Mr. Rallo has over fourteen years of investment banking and securities industry experience. He has completed a vast array of transactions across different product types, which include IPOs, Secondaries/Follow-on Offerings, Registered Directs, SPACs, PIPEs, Privates, Fixed Income and Fairness Opinions. His public and private offering transactional experience spans a broad range of industries, having completed over 300 equity and debt transactions representing over $50 billion in aggregate value. Mr. Rallo has also completed diverse Merger & Acquisitions assignments, including serving as strategic advisor to the Special Committees and Board of Directors of many public companies. Prior to joining EF Hutton, Mr. Rallo was Co-Head of Investment Banking/Managing Director at Aegis Capital, a Director in the Investment Banking Group at Maxim Group and previously, served as Vice President in the Financial Institutions & Real Estate Investment Banking Group at JMP Securities. Mr. Rallo received his BBA in Finance from the Mendoza College of Business at the University of Notre Dame.
Best in Class. Our team of experienced professionals is focused on helping our clients grow through a diverse suite of financing solutions.
Joseph T. Rallo
Chief Executive Officer
David W. Boral
Mr. Boral has over fourteen years of investment banking and capital markets experience. Mr. Boral has led and participated in transactions including IPOs, Secondaries/Follow-on Offerings, SPACs, PIPEs, Reverse Mergers, M&A, Bankruptcy/Restructurings, Cross Listings and other private and public offerings in the US and abroad. As a direct result of his transactional experience, Mr. Boral has an extensive network of relationships with public company management teams, board of director members and private equity investors. Prior to joining EF Hutton, Mr. Boral was with Aegis Capital Corp. as Co-Head of Investment Banking/Managing Director. Prior to that he was with Maxim Group as a Director in the Investment Banking Division. He also served as a Director at Aeon Funds from 2015 to 2016 and served on the Board of Viatar CTC Solutions in 2016. Mr. Boral received a BBA in Finance from the Lubin School of Business at Pace University.
Mr. Blumenthal has 10 years of experience as a securities, broker-dealer regulatory, and corporate attorney. His practice focused on public and private equity and debt finance transactions, mergers and acquisitions (including reverse mergers and SPAC transactions), securities law compliance, broker-dealer regulation, and corporate governance. He represented issuers, investment banks, and investors in connection with initial and follow-on public offerings and other registered and private offerings of equity and debt securities, including registered direct offerings, CMPOs, at-the-market offerings, PIPEs, public and private equity line transactions, debt-for-equity exchanges, and Rule 144A, Regulation S, and other cross-border securities offerings. His transaction experience spanned a broad range of industries. Mr. Blumenthal has extensive experience with applicable regulatory authorities, including the SEC, FINRA, the NYSE, and NASDAQ. His practice also included general corporate transactions, fund formation, and commercial matters. Prior to joining EF Hutton, Mr. Blumenthal was a partner at the law firms of Ellenoff Grossman & Schole LLP and Robinson Brog Leinwand Greene Genovese & Gluck P.C. Mr. Blumenthal received his J.D. from Hofstra University School of Law.
Kale Fein has served as a trusted advisor to financial institutions and financial sponsors for nearly 10 years. He has been involved in over 150 transactions for public and private companies, representing nearly $20 billion in transaction value. In addition to public and private equity and debt financings, Mr. Fein has an extensive strategic advisory background in buy-side and sell-side M&A, restructuring and cross-border transactions. Prior to joining EF Hutton, Mr. Fein was a Director at JMP Securities in financial services and real estate investment banking. Mr. Fein holds a B.A. from Claremont McKenna College where he was a Robert Day Scholar.
Managing Director | Head of Israel Investment Banking
Mr. Halpert has more than 25 years of equity research, investment banking and private equity investments experience servicing Israeli and US technology and healthcare companies. Mr. Halpert started his career at Salomon Brothers in London in equity research, as well as at Citigroup, Robertson Stephens and JP Morgan. Mr. Halpert has been involved with close to $10 billion in M&A and equity offerings. Mr. Halpert graduated with honors (BS) from the State University of New York, College of New Paltz and an MS from the University of Illinois in Chicago.
Mr. Imas has over twenty years of corporate finance and investment banking experience in the lower-middle markets. Throughout his career, Mr. Imas has closed over 80 publicly traded transactions providing full-service banking including public offerings, debt and equity private placements and Mergers & Acquisitions. Mr. Imas also provided strategic advisory services for over 20 public companies. His strength lies in the relationships he forges with C-Level executives and institutional investors, enabling Mr. Imas to build shareholder value with every deal that he closes. It has also paved the way for several entrepreneurial ventures as co-founder of healthcare, technology, and financial services companies. Ariel holds a Bachelor’s degree in Business Administration from the Lubin School of Business at Pace University.
