EF Hutton

Transaction History

EF Hutton Transactions

HCW Biologics, Inc.
(Nasdaq: HCWB)
$ 56,000,000
Initial Public Offering
Sole Bookrunner
July 2021
Press Release
TradeUP Acquisition Corp.
(Nasdaq: UPTDU)
$ 44,300,000
SPAC IPO
Joint Bookrunner
July 2021
Press Release
Applied UV, Inc.
(Nasdaq: AUVI)
$ 13,800,000
Preferred Stock Offering
Joint Bookrunner
July 2021
Press Release
AgriFORCE Growing Systems, Ltd.
(Nasdaq: AGRI)
$ 15,639,994
Initial Public Offering
Sole Bookrunner
July 2021
Press Release
Protagenic Therapeutics, Inc.
(Nasdaq: PTIX)
$ 10,000,000
ATM Offering
Sales Agent
July 2021
Sonim Technologies, Inc.
(Nasdaq: SONM)
$ 10,000,000
ATM Offering
Sales Agent
June 2021
The Glimpse Group, Inc.
(Nasdaq: VRAR)
$ 14,087,500
Initial Public Offering
Sole Bookrunner
June 2021
Press Release
Synchronoss Technologies, Inc.
(Nasdaq: SNCR)
$ 125,000,000
Senior Notes
Lead Manager
June 2021
Press Release
G Medical Innovations Holdings, Ltd.
(Nasdaq: GMVD)
$ 15,000,000
Initial Public Offering
Sole Bookrunner
June 2021
Press Release
Grove, Inc.
(Nasdaq: GRVI)
$ 12,650,000
Initial Public Offering
Sole Bookrunner
June 2021
Press Release
Northern Lights Acquisition Corp.
(Nasdaq: NLITU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
June 2021
Press Release
Global Self Storage, Inc.
(Nasdaq: SELF)
$ 6,900,002
Underwritten Public Offering
Sole Bookrunner
June 2021
Press Release
Grom Social Enterprises, Inc.
(Nasdaq: GROM)
$ 11,496,383
Underwritten Public
Offering and Uplisting
Sole Bookrunner
June 2021
Press Release
Splash Beverage Group Inc.
(NYSE: SBEV)
$ 15,000,000
Uplisting
and Underwritten Public Offering
Sole Bookrunner
June 2021
Press Release
Global Consumer Acquisition Company
(Nasdaq: GACQU)
$ 182,630,000
SPAC IPO
Sole Bookrunner
June 2021
Press Release
American Resources Corporation
(Nasdaq: AREC)
$ 30,100,000
Registered Direct
Exclusive Placement Agent
June 2021
Press Release
Atlanticus Holdings Corporation
(Nasdaq: ATLC)
$ 79,713,325
Preferred Stock Offering
Lead Manager
June 2021
Press Release
CEL-SCI Corporation
(NYSE: CVM)
$ 36,418,200
Bought Underwritten Public Offering
Sole Bookrunner
June 2021
Press Release
Taronis Fuels, Inc.
(OTCQB: TRNF)
$ 16,496,004
Private Placement
Executive Placement Agent
June 2021
Press Release
COMSovereign Holding Corp.
(Nasdaq: COMS)
$ 10,000,000
Private Placement
Financial Advisor
May 2021
Press Release
SANUWAVE Health, Inc.
(OTCQB: SNWV)
Private Placement
Exclusive Placement Agent
May 2021
Aries I Acquisition Corporation
(Nasdaq: RAMMU)
$ 143,750,000
SPAC IPO
Joint Bookrunner
May 2021
Press Release
Digital Brands Group, Inc.
(Nasdaq: DBGI)
$ 11,499,999
Initial Public Offering
Sole Bookrunner
May 2021
Press Release
Monaker Group, Inc.
(Nasdaq: MKGI)
$ 9,286,250
Underwritten Public Offering
Sole Bookrunner
May 2021
Press Release
Data Knights Acquisition Corporation
(Nasdaq: DKDCU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
May 2021
Press Release
Maquia Capital Acquisition Corporation
(Nasdaq: MAQCU)
$ 173,097,190
SPAC IPO
Sole Bookrunner
May 2021
Press Release
Babcock & Wilcox Enterprises, Inc.
(NYSE: BW)
$ 111,117,500
Preferred Stock Offering
Lead Manager
May 2021
Alfi, Inc.
(Nasdaq: ALF)
$ 17,807,840
Initial Public Offering
Sole Bookrunner
May 2021
Press Release
Protagenic Therapeutics, Inc.
