning and analysis. He built the Gabelli hedge fund platform, Gabelli & Partners, LLC, and expanded the business internationally, opening the GAMCO's London and Tokyo offices. In venture capital, Mr. Gabelli has been active in both early stage and growth investments as a fiduciary and as a General Partner, including with OpNet Partners in 2001, a Gabelli venture capital fund focused on optical networking technologies. Today, he manages primarily alternative investments.
Mr. Gabelli began his career with Lehman Brothers International in equity research covering international telecommunications and metals mining and metallurgy companies, and later in equity arbitrage including cross asset special situations. He is a graduate of Boston College, Massachusetts Institute of Technology and Harvard University with research conducted through the Davis Center focusing on Russian agricultural trade policy. He is a graduate of the Fordham Preparatory School in the Bronx, New York. He is active in a variety of charitable efforts in the United States, Latin America, Europe and the United Kingdom.
Peter Goldstein
CEO
Exchange Listing LLC
Peter Goldstein
CEO, Exchange Listing LLCPeter Goldstein is a seasoned entrepreneur and capital market expert with over 30 years of experience. His diverse background in international business has equipped him with valuable insights across various markets and industries.
Throughout his career, Peter has held key roles such as investment banker, chairman, CEO, and advisor to public, private, and emerging growth companies. He has achieved remarkable success in capital markets, leveraging his expertise in M&A, strategic planning, and transaction structuring. Peter has led and completed numerous IPOs, uplisting and reverse merger transactions, private placements, and crowdfunding campaigns.
Peter began his entrepreneurial journey as the Founder and CEO of a specialty food distributor, pioneering the farm-to-table organic produce industry in renowned New York City restaurants.
He also co-founded and chaired the board of Staffing 360 Solutions, Inc. (NASDAQ: STAF), a publicly traded company in the international staffing sector focused on acquiring domestic and international staffing agencies.
Now, as the founder of Exchange Listing, LLC, Peter passionately provides growth companies with comprehensive strategic planning and implementation services to facilitate listings on esteemed exchanges like NASDAQ, NYSE, and NEO.
He is also the Founder and Managing Director of Emmis Capital, a specialized fund, and serves as the CEO of Grandview Capital Partners, Inc., where he offers M&A, financial, operational, and organizational consulting services to businesses across the globe.
Holding an Advanced Corporate Directors certificate from Harvard Business School and an MBA in International Business from the University of Miami, Peter Goldstein is a highly accomplished professional. He has also held several FINRA registrations, including Series 7, 24, 79, 99, and 66.
Manuj Grover
VP, Business Development & Partnerships
Public Yield Capital
Manuj Grover
VP, Business Development & Partnerships, Public Yield Capital
Manuj Grover, a seasoned expert with over 20 years of experience in market penetration and strategic partnership development, has a proven track record of driving growth and inspiring teams to achieve exceptional results. As the VP of Business Development & Partnerships at Public Yield Capital, Manuj brings his extensive knowledge and operational expertise to optimize sales processes and ensure the success of client campaigns.
Jeffrey Hirsch
Editor-in-Chief
Stock Trader's Almanac
Jeffrey Hirsch
Editor-in-Chief, Stock Trader's AlmanacJeffrey A. Hirsch is CEO of Hirsch Holdings, editor-in-chief of the Stock Trader's Almanac and publisher of Almanac Investor at www.stocktradersalmanac.com. Jeff is the author of The Little Book of Stock Market Cycles (Wiley, 2012) and Super Boom: Why the Dow Will Hit 38,820 and How You Can Profit from It (Wiley, 2011). He worked with founder Yale Hirsch for over twenty years, taking over for him in 2001. A 30+-year Wall Street veteran, he appears on CNBC, Bloomberg, Fox Business, and many other financial media outlets. Now in its 57th year, the Stock Trader’s Almanac has been published every year since 1968.
