交易

我们代表广泛的融资，并购和其他公司交易的国内外客户。下面是我们的某些最近代表性的交易墓碑上市。请点击墓碑的具体交易的说明。

Avinger, Inc.

$5,200,000

Common Stock
August 2020
Centrus Energy Corp.

$23,500,000

Public Offering
August 2020
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
Immuron Limited

$20,000,000

ADSs
July 2020
Safe-T Group Ltd.

$5,900,000

ADSs and Warrants
July 2020
KULR Technology Group, Inc.

$2,500,000

Promissory Note
July 2020
Genetic Technologies Limited

$5,100,000

American Depository Shares
July 2020
Zynex, Inc.

$55,000,000

Common Stock Offering
July 2020
INmune Bio, Inc.

$21,740,000

Common Stock
July 2020
Equillium, Inc.

$150,000,000

At-The-Market Offering (“ATM”)
July 2020
BioPath Holdings Inc.

$7,000,000

At-The-Market Offering (“ATM”)
July 2020
Document Security Systems, Inc.

$6,400,000

Common Stock
July 2020
Avinger, Inc.

$5,400,000

Common Stock
June 2020
Hudson Capital Inc..

$3,700,000

Registered Direct Offering
June 2020
Document Security Systems, Inc.

$6,000,000

Common Stock
June 2020
Digital Ally, Inc.

$5,400,000

Common Stock
June 2020
Digital Ally, Inc.

$5,100,000

Common Stock
June 2020
Genetic Technologies Limited

$8,000,000

American Depository Shares
May 2020
Relmada Therapeutics

$75,000,000

At-The-Market Offering
May 2020
Medigus Ltd.

$5,000,000

ADSs and Warrants
May 2020
Vuzix Corporation

$11,250,000

Direct Offering of Common Stock
May 2020
Lexaria Bioscience Corp.

$2,000,000

Common Stock and Warrants
May 2020
Avinger, Inc.

$3,150,000

Common Stock
April 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
Genetic Technologies Limited

$1,450,000

American Depository Shares
April 2020
Genetic Technologies Limited

$1,800,000

American Depository Shares
April 2020
Cel-Sci Corporation

$7,700,000

Common Stock Offering
March 2020
Pareteum Corporation

$3,750,000

Series C Redeemable Preferred Stock
March 2020
Digital Ally, Inc.

$2,900,000

Public Stock
March 2020
Aptorum Group Limited

$10,000,000

Class A Shares
February 2020
Document Security Systems, Inc.

$4,600,000

Common Stock
February 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
Cocrystal Pharma, Inc.

$2,200,000

Common Stock
January 2020
ActiveGraf Inc.

$900,000

Series A Preferred Stock
January 2020
Cellect Biotechnology Ltd

$3,000,000

ADSs Offering
January 2020
CEL-SCI Corporation

$5,500,000

Common Stock
December 2019
Biotricity Inc.

$6,000,000

Preferred Series A Stock
December 2019
Beyond Air, Inc.

$11,500,000

Common Stock
December 2019
Relmada Therapeutics

$115,000,000

Common Stock
December 2019
H-Cyte, Inc.

$6,000,000

Private Placement
November 2019
Safe-T Group Ltd.

$3,500,000

American Depository Shares (ADSs) and Warrants
November 2019
Document Security Systems, Inc.

$1,800,000

Common Stock
November 2019
Cocrystal Pharma, Inc.

$3,000,000

Common Stock
November 2019
Pareteum Corporation

$40,000,000

Common Stock and Warrants
September 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.

$14,000,000

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
Immuron Limited

$2,000,000

Public Offering of American Depositary Shares (ADSs)
May 2019
Genetic Technologies Limited

$1,200,000

Registered Direct Offering and Warrants
May 2019
Medalist Diversified REIT, Inc.

$8,000,000

Common Stock
May 2019
Quest Solution, Inc.

$5,000,000

Private Placement
Common Stock and Warrants
April 2019
New Age Beverages Corp.

$25,000,000

Loan and Security Agreement
April 2019
LiveWell Canada Inc..

$15,000,000

Private Placement
Warrants
March 2019
Opgen, Inc.

$5,400,000

Common Stock
March 2019
Pareteum Corporation

$50,000,000

Secured Credit Loan
March 2019
Pareteum Corporation
iPass, Inc. Acquisition
February 2019
Cellect Biotechnology Ltd.

$6,500,000

Public Offering of ADS and Warrants
February 2019
INmune Bio Inc.

$8,000,000

Initial Public Offering
January 2019
Boulder Botanicals & Biosciences Laboratories, Inc.

$5,000,000

Private Placement of Common Stock
January 2019
China SXT Pharmaceuticals

$10,200,000

Initial Public Offering
January 2019
New Age Beverage Corp.

$85,000,000

Acquisition
January 2019
Creative Realities

$10,000,000

Public Offering of Common Stock and Warrants
November 2018
New Age Beverage Corp.