(Nasdaq: PTIX)
$ 13,197,000
Uplisting
and Underwritten Public Offering
Sole Bookrunner
April 2021
Press Release
Troika Media Group, Inc.
(Nasdaq: TRKA)
$ 24,000,002
Initial Public Offering
Sole Bookrunner
April 2021
Press Release
Muscle Maker Grill
(Nasdaq: GRIL)
Advisory
Financial Advisory
April 2021
LIZHI Inc.
(Nasdaq: LIZI)
$ 30,000,002
Registered Direct
Exclusive Placement Agent
April 2021
Press Release
Medalist Diversified REIT, Inc.
(Nasdaq: MDRR)
$ 12,000,000
Underwritten Public Offering
Sole Bookrunner
April 2021
Press Release
Dragon Victory International Limited
(Nasdaq: LYL)
$ 6,000,000
Private Placement
Exclusive Placement Agent
March 2021
Integrated Ventures, Inc.
(OTCPK: INTV)
$ 9,000,000
Registered Direct
Exclusive Placement Agent
March 2021
Press Release
Wizard Brands, Inc.
(OTCPK: WIZD)
Private Placement
Placement Agent
March 2021
B. Riley Financial, Inc.
(Nasdaq: RILY)
$ 159,493,250
Senior Notes
Co-Manager
March 2021
Infinity Energy Resources, Inc.
(OTCPK: IFNY)
Advisory
Financial Advisor
March 2021
Agriforce Growing Systems, Ltd.
Private Placement
Placement Agent
March 2021
IMAC Holdings, Inc.
(Nasdaq: IMAC)
$ 19,550,000
Underwritten Public Offering
Sole Bookrunner
March 2021
Press Release
Grom Social Enterprises Inc.
(OTCPK: GRMM)
Private Placement
Placement Agent
March 2021
Healthcare Triangle Inc.
$ 4,000,000
Private Placement
Placement Agent
March 2021
American Acquisition Opportunity Inc.
(Nasdaq: AMAOU)
$ 105,060,020
SPAC IPO
Sole Bookrunnner
March 2021
Press Release
Cootek (Cayman) Inc.
(NYSE: CTK)
$ 20,000,000
Private Placement
Exclusive Placement Agent
March 2021
The Glimpse Group
Private Placement
Placement Agent
March 2021
Hoth Therapeutics Inc.
(Nasdaq: HOTH)
$ 15,000,000
Private Placement
Placement Agent
March 2021
GreenBox POS
(Nasdaq: GBOX)
$ 50,111,250
Uplisting
and Underwritten Public Offering
Sole Bookrunner
February 2021
Press Release
Gaucho Group Holdings, Inc.
(Nasdaq: VINO)
$ 8,000,004
Uplisting
and Underwritten Public Offering
Sole Bookrunner
February 2021
Press Release
U.S. Energy Corp.
(Nasdaq: USEG)
$ 5,771,160
Underwritten Public Offering
Sole Bookrunner
February 2021
Press Release
Longeveron
(Nasdaq: LGVN)
$ 29,100,000
Initial Public Offering
Sole Bookrunner
February 2021
Press Release
Babcock & Wilcox Enterprises, Inc.
(NYSE: BW)
$ 125,000,000
Senior Notes Offering
Co-Manager
February 2021
Press Release
COMSovereign Holding Corp.
(Nasdaq: COMS)
$ 27,599,997
Underwritten Public Offering
Sole Bookrunner
February 2021
Press Release
Reliance Global Group
(Nasdaq: RELI)
$ 12,420,000
Uplisting
and Underwritten Public Offering
Sole Bookrunner
February 2021
Press Release
SPI Energy Co., Ltd.
(Nasdaq: SPI)
$ 14,732,396
Registered Direct
Placement Agent
February 2021
Press Release
PEDEVCO Corp.
(NYSE: PED)
$ 8,952,750
Underwritten Public Offering
Sole Bookrunner
February 2021
Press Release
Digital Ally Inc.
(Nasdaq: DGLY)
$ 40,040,000
Registered Direct
Exclusive Placement Agent
January 2021
Press Release
Cootek (Cayman) Inc.
(NYSE: CTK)
$ 10,000,000
Private Placement
Exclusive Placement Agent
January 2021
COMSovereign Holding Corp.
