Equity

Alset Capital Acquisitions Corp.

$86,250,000

Initial Public Offering
February 2022
Cyngn, Inc.

$26,300,000

Initial Public Offering
October 2021
American Battery Technology Corporation

$39,100,000

Common Stock and Warrants
October 2021
The Glimpse Group

$14,100,000

Common Stock
July 2021
Jiuzi Holdings Inc.

$26,000,000

Initial Public Offering
May 2021
Alset EHome International Inc.

$32,000,000

Common Stock and Warrants
May 2021
Farmmi, Inc.

$48,300,000

Underwritten Private Offering
May 2021
SeaChange International, Inc.

$19,100,000

Common Stock
April 2021
Vuzix Corporation

$97,500,000

Common Stock
April 2021
MySize, Inc.

$3,300,000

Common Stock
March 2021
ION Geophysical Corporation

$10,500,000

Registered Direct Offering
February 2021
Pulmatrix, Inc.

$40,000,000

Registered Direct Offering
February 2021
Document Security Systems, Inc.

$39,700,000

Common Stock
February 2021
Avinger, Inc.

$14,400,000

Common Stock
February 2021
Avinger, Inc.

$6,000,000

Common Stock
August 2020
1847 Goedeker Inc

$10,000,000

Initial Public Offering
August 2020
Document Security Systems, Inc.

$3,400,000

Common Stock
July 2020
Zynex, Inc.

$55,000,000

Common Stock Offering
July 2020
INmune Bio, Inc.

$21,740,000

Common Stock
July 2020
Digital Ally, Inc.

$5,400,000

Common Stock
June 2020
Safe-T Group Ltd.

$8,400,000

ADSs and Warrants
Public Offering
April 2020
Beyond Air, Inc.

$50,000,000

At-The-Market Offering
April 2020
Medalist Diversified REIT, Inc.

$4,600,000

Series A Preferred Stock
February 2020
Duos Technologies Group, Inc.

$8,100,000

Common Stock
February 2020
Avinger, Inc.

$4,500,000

Common Stock
February 2020
ActiveGraf Inc.

$900,000

Series A Preferred Stock
January 2020
Cellect Biotechnology Ltd

$3,000,000

ADSs Offering
January 2020
Beyond Air, Inc.

$11,500,000

Common Stock
December 2019
Relmada Therapeutics

$115,000,000

Common Stock
December 2019
Cocrystal Pharma, Inc.

$3,000,000

Common Stock
November 2019
Avinger, Inc.

$4,500,000

Common Stock
August 2019
Sigma Labs, Inc.

$2,300,000

Common Stock
August 2019
Immuron Limited

$1,600,000

Public Offering of the ADSs
July 2019
RealWear, Inc.

$80,000,000

Series B Financing
July 2019
Vuzix Corporation

$20,000,000

Registered Direct Public Offering
July 2019
Document Security Systems, Inc.

$5,600,000

Public Offering of Common Stock
June 2019
Medicine Man Technologies, Inc.

$21,000,000

Common Stock and Warrants
June 2019
General Cannabis Corp.

$3,000,000

Private Placement of Common Stock
Represented FINRA Member Firm
June 2019
AIT Therapeutics, Inc.

$8,000,000

Private Placement of Common Stock
June 2019
Medalist Diversified REIT, Inc.

$1,300,000

Private Offering
May 2019
Pareteum Corporation

$40,000,000

Common Stock and Warrants
September 2019
ToughBuilt Industries, Inc.

$6,100,000

Private Placement of Preferred Stock and Warrants
October 2016
FTE Networks, Inc.

$3,000,000

Private Placement of Common Stock and Warrants
Represented Laidlaw & Company (UK) Ltd. as Placement Agent
October 2016
Aridis Pharmaceuticals, Inc.

$15,200,000

Private Placement of Common Stock and Warrants
August 2016
EyeGate Pharmaceuticals, Inc.

$3,770,000

Registered Direct Offering of Common Stock and Preferred Stock
Private Placement of Warrants
Represented Rodman & Renshaw, a unit of H.C. Wainwright& Co., LLC, as Exclusive Placement Agent
July 2016
Vuzix Corporation

$6,600,000

Registered Direct Offering of Common Stock
July 2016
Tonix Pharmaceuticals Holding Corp.

$10,000,000

Public Offering
Common Stock
June 2016
Intellicheck Mobilisa, Inc.

$2,100,000

Public Offering
Common Stock and Warrants
Represented Joseph Gunnar & Co. LLC as Sole Book-Running Manager
June 2016
PhaseRx, Inc.

$18,500,000

Initial Public Offering
Common Stock
Represented Laidlaw & Company (UK) Ltd. and Roth Capital Partners, LLC as Joint Book-Running Managers
May 2016
iSign Solutions Inc.