$52,000,000

Public Offering of Common Stock
November 2018
Pareteum Corporation
Corporate Acquisition
November 2018
Novume Solutions, Inc.

$3,300,000

Public Offering of Common Stock
November 2018
Wize Pharma, Inc.

$4,400,000

Private Raise
Common Stock and Warrants
October 2018
New Age Beverage Corp.

$37,500,000

At-The-Market Financing
October 2018
Medical Transcript Billing, Corp.

$15,000,000

Series A Preferred Stock
Registered Public Offering
October 2018
GRSX Industries Inc.

$1,300,000

Common Stock and Warrants
October 2018
FlexShopper, Inc.

$10,000,000

Public Offering
September 2018
AIT Therapeutics, Inc.

$20,000,000

Common Stock Purchase Agreement
September 2018
New Age Beverage Corp.

$12,000,000

Loan and Security Agreement
August 2018
New Age Beverage Corp.

$10,200,000

Public Offering
August 2018
New Age Beverage Corp.

$4,750,000

Senior Secured Convertible Promissory Note
June 2018
Trovagene, Inc.

$16,000,000

Represented ThinkEquity as Lead Underwriter
Public Offering of Common Stock and Warrants
June 2018
Pareteum Corporation

$6,100,000

Registered Direct Offering
Common Stock
May 2018
Acolyte Group
Sale to Private Equity Firm
May 2018
Cocrystal Pharma, Inc
$6,000,000
Public Offering of Common Stock
Represented A.G.P/ Alliance Global Partners
April 2018
Sunworks, Inc.
$3,750,000
Loan Transaction
April 2018
New Age Beverage Corp

$4,000,000

Public Offering of Common
April 2018
Medical Transcript Billing, Corp.
$10,500,000
Public Offering
Series A Preferred Stock
April 2018
Aytu BioScience, Inc.

$12,000,000

Public Offering of Common Stock and Warrants
March 2018
MoneyOnMobile, Inc.

$5,000,000

Private Placement Offering
Series H Preferred Stock
February 2018
MoneyOnMobile, Inc.

$7,600,000

Private Placement Offering
Series F Preferred Stock
February 2018
QBIO Med, Inc.
$5,500,000
Common Stock and Warrants
Represented Roth Capital Partners as lead Placement Agent
January 2018
Vuzix Corporation
$30,000,000
Registered Direct Offering
Common Stock and Warrants
January 2018
Can-Fite BioPharmaceutical Ltd.
Licensing Agreement with Cipher Pharmaceuticals, Inc.
March 2015
Biotricity Inc.
$2,500,000
Registered Direct Public Offering
Common Stock
December 2017
Vuzix Corporation
$12,500,000
Registered Direct Offering
Common Stock and Warrants
December 2017
Medical Transcript Billing, Corp.
$3,900,000
Series A Preferred Stock
Registered Public Offering
December 2017
Pareteum Corporation
$6,580,000
Common Stock and Warrants
Registered Public Offering
December 2017
Precipio, Inc.
$2,700,000
Common Stock and Warrants
Represented Aegis Capital Corp. as Placement Agent
November 2017
Pareteum Corporation
$12,000,000
Common and Preferred Stock
November 2017
Ampio Pharmaceuticals, Inc.

$6,750,000

Registered Direct Public Offering of Common Stock
Represented Joseph Gunnar & Co. as Lead Placement
October 2017
Pareteum Corporation

$1,570,000

Pursuant to S-3 Shelf Registration
October 2017
Medical Transcript Billing, Corp.

$6,000,000

Preferred Stock
Represented Rodman & Renshaw as Lead Placement Agent
September 2017
One Wall Partners
$63,000,000
Real Estate Portfolio Acquisition
September 2017
BiondVax Pharmaceuticals, Ltd.
$10,000,000
Public Offering of American Depository Shares
Represented Joseph Gunnar & Co. as Lead Undewriter
September 2017
Precipio, Inc.
$6,000,000
Common Stock and Warrants
Represented Aegis Capital Corp. as Lead Underwriter
August 2017
Aytu BioScience, Inc.

$11,800,000

Private Placement of Equity Securities
Series A Preferred Stock
Represented Joseph Gunnar and Co. as Lead Placement Agent
August 2017
Vuzix Corporation
$8,625,000
Common Stock
August 2017
JetSmarter Inc.
Institutional Capital Raise
August 2017
Shared Labs, Inc.

$2,549,000

Private Placement Offering
August 2017
Pollex, Inc.

$2,250,000

Private Placement Offering
August 2017
Cloud Commerce, Inc.
Acquisition
August 2017
China Internet Nationwide Financial Services Inc..

$20,000,000

Public Offering
Ordinary Shares
Represented Boustead Securities, LLC as Lead Underwriter
July 2017
Medical Transcription Billing, Corp.

$7,400,000

Public Offering
Preferred Stock
Represented Rodman & Renshaw as Lead Placement
June 2017
Medical Marijuana Reverse Merger and $3.3M PIPE

$3,300,000

Common Stock and Warrants
June 2017
XTL Biopharmaceuticals Ltd.