(Nasdaq: COMS)
$ 17,365,435
Uplisting
and Underwritten Public Offering
Sole Bookrunner
January 2021
Press Release
B. Riley Financial, Inc.
(Nasdaq: RILY)
$ 230,000,000
Senior Notes
Co-Manager
January 2021
Press Release
Dragon Victory International Limited
(Nasdaq: LYL)
$ 2,000,000
Private Placement
Exclusive Placement Agent
January 2021
FoxWayne Enterprises Acquisition Corp.
(Nasdaq: FOXWU)
$ 57,500,000
SPAC IPO
Sole Bookrunner
January 2021
Press Release
Cootek (Cayman) Inc.
(NYSE: CTK)
$ 10,000,000
Private Placement
Exclusive Placement Agent
January 2021
Gladstone Land Corp.
(Nasdaq: LAND)
$ 52,500,000
Preferred
Series D Cumulative Term
January 2021
Digital Ally Inc.
(Nasdaq: DGLY)
$ 30,955,000
Registered Direct
Exclusive Placement Agent
January 2021
Press Release
Benessere Capital Acquisition Corp.
(Nasdaq: BENEU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
January 2021
Press Release
Monaker Group
(Nasdaq: MKGI)
$ 8,855,000
Bought Underwritten Public Offering
Joint Bookrunner
December 2020
Press Release
GreenBox POS
(OTCQB: GRBX)
$ 3,200,000
Private Placement
Exclusive Placement Agent
December 2020
Ontrak, Inc.
(Nasdaq: OTRK)
$ 42,817,500
Follow-On Offering
Co-Manager
December 2020
Press Release
CEL-SCI Corporation
(NYSE: CVM)
$ 14,650,000
Bought Underwritten Public Offering
Joint Bookrunner
December 2020
Press Release
AMMO Inc.
(Nasdaq: POWW)
$ 20,682,749
Uplisting
Joint Bookrunner
December 2020
Press Release
SPI Energy Co., Ltd.
(Nasdaq: SPI)
$ 35,019,900
Registered Direct
Placement Agent
December 2020
Press Release
Kingswood Acquisition Corp.
(NYSE: KWAC)
$ 115,000,000
SPAC IPO
Issuer
November 2020
Press Release
Dragon Victory International Limited
(Nasdaq: LYL)
$ 1,500,000
Private Placement
Exclusive Placement Agent
November 2020
Taronis Fuels, Inc.
(OTCQB: TRNF)
$ 10,425,000
Private Placement
Exclusive Placement Agent
November 2020
Press Release
U.S. Energy Corp.
(Nasdaq: USEG)
$ 3,450,000
Follow-On Offering
Sole Bookrunner
November 2020
Press Release
Medalist Diversified REIT
(Nasdaq: MDRR)
$ 5,000,000
Private Placement
Exclusive Placement Agent
October 2020
Press Release
GreenBox POS
(OTCQB: GRBX)
$ 3,850,000
Private Placement
Exclusive Placement Agent
October 2020
Press Release
Hyde Caviar, LLC
$ 3,150,000
Debt Financing
Financial Advisor
October 2020
Taronis Fuels, Inc.
(OTCQB: TRNF)
$ 10,850,000
Private Placement
Exclusive Placement Agent
October 2020
Press Release
Molecular Data Inc.
(Nasdaq: MKD)
$ 5,000,000
Private Placement
Exclusive Placement Agent
October 2020
Gladstone Land Corp.
(Nasdaq: LAND)
$ 23,760,000
Follow-On Offering
Co-Manager
October 2020
Press Release
American Resources Corp.
(Nasdaq: AREC)
$ 13,000,000
Registered Direct
Exclusive Placement Agent
October 2020
Press Release
Presidio Property Trust
(Nasdaq: SQFT)
$ 2,500,000
Initial Public Offering
Sole Bookrunner
October 2020
Press Release
SPI Energy Co., Ltd.
(Nasdaq: SPI)
$ 16,005,600
Registered Direct
Exclusive Placement Agent
September 2020
Press Release
U.S. Energy Corp.
(Nasdaq: USEG)
$ 1,658,003
Registered Direct
Exclusive Placement Agent
September 2020
Press Release
BioVie Inc.
(Nasdaq: BIVI)
$ 17,999,800
Uplisting
Joint Bookrunner
September 2020
Press Release
Muscle Maker Grill
(Nasdaq: GRIL)
$ 5,600,000
Follow-On Offering
Joint Bookrunner
September 2020
Press Release
Ontrak
(Nasdaq: OTRK)
$ 42,500,000
Preferred / Senior Notes
Co-Manager
August 2020
Press Release
NanoViricides
(AMEX: NNVC)
$ 50,000,000
ATM Offering
Sales Agent
July 2020
Nemaura Medical Inc.