Jack Hogoboom
Partner
Lowenstein Sandler
Jack Hogoboom
Partner, Lowenstein SandlerSpecializing in corporate finance and mergers and acquisitions, Jack has represented buyers, sellers, issuers, underwriters and investors in hundreds of transactions over his more than 35 years of practice. He has represented public and private clients in all types of transactions including IPOs, public and private domestic and cross-border offerings and public and private acquisitions in a wide range of industries including business services, consumer products, technology, life sciences, chemical, renewables, media and natural resources.
Jack has been listed in both the securities law and corporate law categories in The Best Lawyers in America since 2007, and Martindale-Hubbell has rated him a Top Technology Lawyer and awarded him the Peer Rating for Highest Level of Professional Excellence. Often quoted in legal publications, he frequently publishes articles and speaks on corporate finance issues.
Derek Kearns
Partner | SEC & SPAC Practice Leader
Centri Business Consulting, LLC
Derek Kearns
Partner | SEC & SPAC Practice Leader, Centri Business Consulting, LLCDerek is a Partner at Centri Business Consulting and the leader of the firm’s SPAC Practice. He has more than 23 years of accounting experience in both public and private industries. He joined Centri in September 2020 and has focused on Securities and Exchange Commission (“SEC”) filings, including IPO registration statements, accounting for complex debt and equity transactions, business combination accounting, and international consolidations. Additionally, he has significant experience with international public filers in the technology, media, and telecommunications sectors, the mining industry, and merchant services, as well as experience in the cannabis industry, manufacturing, and employee benefit plans.
Prior to his time with Centri, Derek oversaw the reporting and technical accounting functions at Mile High Labs, an international cannabinoid and CBD product manufacturer. While at Mile High Labs, he guided the company through its initial financial statement audits and adoption of ASC 606 while documenting the accounting for multiple debt and equity transactions, and business combinations, including downstream mergers and stock compensation plans.
Derek has held management positions at multiple Fortune 250 companies and a public gold exploration company overseeing SEC reporting and technical accounting functions. Derek began his career with Deloitte, spending 6 years in the audit and assurance practice.
Derek has held management positions at multiple Fortune 250 companies, as well as a public gold exploration company, overseeing SEC reporting and technical accounting functions. Derek began his career with Deloitte, where he spent six years in the audit and assurance practice.
He received his B.S. in Accounting and Finance from The Kelley School of Business at Indiana University in Bloomington, IN. He is a Certified Public Accountant in the state of Colorado.
Edward Keck, Jr.
Partner
Withum
Edward Keck, Jr.
Partner, Withum
Ed is a Partner leading Withum’s Cyber and Information Security practice. He has over 30 years of cybersecurity experience across the healthcare and manufacturing industries, with 20 years specifically focused on cyber and information security for financial services. Ed’s knowledge spans maintaining domestic and international cybersecurity program development and operations. As a Certified Information System Security Professional (CISSP), Ed helps clients strengthen business operations involving Cybersecurity, Data Privacy and Regulatory Compliance, Physical Security, 3rd Party Risk Management, Operational Risk, and Enterprise Risk Management.
Prior to joining Withum, Ed was a Managing Director in the Integrated Cyber Practice at a Big 4 Accounting Firm. He also led a cybersecurity and operational risk practice at a management consulting firm. A forerunner in his industry, Ed was a founding member of the IBM Information Governance Council.
Harvey Kesner
Corporate and Securities Lawyer
Law Office of Harvey Kesner
Harvey Kesner
Corporate and Securities Lawyer, Law Office of Harvey KesnerHarvey Kesner is a highly experienced corporate finance lawyer specializing in complex domestic and international transactions. He has worked with various parties, including issuers, investors, underwriters, lenders, and financial institutions, in both public and private securities offerings. His expertise covers capital markets, securities laws, SEC filings, exchange listings, compliance, and corporate governance. Mr. Kesner also advises on mergers and acquisitions, leveraged buyouts, restructurings, and business disputes, including SEC inquiries. He has represented clients in hostile takeover bids, anti-takeover measures, and shareholder activism. He has extensive experience in emerging industries such as blockchain, bitcoin, cannabis, and social media, with a global presence in countries like China, India, Israel, and France. Mr. Kesner has been recognized as a leading lawyer, frequently speaks on securities and capital markets, and has authored articles on legal topics. He holds a law degree, an MBA in finance, and a BS in Management Science. He operates a private law practice in New York while residing in Ft. Lauderdale, Florida.