$2,500,000

Registered Direct Offering of Common Stock
Private Placement of Warrants
February 2017
Immuron Limited

$6,100,000

Public Offering and Warrants
Represented Joseph Gunnar & Co. as Lead Placement
June 2017
Ampio Pharmaceuticals, Inc.

$6,600,000

Registered Direct Public Offering
Represented Joseph Gunnar & Co. as Lead Placement
June 2017
MRI Interventions, Inc

$13,250,000

Public Offering of Common Stock and Warrants
Joseph Gunnar & Co. and Brookline Capital Markets
May 2017
Tonix Pharmaceuticals Holding Corp.

$8,000,000

Public Offering of Common Stock
April 2017
XTL Biopharmaceuticals Ltd.

$2,800,000

Private Placement of Warrants
March 2017
Innovus Pharmaceuticals, Inc.

$3,850,000

Public Offering of Common Stock and Warrants
March 2017
Pareteum Corporation

$3,500,000

Public Offering of Common Stock and Warrants
March 2017
Brekford Corporation

$6,000,000

Sale of Assets/h5>
March 2017
Private Cannabinoid Life Science Company

$12,300,000

Series B Preferred Stock
Led by Tuatara Capital Fund 1, L.P.
March 2017
Function(x) Inc.

$4,800,000

Public Offering of Common Stock
Represented Aegis Capital Corp. and Laidlaw & Company (UK) Ltd.
February 2017
AYTU BioScience, Inc.

$2,300,000

Warrant Exchange
Represented Joseph Gunnar & Co., LLC and Fordham Financial Management, Inc.
February 2017
Vycor Medical Inc
Online Private Placement
January 2017
Ener-Core, Inc.

$3,600,000

Private Placement of Warrants
Convertible Senior Secured Notes
Represented Oppenheimer & Co.
December 2016
Vuzix Corporation

$14,500,000

Registered Direct Offering of Common Stock
December 2016
Midwest Energy Emissions Corp.

$13,500,000

Private Placement of Common Stock
Oppenheimer & Co.
November 2016
Aytu BioScience, Inc.

$8,600,000

Public Offering of Common Stock and Warrants
November 2016
Tonix Pharmaceuticals Holding Corp.

$5,200,000

Public Offering of Common Stock and Warrants
November 2016
ToughBuilt Industries, Inc.

$6,100,000

Private Placement of Preferred Stock and Warrants
October 2016
ABT Holdings, Inc.

$5,000,000

Senior Secured Convertible Debentures
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
Network 1 Securities

$7,700,000

Public Offering of Common Stock
September 2016
BioPharmX Corporation

$930,000

Registered Direct Offering of Common Stock
Private Placement of Warrants
September 2016
General Cannabis Corp.

$2,600,000

Senior Secured Promissory Notes
Common Stock Purchase Warrants
September 2016
SITO Mobile, Ltd.

$11,500,000

Public Offering
September 2016
CEL-SCI Corporation

$5,000,000

Registered Direct Offering of Common Stock
Private Placement of Warrants
Represented Rodman & Renshaw, a unit of H.C. Wainwright& Co., LLC, as Exclusive Placement Agent
August 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
Bridgeline Digital, Inc.

$1,355,000

Private Placement
Subordinated Convertible Notes
Represented Taglich Brothers, Inc. as Exclusive Placement Agent
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
Aytu BioScience, Inc. .

$7,500,000

Public Offering
Common Stock and Warrants
Represented Joseph Gunnar and Fordham Financial Management, Inc. as Lead Manager
May 2016
Synergy Pharmaceuticals Inc.

$89,800,000

Registered Direct Offering
Common Stock
May 2016
DelMar Pharmaceuticals

$5,600,000

Private Placement of Series B Preferred Stock
May 2016
Citius Pharmaceuticals Inc..

Acquisition

April 2016
ContraVir Pharmaceuticals, Inc.

$7,000,000

Public Offering
Common Stock and Warrants
April 2016
Labstyle Innovations Corp.

$6,000,000

Public Offering
Common Stock and Warrants
Represented H.C. Wainwright & Co., LLC and Joseph Gunnar & Co. as Joint Book Running Managers
March 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
Calpian Inc.

$2,135,000

PIPE
Common Stock & Warrants
June 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
OriginClear, Inc.

$1,500,000

Acquisition of Progressive Water Treatment
Series B Preferred Stock
October 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
Spectronix Ltd. Sale to Emerson Electric

$100,000,000

Represented by SRFF-DTKGC (Israel)
Reverse Triangular Merger
August 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
Intellicheck Mobilisa, Inc.

$2,100,000

Secondary Public Offering
Represented Underwriter
April 2014
Actinium Pharmaceuticals, Inc.

$5,000,000

Registered Direct Offering
Represented Sole Placement Agent
Common Stock
June 2015
Calpian Inc.

