Financial Planning

FINRA Finds No Big Placement-Agent Abuses

The Financial Industry Regulatory Authority has not found any major abuses from its targeted examinations of broker-dealers that were either placement agents or worked with such agents to obtain ...
Business Insider

E.F. Hutton & Co. Acts as Exclusive Placement Agent in iSpecimen Inc.’s ~$5.5 Million Private Placement

MANHATTAN, N.Y., Jan. 06, 2026 (GLOBE NEWSWIRE) -- E.F. Hutton & Co., a Manhattan-headquartered investment bank and broker-dealer, today announced that it acted as the exclusive placement agent in ...
Nasdaq

Chaince Securities LLC Serves as Exclusive Placement Agent in Trident Digital Tech Holdings’ $2.6 Million Private Placement

New York, NY, Sept. 17, 2025 (GLOBE NEWSWIRE) -- Chaince Securities LLC (“Chaince”), a FINRA-registered broker-dealer and subsidiary of Mercurity Fintech Holding Inc. (NASDAQ: MFH), today announced ...
Seeking Alpha

Eaton Partners Acts as Exclusive Placement Agent for SKY Leasing Fund V

STAMFORD, Conn., Jan. 31, 2023 (GLOBE NEWSWIRE) -- Eaton Partners (“Eaton”), one of the largest placement agents and financial advisory firms and a wholly-owned subsidiary of Stifel Financial Corp.
Seeking Alpha

Eaton Partners Acts as Exclusive Placement Agent to Formentera Partners

STAMFORD, Conn., Oct. 29, 2025 (GLOBE NEWSWIRE) -- Eaton Partners (“Eaton”), one of the largest placement agents and fund advisory firms and a wholly owned subsidiary of Stifel Financial Corp. (SF), ...
Morningstar

Spartan Capital Securities, LLC Serves as Placement Agent in Lixte Biotechnology Holdings, Inc.’s $5.0 Million Private Placement

New York, NY, July 08, 2025 (GLOBE NEWSWIRE) -- Spartan Capital Securities, LLC, a premier investment banking firm, is pleased to announce the closing of a $5.0 million private placement for Lixte ...
Business Insider

Chaince Securities LLC Serves as Exclusive Placement Agent in Wellchange Holdings’ (NASDAQ: WCT) $4 Million Private Placement

New York, NY, Sept. 22, 2025 (GLOBE NEWSWIRE) -- Chaince Securities LLC (“Chaince”), a FINRA-registered broker-dealer and subsidiary of Mercurity Fintech Holding Inc. (NASDAQ: MFH), today announced ...
KTLA

Reed Smith serves as legal counsel to placement agents in Trump Media's $2.5 billion bitcoin treasury deal

MIAMI, June 13, 2025 /PRNewswire/ -- Global law firm Reed Smith served as legal counsel to the placement agents in Trump Media and Technology Group Corp.'s groundbreaking $2.5 billion bitcoin treasury ...
Nasdaq

D. Boral Capital Acted as Exclusive Placement Agent to Safe & Green Holdings Corp. (Nasdaq: SGBX) in Connection with Its Approximately $8.0 Million Private Placement

NEW YORK CITY, NY / ACCESS Newswire / April 22, 2025 / On April. 14, 2025, Safe & Green Holdings Corp. (NASDAQ:SGBX) ("Safe & Green Holdings" or the "Company"), a leading developer, designer, and ...
Morningstar

American Trust Investment Services Serves as Exclusive Placement Agent for Fly-E Group Inc.'s Follow-On Offering

NEW YORK, June 4, 2025 /PRNewswire/ -- American Trust Investment Services, Inc. (ATIS) is pleased to announce its role as the exclusive placement agent for Fly-E Group Inc. (NASDAQ: FLYE) in ...
Des Moines Register

D. Boral Capital acted as Exclusive Placement Agent to Luminar Technologies (NASDAQ:LAZR) in connection with its up to $200.0 Million Equity Linked Securities Offering

NEW YORK CITY, NY / ACCESS Newswire / May 22, 2025 / Luminar Technologies (NASDAQ:LAZR), a leading global automotive technology company, today announced it has entered into a definitive agreement with ...
Knoxville News Sentinel

D. Boral Capital Acted as Exclusive Placement Agent to ADS-TEC Energy (Nasdaq: ADSE) in connection with its up to $50.0 Million Registered Direct Offering

The transaction was fully subscribed, and the subscription period has concluded. The offering closed on May 2, 2025. NEW YORK CITY, NY / ACCESS Newswire / May 15, 2025 / On May 1, 2025, ADS-TEC Energy ...