Allen Klee
Managing Director, Senior Equity Research Analyst
Maxim Group
Allen Klee
Managing Director, Senior Equity Research Analyst, Maxim Group
Allen Klee is a Managing Director and Senior Equity Research Analyst at Maxim Group, LLC covering tech, telecom, media, and healthcare technology. Prior to joining Maxim, Mr. Klee was a Managing Director, Equity Analyst covering TMT at National Securities Corporation. Prior sell-side experience included working at Maxim Group as an SVP of Equity Research and Sidoti & Company, LLC as a Senior Equity Analyst also covering TMT. Other experience includes buy-side roles as a Prop Trader at Xanthus Capital, Equity Analyst at both Casey Capital and Sigma Capital, and as a Portfolio Manager for small and midcap mutual funds at both First Investors Corporation and Guardian Life Insurance. Prior to that, Mr. Klee was a Senior Credit Analyst at both Guardian Life Insurance and at Moody’s Investor Service. Mr. Klee earned his MBA in Finance from the NYU Stern School of Business and has a B.S. from Rutgers University with a double major in BioMathematics and Economics. He also holds the CFA designation.
Joe La Rosa
Founder
La Rosa Realty
Joe La Rosa
Founder, La Rosa RealtyJoe La Rosa is the founder of La Rosa Realty. He is also a transformative speaker, best-selling author, and philanthropist. He lives in Celebration, Florida with his wife, Deana, their five children and four dogs.
With over 2,400 agents and 40 office locations across the nation, La Rosa Realty is one of the largest residential real estate firms in the United States. The company has been recognized by the National Association of Realtors as a Top 75 Residential Real Estate Firm in the Nation for 2017, 2018, 2019 and 2020.
Thousands of business owners throughout the Nation have sought out Joe’s transformative speaking style through his workshop Do It Now! Joe guides fellow entrepreneurs to change their mindset to transform their business and positively impact and reshape their lives. Joe has impacted countless others through his best selling book, Do It Now!, which takes readers on a journey to unlock their passion and grow their business.
Joe lives by the mantra “Live to Give.” Joe and Deana founded the La Rosa Foundation which focuses on giving both at a national and international level.
Michael Lee
Founder
Michael Lee Strategy
Michael Lee
Founder, Michael Lee StrategyMichael Lee Strategy offers Wealth Planning and Investment Management as an IAR through Compass Financial. Our focus is to offer comfort and clarity to pre-retirees and retirees by delivering a personalized, holistic strategy through the marriage of comprehensive financial planning and investment management.
A former Vice President in the Institutional Middle Markets group at Morgan Stanley, Michael is a sought after voice in the industry, appearing regularly on Fox Business, Fox News, Yahoo Finance, Newsmax TV, and other financial media.
Neil Levine
Office Managing Partner
Marcum
Neil Levine
Office Managing Partner, Marcum
Neil Levine is a Marcum assurance partner with more than 30 years of public accounting experience. Neil directs audit engagements for small-, mid-sized and large cap companies, including SEC registrants, privately held companies, not-for-profits, nursing homes, and healthcare organizations. He has served both developmental and emerging companies as well as old-line businesses.
Prior to joining Marcum, Neil was co-managing partner of the southern New Jersey offices of Friedman LLP, where he served on the Management Committee and was co-leader of the firm’s SEC practice. Previously, he managed his firm’s Public Companies/SEC Practice, organizing its quality control procedures and ensuring that the firm complied with PCAOB regulations.