$1,400,000

PIPE
Common Stock & Warrants
June 2015
Viking Therapeutics, Inc.

$24,000,000

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

$4,000,000

PIPE
Represented Ladenburg Thalmann & Co. Inc. as Placement Agent
Preferred Stocks & Warrants
May 2015
Amarantus BioSciences

$5,000,000

PIPE Investment
Series G Preferred Stock
April 2015
Professional Diversity Network

$5,000,000

Public Offering
Pursuant to S-3 Shelf Registration
Represent Aegis Capital as Undewriter
April 2015
Pegasi Energy Resources Corp.

$1,875,000

PIPE
Common Stock & Warrants
March 2015
Cell Source, Inc.

$500,000

PIPE
Promissory Notes
March 2015
SITO Mobile, Ltd.

$3,700,000

Acquisition of Hipcricket's Mobile Advertising Business
July 2015
Citius Pharmaceuticals, LLC

$270,000

PIPE
Common Stock & Warrants
March 2015
Dais Analytic Corporation

$2,750,000

PIPE
Common Stock
March 2015
Solar3D

$12,500,000

Public Offering & NASDAQ Uplisting
Offering underwritten by Cowen & Company LLC
Common Stock & Warrants
February 2015
CollabRX, Inc.

$3,000,000

Public Offering Pursuant to S-3 Registration
Common Stock
February 2015
CollabRX, Inc.

$5,520,000

Represented Aegis Capital Corp. as Sole Book-Running Manager
Public Offering
Common Stock & Warrants
February 2015
Actinium Pharmaceuticals Inc.

$20,000,000

Represented Laidlaw & Company (UK) Ltd.
Public Offering
Common Stock & Warrants
February 2015
Trovagene, Inc.

$23,000,000

Public Offering
Common Stock
February 2015
Tonix Pharmaceuticals Holding Corp.

$28,700,000

Public Offering
Common Stock
February 2015
Full Swing Golf Inc.

Endorsement deal with Tiger Woods

January, 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
SBI Investments LLC

$6,500,000

PIPE
Sold Membership Interests
December 2014
Can-Fite Biopharma Ltd.

$8,000,000

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

$200,000,000

Rule 144A Offering of 7.5% Convertible Senior Notes
November 2014
MV Augusta
Partnership with Mercedes-AMG
November 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
Towerstream Corporation

$35,000,000

Secured Financing
October 2014
Single Touch Interactive, Inc.

$11,000,000

PIPE & Financing from Fortress Investment Group
October 2014
Rightscorp, Inc.

$2,650,000

PIPE
September 2014
Citius Pharmacueticals, LLC

$2,040,000

Reverse Merger & PIPE
Labor Smart, Inc.

$1,100,000

Private Placement
Common Stock
August 2014
Intellect Neurosciences, Inc.

$1,200,000

PIPE
Preferred Stock & Warrants
July 2014
Tonix Pharmaceuticals Holding Corp.

$7,800,000

Public Offering
Common Stock
July 2014
Nanox Imaging PLC

$2,100,000

Represented J.P. Turner & Company
PIPE
Ordinary Shares
July 2014
Cell Source Ltd.
Reverse Merger
July 2014
CollabRx, Inc.

$1,800,000

Common Stock
Represented Underwriter
June 2014
NTS Inc.

$140,000,000

Acquisition
June 2014
Free Seas Inc.

$25,000,000

Public Offering
Preferred Stock & Warrants
June 2014
Zenovia Digital Exchange Corporation

$5,000,000

PIPE
Secured Notes & Warrants
June 2014
Vuzix Corporation

$3,000,000

PIPE
5% Secured Promissory Notes
June 2014
Sorrento Therapeutics, Inc.

$25,000,000

Public Offering
Common Stock
May 2014
Cyclacel Pharmaceuticals Inc.

$10,000,000

Secondary Public Offering
Represented Underwriter
Common Stock
April 2014
NovaBay Pharmaceuticals, Inc.

$6,720,000

Secondary Public Offering
Common Stock & Warrants
March 2014
Relmada Therapeutics Inc.

$10,000,000

PIPE
Common Stock & Warrants
May 2014
AV Therapeutics

$1,260,000

PIPE
Common Stock & Warrants
April 2014
UX2 Biosystems, Inc.

$2,500,000

PIPE
Promissory Notes & Common Stock Purchase Warrants
April 2014
ClearSign

$6,500,000

Registered Direct Offering
Represented Placement Agent
March 2014
Cell Source

$3,600,000

Common Stock, Warrants
February 2014
SMTP, Inc.

$10,000,000

Public Offering - Representing Aegis Capital Corp.
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
Tonix Pharmaceuticals Holding Corp.

$43,500,000

Shelf Takedown
February 2014
Xenetic BioSciences

$10,000,000

Reverse Merger & PIPE
Common Stock
February 2014
MusclePharm Corporation

$10,100,000

Purchase of Business Assets
January 2014
Intellicheck Mobilisa

$4,000,000

Common Stock
January 2014
Paulson Capital Corp

$250,000

Common Stock
January 2014
Avinger, Inc.