$1,200,000

Public Offering
Common Stock and Warrants
Represented Axiom Capital Management, Inc. as Representative of the Underwriters
May 2016
Viatar CTC Solutions Inc.

$4,200,000

Private Placement of Convertible Preferred Stock
March 2016
Pershing Gold Corporation

$6,900,000

Private Placement of Common Stock and Warrants
Represented Laidlaw & Company (UK) Ltd. as Placement Agent
February 2016
Amarantus BioScience Holdings, Inc.

$3,000,000

Convertible Preferred Stock and Warrants
February 2016
OWC Pharmaceutical Research Corp.

$787,500

PIPE
Convertible Note & Common Stock
December 2015
CBC Biotechnologies Inc.

$2,000,000

Series A Round
December 2015
eMagin

$6,000,000

Registered Direct Offering
Common Stock and Warrants
December 2015
Takung Art Co.

$1,896,000

PIPE
Common Stock
November 2015
Genius Brands International

$4,333,000

PIPE
Common Stock & Warrants
November 2015
UQM Technologies

$6,400,000

Registered Direct
Common Stock and Warrants
October 2015
Oasmia Pharmaceutical AB

$9,500,000

RADSs & Warrants
IPO & U.S. NASDAQ Listing
October 2015
Can-Fite BioPharma Ltd.

$4,800,000

Registered Direct Offering with Institutional Investors
ADSs
October 2015
ContraVir Pharmaceuticals, Inc.

$15,000,000

Public Offering
Common Stock & Warrants
October 2015
Rightscorp, Inc.

$1,032,000

PIPE
Common Stock & Warrants
October 9, 2015
Amarantus BioScience Holdings, Inc.

$5,500,000

Registered Direct Offering and Private Placement
Series H Convertible Preferred Stock and Warrants & Debts and Warrants
October 2015
Can-Fite BioPharma

$9,000,000

Public Offering
ADSs
September 2015
One Horizon Group, Inc.

$3,000,000

Public Offering
Common Stock & Warrants
August 2015
BiondVax Pharmaceuticals

$9,550,000

Initial Public Offering
Represented U.S. Underwriter on Israeli-American Transaction
ADSs & Warrants
May 2015
DelMar Pharmaceuticals, Inc.

$2,500,000

Registered Direct Offering
Common Stock & Warrants
August 2015
Trovagene, Inc.

$43,300,000

Public Offering
Common Stock
July 2015
Tonix Pharmaceuticals Holding Corp.

$20,100,000

Public Offering
Common Stock & Warrants
July 2015
Cynata Therapeutics Limited

$5,000,000

Private Placement
Common Stock & Warrants
July 2015
Wellsense

$2,000,000

Israeli based Company
Private Placement
Preferred Stock and Warrants
June 2015
Actinium Pharmaceuticals, Inc.

$5,000,000

Registered Direct Offering
Represented Sole Placement Agent
Common Stock
June 2015
Viking Therapeutics, Inc.

$24,000,000

IPO
Represented Laidlaw & Co. (UK) & Feltl and Co. as Underwriters
Common Stock & Warrants
May 2015
Vuzix Corporation

$24,800,000

Investment from Intel
January, 2015
PlasmaTech Biopharmaceuticals, Inc.

$14,000,000

Represented H.C. Wainwright & Co. and Aegis Capital Corp as Underwriters
Common Stock and Warrants
December 2014
Can-Fite Biopharma Ltd.

$8,000,000

At-the-Market Registered Direct Offering
December 2014
Contravir Pharmaceuticals, Inc.

$9,000,000

PIPE
Convertible Preferred Stock
November 2014
Cel-Sci Corporation

$6,000,000

Rep. Laidlaw & Co. (UK) Ltd. as Underwriters in Public Offering Common Stock & Warrants
October 2014
Labor Smart, Inc.

$1,100,000

Private Placement
Common Stock
August 2014
UX2 Biosystems, Inc.

$2,500,000

PIPE
Promissory Notes & Common Stock Purchase Warrants
April 2014
Cell Source

$3,600,000

Common Stock, Warrants
February 2014
Be Active Holdings

$1,799,999

Common Stock, Warrants Included
February 2014
Valor Gold Corp

$1,025,000

Common Stock, Preferred Stock
February 2014
Pegasi Energy Resources

$703,000

Common Stock
February 2014
Yappn

$700,000

February 2014
BitCoin Shop Inc.

$1,875,000

PIPE
February 2014
MusclePharm Corporation

$10,100,000

Purchase of Business Assets
January 2014
Paulson Capital Corp

$250,000

Common Stock
January 2014