Marc LoPresti
Co-Founder and Managing Director
IDI/Moneta Advisory Partners
Marc LoPresti
Co-Founder and Managing Director, IDI/Moneta Advisory PartnersMarc is a Wall Street veteran with over 25+ years’ experience in alternative investments, having started his career on the floor of the NYSE working for Lehman Brothers. Marc is currently: Co-Founder & Managing Director, IDI Group (a global multi-family office focused on early-stage venture investments), Co-Founder & Managing Director, Moneta Advisory Partners (a “Venture Evangelism” platform), Co-Founder & Board Member, BattleFin Group (a leading alternative data company), and Co-Founder, Revolution Media Group (producer of the popular “Bulls, Bears & Blockchain” podcast). Marc was also the founder of LoPresti Law Group, LLC, a leading securities law firm in New York focused on alternative investments.
A recognized market strategist and authority on alternative investments, Marc is a co-founder of Moneta Advisory Partners, LLC, a “venture evangelism” platform that raises awareness of a portfolio of growing public companies.
Marc appears regularly on CNBC, CoindeskTV, TD Ameritrade Network, Sirius XM Radio, Bloomberg, and Fox. He has been quoted in numerous publications including Forbes, Reuters, the Wall Street Journal, Investor’s Business Daily, and Barron’s, and is a co-host and co-founder and co-host of proprietary programming including the popular “Rebels’ Edge” streaming show and the “Bulls, Bears & Blockchain” radio show. He is also a frequently featured speaker on investment panels at conferences around the world. Marc graduated from New York Law School in 1997.
Gene Massey
Founder
MediaShares
Gene Massey
Founder, MediaShares
Gene is a regular speaker at Wall Street conferences and is known as an Internet marketing specialist. MediaShares’ methodology helps companies with online fans, customers, and affinity groups raise capital by selling their private and public shares directly to their online communities. Using its system and software in Regulation D and Regulation A+ securities offerings, both the stock issuer and its FINRA broker collect valuable data from their massive online community of shareholders.
For many years Gene directed TV commercials, receiving awards from Clio, The New York Festival, L.A. Art Directors, Worldfest, multiple Telly Awards and The Homburg. He worked personally for seven years with Ely Callaway, Chairman of Callaway Golf, creating over four hundred commercials that introduced and promoted the “Big Bertha” line of golf clubs. During the years that Gene worked with Callaway, their total sales increased from $21 million to $843 million.
Maury McCoy
President
McCoy Associates
Maury McCoy
President, McCoy AssociatesMaury McCoy is the president of McCoy Associates, a third-party marketing firm helping unique investment strategies raise capital from endowments, foundations, pensions and family offices.
Over the last 20 years, Maury has primarily focused on managers in the small/micro-cap space, having raised over a quarter-billion dollars for micro-cap focused managers, many of whom started with little to no assets.
Maury has extensive knowledge of the micro-cap sector. He has served on the advisory board of a micro-cap focused fund and his research in the area of micro-caps has been published by the Investment Management Consultants Association.
Maury grew up in Omaha, the epicenter of value investing, and graduated from the University of Nebraska - Lincoln. He holds the Series 63, 65 and 7 licenses, and is a Registered Representative with Compass Securities Corporation, Braintree, MA.
Maury currently resides in Raleigh, NC, with his wife and two sons. Outside of work, Maury plays just about every sport, grows bonsai trees and is an amateur magician.
Jon Najarian
Co-Founder
Market Rebellion
Jon Najarian
Co-Founder, Market RebellionJon ‘DRJ’ Najarian was linebacker for the Chicago Bears before he turned to another kind of a contact sport – trading on the Chicago Board Options Exchange. He became a member of the CBOE, NYSE, CME and CBOT and worked as a floor trader for some 25 years. In 1990 he founded Mercury Trading, a market-making firm at the Chicago Board Options Exchange (CBOE), which he sold in 2004 to Citadel, one of the world’s largest hedge funds. In 2005 Jon co-founded optionMONSTER and tradeMONSTER, sold a majority stake to private equity firm General Atlantic Partners in 2014 & two years later sold the firm to E*Trade for $750M. Today, he is a host on a variety of mainstream financial news networks, a professional investor, money manager, market strategist and venture evangelist. Jon is also a co-host and co-founder of proprietary programming including the popular “Rebels’ Edge” streaming show and the “Bulls, Bears & Blockchain” radio show.