$5,200,000

Common Stock
August 2020
Centrus Energy Corp.

$23,500,000

Public Offering
August 2020
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
Immuron Limited

$20,000,000

ADSs
July 2020
Safe-T Group Ltd.

$5,900,000

ADSs and Warrants
July 2020
KULR Technology Group, Inc.

$2,500,000

Promissory Note
July 2020
Genetic Technologies Limited

$5,100,000

American Depository Shares
July 2020
Zynex, Inc.

$55,000,000

Common Stock Offering
July 2020
INmune Bio, Inc.

$21,740,000

Common Stock
July 2020
Equillium, Inc.

$150,000,000

At-The-Market Offering (“ATM”)
July 2020
BioPath Holdings Inc.

$7,000,000

At-The-Market Offering (“ATM”)
July 2020
Document Security Systems, Inc.

$6,400,000

Common Stock
July 2020
Avinger, Inc.

$5,400,000

Common Stock
June 2020
Hudson Capital Inc..

$3,700,000

Registered Direct Offering
June 2020
Document Security Systems, Inc.

$6,000,000

Common Stock
June 2020
Digital Ally, Inc.

$5,400,000

Common Stock
June 2020
Digital Ally, Inc.

$5,100,000

Common Stock
June 2020
Genetic Technologies Limited

$8,000,000

American Depository Shares
May 2020
Relmada Therapeutics

$75,000,000

At-The-Market Offering
May 2020
Medigus Ltd.

$5,000,000

ADSs and Warrants
May 2020
Vuzix Corporation

$11,250,000

Direct Offering of Common Stock
May 2020
Lexaria Bioscience Corp.

$2,000,000

Common Stock and Warrants
May 2020
Avinger, Inc.

$3,150,000

Common Stock
April 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
Genetic Technologies Limited

$1,450,000

American Depository Shares
April 2020
Genetic Technologies Limited

$1,800,000

American Depository Shares
April 2020
Cel-Sci Corporation

$7,700,000

Common Stock Offering
March 2020
Pareteum Corporation

$3,750,000

Series C Redeemable Preferred Stock
March 2020
Digital Ally, Inc.

$2,900,000

Public Stock
March 2020
Aptorum Group Limited

$10,000,000

Class A Shares
February 2020
Document Security Systems, Inc.

$4,600,000

Common Stock
February 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
Cocrystal Pharma, Inc.

$2,200,000

Common Stock
January 2020
ActiveGraf Inc.

$900,000

Series A Preferred Stock
January 2020
Cellect Biotechnology Ltd

$3,000,000

ADSs Offering
January 2020
CEL-SCI Corporation

$5,500,000

Common Stock
December 2019
Biotricity Inc.

$6,000,000

Preferred Series A Stock
December 2019
Beyond Air, Inc.

$11,500,000

Common Stock
December 2019
Relmada Therapeutics

$115,000,000

Common Stock
December 2019
H-Cyte, Inc.

$6,000,000

Private Placement
November 2019
Safe-T Group Ltd.

$3,500,000

American Depository Shares (ADSs) and Warrants
November 2019
Document Security Systems, Inc.

$1,800,000

Common Stock
November 2019
Cocrystal Pharma, Inc.

$3,000,000

Common Stock
November 2019
Pareteum Corporation

$40,000,000

Common Stock and Warrants
September 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.

$14,000,000

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
Immuron Limited

$2,000,000

Public Offering of American Depositary Shares (ADSs)
May 2019
Genetic Technologies Limited

$1,200,000

Registered Direct Offering and Warrants
May 2019
Medalist Diversified REIT, Inc.

$8,000,000

Common Stock
May 2019
Quest Solution, Inc.

$5,000,000

Private Placement
Common Stock and Warrants
April 2019
New Age Beverages Corp.

$25,000,000

Loan and Security Agreement
April 2019
LiveWell Canada Inc..

$15,000,000

Private Placement
Warrants
March 2019
Opgen, Inc.

$5,400,000

Common Stock
March 2019
Pareteum Corporation

$50,000,000

Secured Credit Loan
March 2019
Pareteum Corporation
iPass, Inc. Acquisition
February 2019
Cellect Biotechnology Ltd.

$6,500,000

Public Offering of ADS and Warrants
February 2019
INmune Bio Inc.

$8,000,000

Initial Public Offering
January 2019
Boulder Botanicals & Biosciences Laboratories, Inc.

$5,000,000

Private Placement of Common Stock
January 2019
China SXT Pharmaceuticals

$10,200,000

Initial Public Offering
January 2019
New Age Beverage Corp.

$85,000,000

Acquisition
January 2019
Creative Realities

$10,000,000

Public Offering of Common Stock and Warrants
November 2018
New Age Beverage Corp.

$52,000,000

Public Offering of Common Stock
November 2018
Pareteum Corporation
Corporate Acquisition
November 2018
Novume Solutions, Inc.