Mr. Verma has been covering the Technology, Media, and Telecom sector for over a decade and has executed over $100bn+ in transactions encompassing sell-side / buy-side M&A, IPOs, equity offerings, SPACs, converts, high-yield and investment grade financings. Mr. Verma has advised C-Suite executive teams of various corporate clients on mergers and acquisition assignments, business development opportunities, growth strategies and capital allocation policies. Prior to joining EF Hutton, Mr. Verma was a Director at Nomura spearheading the TMT coverage efforts and executed several financial and strategic transactions. Prior to Nomura, Mr. Verma was a Senior Vice President at Bank of America Merrill Lynch within their TMT investment banking group. Mr. Verma received his MBA in Finance and Entrepreneurship from NYU Stern School of Business and BS in Computer Science and Economics from Rutgers University.
Mr. Zucker has nine years of financial services experience working as a Research Analyst. Mr. Zucker was previously the Head of Specialty Finance Research at Aegis Capital where he covered Equity REITs and Specialty Finance Companies. Before that, Mr. Zucker was a Director at BTIG covering Mortgage REITs and other real estate finance-related companies. Prior to that, he worked at JMP Securities as a Vice President on the Mortgage REIT research team. Mr. Zucker began his career in sell-side equity research at Pritchard Capital Partners where he focused on the oilfield services sector. Ben graduated with Honors from Tulane University with a BS in Management, a Specialization in Energy Markets and a minor in Spanish.
Mr. Forte has over twelve years of experience in the financial industry, in both retail and corporate advisory capacities. Mr. Forte has participated in hundreds of both public and private transactions across a wide array of industries, including life science, bio-technology, energy, consumer goods, and technology. Previously, Mr. Forte worked as a director at Kensington Analytics, a mutual fund distribution firm, where he successfully helped launch numerous 1940 Act funds, representing over 1 billion in AUM. Prior to that, Mr. Forte worked as a retail advisor, focusing solely on banking deals at Maxim Group, Coastal Equities and Morgan Stanley. Mr. Forte attended West Virginia University where he was captain of the lacrosse team and an active member of the investment and business fraternity, Delta Sigma Pi.
Mr. Heffernan has over 5 years of investment banking and financial services experience prior to joining EF Hutton. Mr. Heffernan has completed over 150 transactions, representing over $5 billion in aggregate value, touching a wide universe of industries across the emerging growth market. His transaction experience covers multiple product offerings including Uplistings/Re-“IPOs”, Registered Directs, CMPOs, ATMs, Rights Offerings, IPOs, Follow-Ons, PIPEs, Privates, Reg A, SPACs, Fairness Opinions and M&A mandates. Prior to joining EF Hutton, Mr. Heffernan was an Investment Banking Analyst at Guggenheim Securities LLC. He holds a Bachelors of Arts in International Business & Management from Dickinson College.
Mr. Erbe has extensive experience in the financial services industry. Mr. Erbe has completed and supported more than one hundred transactions totaling over $2 billion in transactional value in both investment banking and investment management roles. Mr. Erbe currently spearheads the SPAC practice at EF Hutton, advising clients on IPO structuring, De-SPAC execution, and marketing efforts. In addition to the SPAC practice, Mr. Erbe has experience executing on a variety of product offerings including IPOs, Follow-On offerings, Uplistings, Registered Directs and PIPEs, among other public and private investment structures. Prior to joining EF Hutton, Mr. Erbe had roles in middle market private credit investment management, targeting distressed operating companies. Mr. Erbe holds a Bachelor of Science in Finance from the Gabelli School of Business at Fordham University.
Head of Capital Markets
Mr. Tsuker has spent more than twenty years in investment banking and corporate finance, servicing emerging growth, small cap and middle market companies, specializing in life sciences, healthcare, technology, energy, metals and mining. Previously, Mr. Tsuker was Managing Director, Head of Global Syndicate at Aegis Capital Corp. Prior to joining Aegis Capital in 2010, Mr. Tsuker held senior management positions with Knight Capital Group and Maxim Group LLC, where he was responsible for structuring, closing and participating in over 500 equity offerings. Throughout his employment at the above-mentioned institutions he was responsible for raising more than $10 billion for emerging growth companies.
Co-Head of Family Office | Managing Director – Institutional Sales
Mr. Barkauskas has over twenty-five years of Wall Street experience working closely with many of the largest and most sophisticated investors domestically and Globally. Immediately prior to joining EF Hutton, Chris was Managing Director of Institutional Sales and Co-Director of the Family Office Group at JMP, which he co-founded with his partner Laura Hickman. He has 2 decades of transaction experience at bulge bracket and boutique firms such as Bank of America and Cowen & Company, which combined with his market intelligence has made him a trusted resource for his extensive list of clients.