Jon is also chairman of a technology SPAC, an investor and senior advisor to IDI Group, LLC (a multi-family office) and co-founder of Moneta Advisory Partners, LLC, a “venture evangelism” platform that raises awareness of a portfolio of growing public companies.
Jeff Neumeister
Partner
Neumeister & Associates
Jeff Neumeister
Partner, Neumeister & AssociatesJeff Neumeister is a well-educated and experienced forensic expert and consultant in accounting and financial advisory services. Small organizations, startups, holding entities, high-net-worth individuals, and middle market companies, directly and through their retained counsel, have relied upon Jeff to identify problems, uncover frauds, improve efficiencies and to initiate and defend against litigation. Over his 22 years of professional experience, he has worked in firms ranging in size from large international entities to smaller regional practices.
Jeff has been designated as an expert in multiple cases and has provided valuable deposition testimony for his clients. He has provided litigation advisory services to clients spanning a breadth of industries including construction, entertainment, health care, investments, information technology, professional services, retail, oil and gas, real estate, education, food and beverage, transportation, pharmaceutical, and manufacturing. Jeff has provided business valuations for litigation and non-litigation purposes. Jeff has also managed the financial due diligence process for both buy and sell transactions. Through the use of sophisticated analytic solutions, investigative techniques, and an understanding of accounting, he has found effective solutions for a range of clients’ problems including those related to tax strategies, operational efficiencies, and internal controls.
Joseph Oltmanns
Senior Vice President of Corporate Services
OTC Markets
Joseph Oltmanns
Senior Vice President of Corporate Services, OTC MarketsSenior Vice President, Corporate Services Joseph Oltmanns leads the Domestic Corporate Services team at OTC Markets. In this role, he educates companies on their alternatives to listing on a national exchange while reducing costs and maximizing investor engagement. Prior to OTC Markets, Joe held multiple positions at NYSE American including listing qualifications, market surveillance and new business development. Joe has an MBA from Fordham University and a BS from Villanova University.
Trevor Pryce
Principal
Outlook Company
Trevor Pryce
Principal, Outlook CompanyPryce, who grew up in central Florida, attended the University of Michigan and graduated from Clemson University, and played 14 seasons in the NFL. He founded a record label, Outlook Music Company, in 2001 while playing for the Denver Broncos.
He settled permanently in Baltimore, first in Columbia and now in Reisterstown, after his two daughters and son graduated from McDonogh School. He liked the education they received and decided to put down roots here after he left the NFL.
After visiting 20th Century Fox in 2005, he became enthralled with visual media and computer animation.
Trevor Pryce is head of Outlook Company, an animation studio that’s located in the Hoen building in East Baltimore.
Sherry Rais
Co-founder & CEO
Enthea
Sherry Rais
Co-founder & CEO, EntheaSherry Rais, CEO and Co-Founder of Enthea, has helped dozens of startups, non-profit organizations, academic/research institutions, and small businesses raise funds, operate according to their mission and values, and implement processes that enhance their overall efficiency. Sherry believes in living and working in alignment with purpose and is currently focused on expanding access to psychedelic-assisted therapy to alleviate human suffering. Before this, Sherry consulted for over 10 years with the United Nations and World Bank, implementing cash transfer programs at the national level in over 35 countries. Sherry holds a master’s degree in public policy and administration from the London School of Economics and a bachelor’s degree in psychology and international development from McGill University. She also completed the Certificate in Psychedelic Therapies and Research from CIIS in 2021. In addition to being Enthea's CEO, she is the Executive Director of the Boston Psychedelic Research Group and the Grants Manager for CIIS.