$3,300,000

Public Offering of Common Stock
November 2018
Wize Pharma, Inc.

$4,400,000

Private Raise
Common Stock and Warrants
October 2018
New Age Beverage Corp.

$37,500,000

At-The-Market Financing
October 2018
Medical Transcript Billing, Corp.

$15,000,000

Series A Preferred Stock
Registered Public Offering
October 2018
GRSX Industries Inc.

$1,300,000

Common Stock and Warrants
October 2018
FlexShopper, Inc.

$10,000,000

Public Offering
September 2018
AIT Therapeutics, Inc.

$20,000,000

Common Stock Purchase Agreement
September 2018
New Age Beverage Corp.

$12,000,000

Loan and Security Agreement
August 2018
New Age Beverage Corp.

$10,200,000

Public Offering
August 2018
New Age Beverage Corp.

$4,750,000

Senior Secured Convertible Promissory Note
June 2018
Trovagene, Inc.

$16,000,000

Represented ThinkEquity as Lead Underwriter
Public Offering of Common Stock and Warrants
June 2018
Pareteum Corporation

$6,100,000

Registered Direct Offering
Common Stock
May 2018
Acolyte Group
Sale to Private Equity Firm
May 2018
Cocrystal Pharma, Inc
$6,000,000
Public Offering of Common Stock
Represented A.G.P/ Alliance Global Partners
April 2018
Sunworks, Inc.
$3,750,000
Loan Transaction
April 2018
New Age Beverage Corp

$4,000,000

Public Offering of Common
April 2018
Medical Transcript Billing, Corp.
$10,500,000
Public Offering
Series A Preferred Stock
April 2018
Aytu BioScience, Inc.

$12,000,000

Public Offering of Common Stock and Warrants
March 2018
MoneyOnMobile, Inc.

$5,000,000

Private Placement Offering
Series H Preferred Stock
February 2018
MoneyOnMobile, Inc.

$7,600,000

Private Placement Offering
Series F Preferred Stock
February 2018
QBIO Med, Inc.
$5,500,000
Common Stock and Warrants
Represented Roth Capital Partners as lead Placement Agent
January 2018
Vuzix Corporation
$30,000,000
Registered Direct Offering
Common Stock and Warrants
January 2018
Can-Fite BioPharmaceutical Ltd.
Licensing Agreement with Cipher Pharmaceuticals, Inc.
March 2015
Biotricity Inc.
$2,500,000
Registered Direct Public Offering
Common Stock
December 2017
Vuzix Corporation
$12,500,000
Registered Direct Offering
Common Stock and Warrants
December 2017
Medical Transcript Billing, Corp.
$3,900,000
Series A Preferred Stock
Registered Public Offering
December 2017
Pareteum Corporation
$6,580,000
Common Stock and Warrants
Registered Public Offering
December 2017
Precipio, Inc.
$2,700,000
Common Stock and Warrants
Represented Aegis Capital Corp. as Placement Agent
November 2017
Pareteum Corporation
$12,000,000
Common and Preferred Stock
November 2017
Ampio Pharmaceuticals, Inc.

$6,750,000

Registered Direct Public Offering of Common Stock
Represented Joseph Gunnar & Co. as Lead Placement
October 2017
Pareteum Corporation

$1,570,000

Pursuant to S-3 Shelf Registration
October 2017
Medical Transcript Billing, Corp.

$6,000,000

Preferred Stock
Represented Rodman & Renshaw as Lead Placement Agent
September 2017
One Wall Partners
$63,000,000
Real Estate Portfolio Acquisition
September 2017
BiondVax Pharmaceuticals, Ltd.
$10,000,000
Public Offering of American Depository Shares
Represented Joseph Gunnar & Co. as Lead Undewriter
September 2017
Precipio, Inc.
$6,000,000
Common Stock and Warrants
Represented Aegis Capital Corp. as Lead Underwriter
August 2017
Aytu BioScience, Inc.

$11,800,000

Private Placement of Equity Securities
Series A Preferred Stock
Represented Joseph Gunnar and Co. as Lead Placement Agent
August 2017
Vuzix Corporation
$8,625,000
Common Stock
August 2017
JetSmarter Inc.
Institutional Capital Raise
August 2017
Shared Labs, Inc.

$2,549,000

Private Placement Offering
August 2017
Pollex, Inc.

$2,250,000

Private Placement Offering
August 2017
Cloud Commerce, Inc.
Acquisition
August 2017
China Internet Nationwide Financial Services Inc..

$20,000,000

Public Offering
Ordinary Shares
Represented Boustead Securities, LLC as Lead Underwriter
July 2017
Medical Transcription Billing, Corp.

$7,400,000

Public Offering
Preferred Stock
Represented Rodman & Renshaw as Lead Placement
June 2017
Medical Marijuana Reverse Merger and $3.3M PIPE

$3,300,000

Common Stock and Warrants
June 2017
XTL Biopharmaceuticals Ltd.

