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.
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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 ten 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.
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. 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.
Mr. Heffernan has over five 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.
Mengjie “Stephanie” Hu
Ms. Hu has over five years of investment banking and financial services experience. She has completed over 100 transactions across a wide universe of industries, representing over $3.5 billion in aggregate value, and she has participated in multiple product offerings including IPOs, Follow-Ons, PIPEs, Private Placement, Uplistings/Re-“IPOs”, Reverse Mergers, Registered Directs, CMPOs, ATMs, SPACs and M&As. Prior to joining EF Hutton, Ms. Hu was an Investment Banking Senior Associate at Maxim Group LLC. Ms. Hu holds a Master’s in Finance from University of Rochester, and she is bilingual in English and Mandarin.
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 fourteen 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. 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 five 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.
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.
Mr. Birney has over twenty 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. 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.
Mr. Piggott has spent over fifteen years as a buy side analyst and sector portfolio manager covering a wide array of both international and domestic small cap companies. Mr. Piggott’s coverage universe has spanned across several industries including technology, healthcare, consumer discretionary, energy, utilities and industrials. Mr. Piggott began his career at Fidelity Management and Research Co. in 2002 as an Associate and was subsequently promoted to Analyst in 2005. From 2006-2008 Mr. Piggott was an Analyst at Legg Mason Capital Management. In 2008 Mr. Piggott returned to Fidelity as an Analyst and Sector Portfolio manager through 2017. Most recently Mr. Piggott has served as the Head of Corporate Development at privately held Laird Superfood, where he has led fund raising efforts as well as canvassed for M&A and new business opportunities. Mr. Piggott received his Bachelor of Science in Finance from Bentley University in 2002 and graduated with honors.
Mr. Davides has fifteen years of experience as both a sell-side and buy-side analyst, in addition to valuable industry and consulting experiences. Prior to joining EF Hutton, Constantine was a Managing Director for Westwicke ICR. Constantine’s focus at Westwicke was proving capital markets and investor relations advisory services to companies in the life sciences, healthcare services, and healthcare technology (HCIT) verticals. Before joining Westwicke, Constantine served as Healthcare Analyst at AlphaOne Capital Partners, where he had investment responsibilities for all healthcare subsectors within AlphaOne’s small and micro-cap portfolios. Prior to AlphaOne, Constantine served as the Healthcare Analyst for BlackRock’s small- and mid-cap growth funds, identifying investment opportunities across all healthcare subsectors, including biotech, pharmaceuticals, healthcare services, HCIT, and med-tech. Before his career on the buy side, Constantine spent five years at JMP Securities as an equity research analyst, with a focus on healthcare services and HCIT. Constantine also worked as an equity research analyst at both Susquehanna and Leerink prior to his tenure at JMP. Constantine began his career at Mercer Consulting but left to join CareTools, an HCIT vendor. Constantine also served as Director of Operations for privately-held Brandwise. Constantine received his MBA from Carnegie Mellon University and earned his BA from Wesleyan University. He is also a CFA charterholder.
Mr. Moore has spent more than fifteen years as an equity research analyst with extensive experience in sustainability related capital markets, companies, and technologies. Prior to joining EF Hutton, Chip spent more than 15 years with Canaccord Genuity in Equity Research, where he was a Director, specializing in the sustainability and industrial technology sectors. He joined the firm as an Associate in 2004 and has covered a broad array of companies across the energy technology, industrial, and technology sectors. He began his career conducting quantitative research at a financial software firm. Chip is a CFA charterholder and member of the Boston Security Analysts Society. He holds a BA in Economics from Wesleyan University.
Mr. Reilly has over six years of experience working in financial services and investment management. Mr. Reilly started his career in operations at BNY Mellon and most recently worked for a group of financial advisors at Ameriprise, where he performed investment analyses and constructed portfolios. His writings on special situations, as well as small-cap and micro-cap investment research, have been published on various websites with high praise. Mr. Reilly is passionate about finding security mispricings through special situations and in less efficient markets. Mr. Reilly holds a BS in Business Administration from both the Haub School of Business at Saint Joseph’s University and the Chartered Financial Analyst designation.
Deputy General Counsel | Head of Litigation
Mr. Whalen has over twenty-one years of experience as a litigator with a national practice counseling clients faced with complex business disputes. As lead counsel, he has tried dozens of cases before federal and state courts across the country, and arbitral tribunals (including FINRA). He regularly handled securities litigation, financial disputes, corporate governance / director and officer litigation, breaches of fiduciary duty, fraud, professional malpractice, employment law, and whistle-blower claims. He represented investment banks, hedge funds, public companies, directors and officers, and investors. He often represented clients seeking to enforce contractual covenants, including, rights of first refusal, lock-ups and non-dilution agreements, which included seeking and obtaining emergency applications for temporary restraining orders and preliminary injunctions. Mr. Whalen also has extensive experience conducting internal investigations for regulated businesses, including, broker-dealers. Prior to joining EF Hutton, Mr. Whalen was a partner at Gusrae Kaplan Nusbaum PLLC. Mr. Whalen received his J.D. from Fordham University School of Law.