Kai Sato
Founder
Kaizen Reserve
Kai Sato
Founder, Kaizen ReserveKai Sato is the founder of Kaizen Reserve, Inc., a venture capital advisory firm for corporations and family offices, helping align their existing assets with synergistic startups. He’s also a strategic advisor to select early-stage companies, including publicly-traded microcaps. He recently served as the co-president & chief marketing officer of Crown Electrokinetics (Nasdaq:CRKN), a smart glass technology company that combats climate change. He is also a fund advisor and the former entrepreneur-in-residence of Hatch, a global startup accelerator focused on helping feed the world through sustainable aquaculture technologies. He is the author of “Marketing Architecture: How to Attract Customers, Hires, and Investors for Any Company Under 50 Employees.” He is the creator of Caddyshack to Corner Office, a golf media platform that profiles successful people whose lives were transformed by caddying. Previously, he was the chief innovation officer of Rubicon Resources, which was acquired by High Liner Foods.
Prior to that, he spent several years as a co-founder and board member of FieldLevel, where he was recognized in the Los Angeles Business Journal's "Twenty in their 20s." He has been a contributor to publications like Inc., Entrepreneur, IR Magazine, Family Capital and HuffPost; he has also spoken at an array of industry conferences, including SXSW and has been quoted by publications like the Associated Press and The Los Angeles Times. Kai previously served as an independent board member of SportTechie, advises a range of startups, and mentors various accelerators, including Techstars. He is also the board chairman of the University of Southern California's John H. Mitchell Business of Cinematic Arts Program.
Peter Schiff
Economist
The Peter Schiff Show
Peter Schiff
Economist, The Peter Schiff ShowPeter Schiff is an economist, financial broker/dealer, author, frequent guest on national news, and host of the Peter Schiff Show Podcast. He follows up his daily two-hour show with a weekly two-hour podcast focusing on weekly economic data analysis and unbiased coverage of financial news, both in the U.S. and global markets. He is widely recognized for his accurate predictions and his ability to analyze complex financial situations.
Shawn Severson
President & Co-Founder
Water Tower Research
Shawn Severson
President & Co-Founder, Water Tower Research
Shawn Severson is President & Co-Founder of Water Tower Research. Prior to co-founding Water Tower Research and previously founding predecessor firm alphaDIRECT Advisors, Shawn spent over 20 years as a senior equity research analyst covering the Technology and ClimateTech sectors, including senior positions at JMP Securities, ThinkEquity, Robert W. Baird (London) and Raymond James, and he started his career as an equity research associate at Kemper Securities.
Shawn was frequently ranked as a top research analyst including one of the Wall Street Journal’s “Best on the Street” stock pickers and a StarMine Analyst Awards Top 3 stock picker. Shawn’s extensive professional experience also includes his former role as Managing Director of the Energy, Environmental and Industrial Technologies Practice at The Blueshirt Group, a leading investor relations and IPO advisory firm. Shawn holds a BA degree in Finance and Economics from Augustana College.
David Shapiro
CEO
B2i Digital
David Shapiro
CEO, B2i Digital
David has worked in finance, technology, and marketing for 30 years, including 5 global banks and 3 advertising agencies. He currently supports the National Investment Banking Association as their Chief Marketing Officer. Prior to B2i Digital, he was the Chief Marketing Officer for Maxim Group and one of the founders of their investor awareness platform, M-Vest.com. He has previously worked as head of marketing for micro-cap companies in the transportation and healthcare industries. David maintains his status as a Google Partner and Facebook Marketing Partner. He has spent the last 15+ years managing digital ad accounts that delivered billions of ad impressions across all prominent platforms. He has provided digital marketing consulting to B2C and B2B companies in a wide variety of industries including healthcare, financial services, technology, real estate, hospitality, beverage, automotive & pharmaceutical. He received a BS in Applied Economics and Business Management from Cornell University.
Adam Torres
Co-Founder
Mission Matters
Adam Torres
Co-Founder, Mission Matters
Adam Torres is Host of the Mission Matters series of shows, ranked in the top 5% out of 2,617,524 podcasts globally. As Co-Founder of Mission Matters, a media, PR, marketing and book publishing agency, Adam is dedicated to amplifying the voices of entrepreneurs, entertainers, executives and experts. An international speaker and author of multiple books on business and investing, his advice is featured regularly in major media outlets such as Forbes, Yahoo! Finance, Fox Business, and CBS to name a few.