$2,500,000

Registered Direct Offering of Common Stock
Private Placement of Warrants
February 2017
Immuron Limited

$6,100,000

Public Offering and Warrants
Represented Joseph Gunnar & Co. as Lead Placement
June 2017
Ampio Pharmaceuticals, Inc.

$6,600,000

Registered Direct Public Offering
Represented Joseph Gunnar & Co. as Lead Placement
June 2017
MRI Interventions, Inc

$13,250,000

Public Offering of Common Stock and Warrants
Joseph Gunnar & Co. and Brookline Capital Markets
May 2017
Tonix Pharmaceuticals Holding Corp.

$8,000,000

Public Offering of Common Stock
April 2017
XTL Biopharmaceuticals Ltd.

$2,800,000

Private Placement of Warrants
March 2017
Innovus Pharmaceuticals, Inc.

$3,850,000

Public Offering of Common Stock and Warrants
March 2017
Pareteum Corporation

$3,500,000

Public Offering of Common Stock and Warrants
March 2017
Brekford Corporation

$6,000,000

Sale of Assets/h5>
March 2017
Private Cannabinoid Life Science Company

$12,300,000

Series B Preferred Stock
Led by Tuatara Capital Fund 1, L.P.
March 2017
Function(x) Inc.

$4,800,000

Public Offering of Common Stock
Represented Aegis Capital Corp. and Laidlaw & Company (UK) Ltd.
February 2017
AYTU BioScience, Inc.

$2,300,000

Warrant Exchange
Represented Joseph Gunnar & Co., LLC and Fordham Financial Management, Inc.
February 2017
Vycor Medical Inc
Online Private Placement
January 2017
Ener-Core, Inc.

$3,600,000

Private Placement of Warrants
Convertible Senior Secured Notes
Represented Oppenheimer & Co.
December 2016
Vuzix Corporation

$14,500,000

Registered Direct Offering of Common Stock
December 2016
Midwest Energy Emissions Corp.

$13,500,000

Private Placement of Common Stock
Oppenheimer & Co.
November 2016
Aytu BioScience, Inc.

$8,600,000

Public Offering of Common Stock and Warrants
November 2016
Tonix Pharmaceuticals Holding Corp.

$5,200,000

Public Offering of Common Stock and Warrants
November 2016
ToughBuilt Industries, Inc.

$6,100,000

Private Placement of Preferred Stock and Warrants
October 2016
ABT Holdings, Inc.

$5,000,000

Senior Secured Convertible Debentures
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
Network 1 Securities

$7,700,000

Public Offering of Common Stock
September 2016
BioPharmX Corporation

$930,000

Registered Direct Offering of Common Stock
Private Placement of Warrants
September 2016
General Cannabis Corp.

$2,600,000

Senior Secured Promissory Notes
Common Stock Purchase Warrants
September 2016
SITO Mobile, Ltd.

$11,500,000

Public Offering
September 2016
CEL-SCI Corporation

$5,000,000

Registered Direct Offering of Common Stock
Private Placement of Warrants
Represented Rodman & Renshaw, a unit of H.C. Wainwright& Co., LLC, as Exclusive Placement Agent
August 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
Bridgeline Digital, Inc.

$1,355,000

Private Placement
Subordinated Convertible Notes
Represented Taglich Brothers, Inc. as Exclusive Placement Agent
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
Aytu BioScience, Inc. .

$7,500,000

Public Offering
Common Stock and Warrants
Represented Joseph Gunnar and Fordham Financial Management, Inc. as Lead Manager
May 2016
Synergy Pharmaceuticals Inc.

$89,800,000

Registered Direct Offering
Common Stock
May 2016
DelMar Pharmaceuticals

$5,600,000

Private Placement of Series B Preferred Stock
May 2016
Citius Pharmaceuticals Inc..

Acquisition

April 2016
ContraVir Pharmaceuticals, Inc.

$7,000,000

Public Offering
Common Stock and Warrants
April 2016
Labstyle Innovations Corp.

$6,000,000

Public Offering
Common Stock and Warrants
Represented H.C. Wainwright & Co., LLC and Joseph Gunnar & Co. as Joint Book Running Managers
March 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
Calpian Inc.

$2,135,000

PIPE
Common Stock & Warrants
June 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
OriginClear, Inc.

$1,500,000

Acquisition of Progressive Water Treatment
Series B Preferred Stock
October 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
Spectronix Ltd. Sale to Emerson Electric

$100,000,000

Represented by SRFF-DTKGC (Israel)
Reverse Triangular Merger
August 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
Intellicheck Mobilisa, Inc.

$2,100,000

Secondary Public Offering
Represented Underwriter
April 2014
Actinium Pharmaceuticals, Inc.

$5,000,000

Registered Direct Offering
Represented Sole Placement Agent
Common Stock
June 2015
Calpian Inc.

$1,400,000

PIPE
Common Stock & Warrants
June 2015
Viking Therapeutics, Inc.

