EF Hutton

Transaction History

EF Hutton Transactions

Golden Matrix Group, Inc.
(Nasdaq: GMGI)
$ 3,475,003
Registered Direct Offering
Exclusive Placement Agent
October 2021
Press Release
Fintech Ecosystem Development Corp.
(Nasdaq: FEXDU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
October 2021
Press Release
Superior Drilling Products, Inc.
(NYSE: SDPI)
$ 2,000,000
Registered Direct Offering
Exclusive Placement Agent
October 2021
Press Release
Healthcare Triangle, Inc.
(Nasdaq: HCTI)
$ 13,050,000
Initial Public Offering
Sole Bookrunner
October 2021
Press Release
Fat Projects Acquisition Corp.
(Nasdaq: FATPU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
October 2021
Press Release
Greenidge Generation Holdings Inc.
(Nasdaq: GREE)
$ 55,200,000
Senior Notes
Lead Manager
October 2021
Press Release
Maxpro Capital Acquisition Corp.
(Nasdaq: JMACU)
$ 103,500,000
SPAC IPO
Sole Bookrunner
October 2021
Press Release
Parsec Capital Acquisitions Corp.
(Nasdaq: PCXCU)
$ 86,250,000
SPAC IPO
Sole Bookrunner
October 2021
Press Release
Healthcare Trust, Inc.
(Nasdaq: HTIA)
$ 90,750,000
Preferred Stock Offering
Co-Manager
October 2021
Press Release
PEDEVCO Corp.
(NYSE: PED)
$ 7,000,002
Registered Direct Offering
Joint Placement Agent
October 2021
Press Release
LifeMD, Inc.
(Nasdaq: LFMD)
$ 35,000,000
Preferred Stock Offering
Joint Bookrunner
September 2021
Press Release
Guardforce AI Co., Ltd.
(Nasdaq: GFAI)
$ 15,000,000
Underwritten Public Offering
and Uplisting
Sole Bookrunner
September 2021
Press Release
HHG Capital Corp.
(Nasdaq: HHGCU)
$ 57,500,000
SPAC IPO
Joint Bookrunner
September 2021
Press Release
Aesther Healthcare Acquisition Corp.
(Nasdaq: AEHAU)
$ 105,000,000
SPAC IPO
Sole Bookrunner
September 2021
Press Release
Pasithea Therapeutics Corp.
(Nasdaq: KTTA)
$ 24,000,000
Initial Public Offering
Sole Bookrunner
September 2021
Press Release
Digital World Acquisition Corp.
(Nasdaq: DWACU)
$ 287,500,000
SPAC IPO
Sole Bookrunner
September 2021
Press Release
Digital Brands Group, Inc.
(Nasdaq: DBGI)
$ 5,265,000
Private Placement
Exclusive Placement Agent
September 2021
Press Release
Charah Solutions, Inc.
(NYSE: CHRA)
$ 135,000,000
Senior Notes
Lead Manager
August 2021
Press Release
DatChat, Inc.
(Nasdaq: DATS)
$ 13,799,999
Initial Public Offering
Lead Bookrunner
August 2021
Press Release
PHP Ventures Acquisition Corp.
(Nasdaq: PPHPU)
$ 57,500,000
SPAC IPO
Sole Bookrunner
August 2021
Press Release
Pono Capital Corp.
(Nasdaq: PONOU)
$ 115,000,000
SPAC IPO
Sole Bookrunner
August 2021
Press Release
BioVie, Inc.
(Nasdaq: BIVI)
$ 20,736,000
Underwritten Public Offering
Financial Advisor
August 2021
Press Release
TRxADE HEALTH, Inc.
(Nasdaq: MEDS)
$ 9,000,000
ATM Offering
Sales Agent
August 2021
Nova Vision Acquisition Corp.
(Nasdaq: NOVVU)
$ 57,500,000
SPAC IPO
Joint Bookrunner
August 2021
Press Release
Gladstone Acquisition Corp.
(Nasdaq: GLEEU)
$ 104,924,800
SPAC IPO
Sole Bookrunner
August 2021
Press Release
B. Riley Financial, Inc.
(Nasdaq: RILY)
$ 316,250,000
Senior Notes
Lead Manager
August 2021
Press Release
IDW Media Holdings, Inc.
(NYSE: IDW)
$ 10,350,000
Underwritten Public Offering
and Uplisting
Sole Bookrunner
August 2021
Press Release
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)
$ 11,496,384
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
brokercheck-logo

This site has been designed for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any security which may be referenced upon the site. Such offers can only be made where lawful under applicable law. The services and information provided through this site are for personal, noncommercial use and display. Benchmark Investments, LLC does not intend to provide investment advice through this site and does not represent that the securities or services discussed are suitable for any investor. Investors are advised not to rely on any information contained in the site in the process of making a fully informed investment decision. Benchmark Investments, LLC does not, and this site does not intend to, render tax or legal advice. Individuals and firms may only transact business in a jurisdiction after satisfying its licensing and qualification requirements or after being excluded or exempted. Investment adviser agents and investment adviser representatives are some of the common names for registered individuals and firms. Consumers should contact securities law administrators in their jurisdiction for information concerning the license status or disciplinary history of a registered individual or firm. Summaries of information regarding registered agents and principals of Benchmark Investments, LLC and regarding the firm may be found at https://brokercheck.finra.org. Comparable Services may be available for a lower cost. Benchmark Investments, LLC. is not responsible for the collection, use or security of information by companies or organizations outside of Benchmark Investments, LLC. that may be linked to our websites. Links to non-Benchmark Investments, LLC sites are provided for convenience only and are accessed at your own risk. The information available on these sites has been produced by unaffiliated third parties and Benchmark Investments, LLC. does not guarantee its timeliness, sequence, accuracy, adequacy or completeness and make no warranties with respect to results to be obtained from its use. Any opinions or recommendations expressed therein are solely those of the third party information providers and are not the opinions or recommendations of Benchmark Investments, LLC. No endorsement of third party products, services or information is expressed or implied by any information, material or content referred to or included on, or linked from or to this website. Under no circumstances should the information be construed as an offer to sell or solicitation of an offer to buy a particular security. Consumers are encouraged to read the privacy policies of websites reached through the use of links from the Benchmark Investments, LLC. website. Clearing Services provided RBC Correspondent Services, Inc. Benchmark Investments, LLC is a member of FINRA and SIPC.