(Nasdaq: NMRD)
$ 11,500,000
Underwritten Public Offering
Exclusive Placement Agent
July 2020
Press Release
Monaker Group
(Nasdaq: MKGI)
$ 2,000,000
Registered Direct
Exclusive Placement Agent
July 2020
Press Release
NanoViricides
(AMEX: NNVC)
$ 11,500,000
Follow-On Offering
Sole Bookrunner
July 2020
Press Release
NanoViricides
(AMEX: NNVC)
$ 10,220,000
Registered Direct
Placement Agent
May 2020
Press Release

Past Transactions

Note: includes transactions completed prior to joining Kingswood Capital Markets

IDW Media Holdings, Inc.
(OTCPK: IDWM)
$ 12,300,000
Private Placement
Financial Advisor
March 2020
Digital Ally
(Nasdaq: DGLY)
$ 2,900,000
Follow-On Offering
Sole Bookrunner
February 2020
Document Security Systems
(NYSE: DSS)
$ 4,600,000
Follow-On Offering
Sole Bookrunner
February 2020
Medalist Diversified REIT
(Nasdaq: MDRR)
$ 4,600,000
Preferred / Senior Notes
Sole Bookrunner
February 2020
Zedge, Inc.
(NYSE: ZDGE)
$ 2,250,000
Registered Direct
Financial Advisor
February 2020
Ondas Networks
(OTCPK: ONDS)
Financial Advisor
February 2020
IQ International
(ETR: IQL)
Financial Advisor
February 2020
Avinger
(Nasdaq: AVGR)
$ 4,500,000
Follow-On Offering
Sole Bookrunner
January 2020
NanoViricides
(AMEX: NNVC)
$ 8,625,000
Follow-On Offering
Sole Bookrunner
January 2020
Torchlight
(Nasdaq: TRCH)
$ 2,300,000
Follow-On Offering
Sole Bookrunner
January 2020
CEL-SCI Corporation
(NYSE: CVM)
$ 6,325,000
Follow-On Offering
Sole Bookrunner
December 2019
Indonesia Energy Corp.
(NYSE: INDO)
$ 15,000,007
Sole Bookrunner
December 2019
Scynexis
(Nasdaq: SCYX)
$ 35,000,000
Follow-On Offering
Co-Manager
December 2019
Arcimoto
(Nasdaq: FUV)
$ 9,000,000
Follow-On Offering
Joint Bookrunner
November 2019
Document Security Systems
(NYSE: DSS)
$ 1,822,200
Private Placement
Placement Agent
November 2019
Indonesia Energy Corp.
(NYSE: INDO)
Financial Advisor
October 2019
Cocrystal Pharma
(Nasdaq: COCP)
$ 3,000,000
Follow-On Offering
Sole Bookrunner
October 2019
Happiness Biotech
(Nasdaq: HAPP)
$ 11,000,000
Co-Manager
October 2019
Stemline Therapeutics, Inc.
(Nasdaq: STML)
$ 76,250,000
Follow-On Offering
Co-Manager
August 2019
Sigma Labs
(Nasdaq: SGLB)
$ 2,300,000
Follow-On Offering
Sole Bookrunner
July 2019
Tonix Pharmaceuticals
(Nasdaq: TNXP)
$ 5,400,000
Follow-On Offering
Sole Bookrunner
July 2019
Document Security Systems
(NYSE: DSS)
$ 5,859,593
Follow-On Offering
Sole Bookrunner
June 2019
Gladstone Land
(Nasdaq: LAND)
$ 23,460,000
Follow-On Offering
Co-Manager
June 2019
Jiayin Group Inc
(Nasdaq: JFIN)
$ 36,750,000
Follow-On Offering
Co-Manager
May 2019
Medalist Diversified REIT
(Nasdaq: MDRR)
$ 9,199,167
Follow-On Offering
Sole Bookrunner
May 2019
Genetic Technologies
(Nasdaq: GENE)
$ 1,180,917
Sole Bookrunner
May 2019
Medalist Diversified REIT
(Nasdaq: MDRR)
$ 1,299,998
Private Placement
Placement Agent
May 2019
Monaker Group
(Nasdaq: MKGI)
$ 1,740,000
Follow-On Offering
Co-Manager
April 2019
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