$24,000,000

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

$4,000,000

PIPE
Represented Ladenburg Thalmann & Co. Inc. as Placement Agent
Preferred Stocks & Warrants
May 2015
Amarantus BioSciences

$5,000,000

PIPE Investment
Series G Preferred Stock
April 2015
Professional Diversity Network

$5,000,000

Public Offering
Pursuant to S-3 Shelf Registration
Represent Aegis Capital as Undewriter
April 2015
Pegasi Energy Resources Corp.

$1,875,000

PIPE
Common Stock & Warrants
March 2015
Cell Source, Inc.

$500,000

PIPE
Promissory Notes
March 2015
SITO Mobile, Ltd.

$3,700,000

Acquisition of Hipcricket's Mobile Advertising Business
July 2015
Citius Pharmaceuticals, LLC

$270,000

PIPE
Common Stock & Warrants
March 2015
Dais Analytic Corporation

$2,750,000

PIPE
Common Stock
March 2015
Solar3D

$12,500,000

Public Offering & NASDAQ Uplisting
Offering underwritten by Cowen & Company LLC
Common Stock & Warrants
February 2015
CollabRX, Inc.

$3,000,000

Public Offering Pursuant to S-3 Registration
Common Stock
February 2015
CollabRX, Inc.

$5,520,000

Represented Aegis Capital Corp. as Sole Book-Running Manager
Public Offering
Common Stock & Warrants
February 2015
Actinium Pharmaceuticals Inc.

$20,000,000

Represented Laidlaw & Company (UK) Ltd.
Public Offering
Common Stock & Warrants
February 2015
Trovagene, Inc.

$23,000,000

Public Offering
Common Stock
February 2015
Tonix Pharmaceuticals Holding Corp.

$28,700,000

Public Offering
Common Stock
February 2015
Full Swing Golf Inc.

Endorsement deal with Tiger Woods

January, 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
SBI Investments LLC

$6,500,000

PIPE
Sold Membership Interests
December 2014
Can-Fite Biopharma Ltd.

$8,000,000

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

$200,000,000

Rule 144A Offering of 7.5% Convertible Senior Notes
November 2014
MV Augusta
Partnership with Mercedes-AMG
November 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
Towerstream Corporation

$35,000,000

Secured Financing
October 2014
Single Touch Interactive, Inc.

$11,000,000

PIPE & Financing from Fortress Investment Group
October 2014
Rightscorp, Inc.

$2,650,000

PIPE
September 2014
Citius Pharmacueticals, LLC

$2,040,000

Reverse Merger & PIPE
Labor Smart, Inc.

$1,100,000

Private Placement
Common Stock
August 2014
Intellect Neurosciences, Inc.

$1,200,000

PIPE
Preferred Stock & Warrants
July 2014
Tonix Pharmaceuticals Holding Corp.

$7,800,000

Public Offering
Common Stock
July 2014
Nanox Imaging PLC

$2,100,000

Represented J.P. Turner & Company
PIPE
Ordinary Shares
July 2014
Cell Source Ltd.
Reverse Merger
July 2014
CollabRx, Inc.

$1,800,000

Common Stock
Represented Underwriter
June 2014
NTS Inc.

$140,000,000

Acquisition
June 2014
Free Seas Inc.

$25,000,000

Public Offering
Preferred Stock & Warrants
June 2014
Zenovia Digital Exchange Corporation

$5,000,000

PIPE
Secured Notes & Warrants
June 2014
Vuzix Corporation

$3,000,000

PIPE
5% Secured Promissory Notes
June 2014
Sorrento Therapeutics, Inc.

$25,000,000

Public Offering
Common Stock
May 2014
Cyclacel Pharmaceuticals Inc.

$10,000,000

Secondary Public Offering
Represented Underwriter
Common Stock
April 2014
NovaBay Pharmaceuticals, Inc.

$6,720,000

Secondary Public Offering
Common Stock & Warrants
March 2014
Relmada Therapeutics Inc.

$10,000,000

PIPE
Common Stock & Warrants
May 2014
AV Therapeutics

$1,260,000

PIPE
Common Stock & Warrants
April 2014
UX2 Biosystems, Inc.

$2,500,000

PIPE
Promissory Notes & Common Stock Purchase Warrants
April 2014
ClearSign

$6,500,000

Registered Direct Offering
Represented Placement Agent
March 2014
Cell Source

$3,600,000

Common Stock, Warrants
February 2014
SMTP, Inc.

$10,000,000

Public Offering - Representing Aegis Capital Corp.
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
Tonix Pharmaceuticals Holding Corp.

$43,500,000

Shelf Takedown
February 2014
Xenetic BioSciences

$10,000,000

Reverse Merger & PIPE
Common Stock
February 2014
MusclePharm Corporation

$10,100,000

Purchase of Business Assets
January 2014
Intellicheck Mobilisa

$4,000,000

Common Stock
January 2014
Paulson Capital Corp

$250,000

Common Stock
January 2014