Co-Head of Family Office | Managing Director – Institutional Sales
Ms. Hickman has over 14 years of Wall Street experience. Prior to joining EF Hutton, Laura was a Managing Director of Institutional Sales and the Co-Director of the Family Office Group at JMP Securities, which she co-founded with Chris Barkauskas. Laura’s track record of success has been rooted in founding, fostering, and cultivating client relationships ranging from large institutional investors to private family capital. She holds vast product knowledge across multiple sectors as well as public and private capital raise transaction experience. Laura attended Boston College and holds a Bachelor of Science from the Carroll School of Management.
Mr. Birney has over 20 years of experience in the financial services industry, with roles varying from Equity Sales and Trading to Research Sales and in Capital Markets. Mr. Birney was part of Equity Sales and Trading at Cantor Fitzgerald and then expanded his financial services skill set to include Research Sales, working closely with the analysts to grow their exposure to the buyside while at both Global Hunter and Drexel Hamilton. Previous to his position at EF Hutton, he worked in both the Capital Markets and Research Sales departments at Maxim Group. Mr. Birney received a BS in Finance from the Smeal College of Business at Penn State University.
Mr. Ferrari has over twenty years of corporate finance and investment banking experience, advising C-Level executives and the Boards of Directors at public companies. He has completed more than 80 transactions including public offerings, debt and equity private placements and Mergers & Acquisitions. In addition, he has executed dozens of strategic advisory engagements. Mr. Ferrari proudly serves on the board of directors for Cents Ability, Inc., a 501C-3 non-profit based in NYC. He received a BA in Economics from Wheaton College in Norton, MA. Mr. Ferrari was awarded Wheaton College’s Young Alumni Achievement Award in 2006.
Mr. Friedensohn has over 5 years of investment banking and capital markets experience across fixed income and equity derivatives, completing well over than $10 billion in aggregate capital raises. Mr. Friedensohn began his career at Goldman Sachs as a credit analyst and bond trader before joining Goldman’s equity derivatives team within the investment banking division. His transaction experience includes Convertible Debt, Convertible Preferreds, PIPEs, Follow-Ons, SPACs, IPOs, ASRs, Margin Loans, Call Spreads, Straight Debt, Equity Flushdown Refinancing, Derivative Hedge Unwinding, tenders and more. During his career, Blair has covered various sectors including public and private infrastructure, industrials, and technology. Mr. Friedensohn also proudly serves as a board member and coach for KEEN NYC, a 501C-3 non-profit for disabled children. Blair graduated from Dartmouth College where he received a BA in Government and earned Academic All-Ivy honors.
Mr. Pan-Kita has over twenty-five years of experience, ranging from managing multi-billion dollar global fixed income portfolios to spearheading global strategy/structuring teams in both the fixed income and equity capital markets. He has managed banking teams covering the entire vertical financing and placement process and has provided corporate advisory and banking transactions in of capital raising, asset-liability management, restructurings and special situations. He has extensive product knowledge in structured credit, distressed debt, private equity and alternative investments. He graduated with a MBA from the Stern School of Business at New York University, where he received the Stern Academic Scholarship. He is a major sponsor of the fine & performing arts.
Mr. Sands has extensive experience in the capital markets and investment banking industry. Having collectively completed over 100 transactions representing over 5 billion dollars in aggregate capital. His transaction experience includes IPOs, SPACS, rights offerings, CMPOs, follow-on-offerings, PIPEs, Reg A financings, Private placements, Registered Directs, convertible debt offerings, and preferred stock offerings. Prior to joining EF Hutton, Mr. Sands held roles at Think Equity and The Benchmark Company, where he worked on raising institutional capital for private and public biotechnology, healthcare, and technology companies. Mr. Sands holds a Bachelor of Arts in Economics from Lafayette College where he was a member of the men’s lacrosse team.
Mr. Seltzberg has spent over twenty years in financial and capital markets consulting, working with companies of every sector and stage, from start-ups to 70-year global franchises. A recognized domain expert in the agency investor relations field, he has led and executed thousands of NDRs and video conferences with investors, has collaborated on over $50M in equity transactions and retains exceptional relationships with hundreds of issuers, equity fund managers, and other financial professionals across the country. Earlier in his career he worked at various financial services companies including JP Morgan Securities and Investments, Alliance Bernstein Funds, and Alliance/Equitable Capital Management. He earned his MBA at Fordham University in 1998 and completed Leadership Training coursework at the Dale Carnegie Institute in New York.
Head of Wealth Management
Mr. Reed has over a decade of experience in the retail markets, focusing on emerging growth, small, and middle market companies in bio-technology, healthcare, technology and energy. Throughout his career, he has helped raise capital for numerous IPOs, secondary offerings, PIPEs and SPACs. He currently holds his series 7, 24, 63, 65 and Insurance Licenses. Mr. Reed previously worked at Maxim Group, LLC and Dawson James Securities, LLC before joining the team at EF Hutton. He graduated from Villanova University with a Economics Bachelor of Arts Degree and remains an avid Wildcats fan.