Ron Woessner
Founder & Principal
Woessner Advisory Associates
Ron Woessner
Founder & Principal, Woessner Advisory AssociatesRonald A. Woessner, is a Dallas-based securities attorney specializing in corporate/securities law, mergers & acquisitions, public and private capital raising, and governmental affairs. He has been senior counsel to the U.S. House of Representatives Financial Services Committee, which authored JOBS Act 1.0 and JOBS Act 2.0, where he was special advisor to the Committee Chairman for capital formation policy matters.
Mr. Woessner’s subject matter expertise includes advising thinly-traded small cap issuers to help them increase their stock trading liquidity and raise capital from both retail and institutional investors. His small cap clients have raised more than $125M in public and private debt and equity financings.
With experience as General Counsel for two NASDAQ-listed companies and as CEO of a small cap company that up listed from OTC Markets to NASDAQ, Mr. Woessner has the expertise to assist his clients in up listing from the OTC to the NASDAQ and navigating the perils of the public markets. Some of the articles he has written addressing issues affecting thinly-traded small cap issuers appear at https://www.equities.com/author/RonaldWoessner, in addition to comments he has filed with the SEC on similar topics.
Keith Wong
CEO
3Forces
Keith Wong
CEO, 3ForcesKeith brings a wealth of experience and expertise in working with and investing in start-up companies, effectively guiding them to maturity for capital market opportunities. With a keen analytical mind and quick problem-solving skills, Keith remains focused on the bigger picture at hand. His extensive background spans across various industries, including mining, education, stem cells, internet, software, mobile apps, steel, auto parts, communications, and consumer products.
Rob Wotczak
President & CEO
Freedom Capital Markets
Rob Wotczak
President & CEO, Freedom Capital MarketsMr. Wotczak is currently the CEO and President of Prime Executions and spearheaded the creation of Freedom Capital Markets in 2022. Prior to joining Prime, Mr. Wotczak was the founding member and President of the Wotczak Group. The Wotczak Group is a capital markets advisory/consulting firm for small-cap public issuers and IPO candidates. Prior to that, Mr. Wotczak was the President of a public company, TOMI Environmental Solutions, where he was responsible for managing all aspects of the business, including sales, operations, finance, marketing, capital markets, and investor relations.
Before TOMI, Mr. Wotczak was the executive vice president and principal of a premier New York-based investor relations agency. He served on the executive committee, established a capital markets advisory practice for the agency, and managed all sales and new business opportunities.
Mr. Wotczak spent over ten years at the New York Stock Exchange/American Stock Exchange in senior positions within the listings group. As the Head of Equities at the American Stock Exchange, he oversaw over 600 issuers, new listings, strategic planning, and a $40 million revenue base. During that period, Mr. Wotczak was involved in over 200 listings of OTC up-listings, SPACs, and IPOs.
From 1989-1998 and again from 2000-2003, Mr. Wotczak was a registered representative. He served as a broker from 1989-1994 and brokerage branch manager from 1994-1998. From 1998-2000 he managed a NYC private bank's trust and investment area. In late 2000 he formed and created a broker-dealer subsidiary inside the bank, where he served as the firm's Securities Principal and Compliance Registered Options Principal (CROP). In addition, he worked as a senior trader at an NYSE Institutional Floor Brokerage firm from 2002-2003.
Brian Zucker
Partner
RRBB
Brian Zucker
Partner, RRBB
Brian is the CFO and Financial Operations Principal for numerous broker dealers and hedge funds. He has over thirty years of experience as a CPA specializing in the securities industry.
Brian started his career as a Senior Consultant at Deloitte Haskins and Sells and later Price Waterhouse. He provides a broad range of accounting, tax and regulatory related services to public companies, hedge funds, broker dealers and high net worth individuals. He has previously served as the President and Chairman of Atlantis Business Development Corp. (ABDV), CFO of Natcore Solar Technology, Inc. (NTCXF) and as a Managing Director of American Frontier Financial Corp. (EVIS)
