OTCQX Sponsors

Select Sponsor Type to View A Full List of Firms:
FINRA Members | Attorneys | DR Banks | Corporate Brokers


FINRA Members
Firm Address Primary Contact Primary Sectors
Aegis Capital Corp 810 7th Avenue, 18th Floor
New York, NY 10019
www.aegiscapcorp.com
Robert Eide
(212) 813-1010
reide@aegiscap.com
Primary Sectors:
Healthcare and Technology
Auerbach Grayson and Company, LLC 25 West 45th Street
New York, NY 10036
www.agco.com
Garth Ballantyne
(212) 557-4444
gballantyne@agco.com
B. Riley & Co., LLC 11100 Santa Monica Blvd.
Suite 800
Los Angeles, CA 90025
www.brileyco.com
Sal Kamalodine
(310) 689-2217
skamalodine@brileyco.com
Primary Sectors:
Specialty Retail; Tech; Telecom; Financials; Consumer; Industrials; Software & IT Services
Cowen and Company, LLC 599 Lexington Avenue
New York, NY 10022
www.cowen.com
Stephen Nash
(646) 562-1110
Stephen.Nash@cowen.com

Chris Weekes
(646) 562-1133
Christopher.Weekes@cowen.com.
Primary Sectors:
Health Care; Technology; Media & Telecommunications; Industrials/Aerospace & Defense; Consumer; Energy; Metals & Mining; and Transportation
Dawson James Securities, Inc. 925 South Federal Highway 6th Floor
Boca Raton, FL 33432
www.dawsonjames.com
David Buchsbaum
(561) 208-2938
dbuchsbaum@dawsonjames.com

Elise Stern
(561) 208-2926
estern@dawsonjames.com
Primary Sectors:
Healthcare & Biotech; Consumer & Retail; Business Services; Technology; Media Sectors; Resources & Mining
Euro Pacific Capital, Inc. 88 Post Road West 3rd Floor
Westport, CT 06880
www.europac.net
John Calicchio
(800) 727-7922 #267
jcalicchio@europac.net
GMP Securities LLC 331 Madison Ave
New York, NY 10017
www.gmpsecurities.com
Michael Sullivan
(212) 692-5194
MSullivan@gmpsecurities.com
Ladenburg Thalmann & Co. Inc. 4400 Biscayne Boulevard
14th Floor
Miami, FL 33137
www.ladenburg.com
Barry E. Steiner
(305) 572-4200
bsteiner@ladenburg.com
Primary Sectors:
Consumer and Retail; Health Care (including Biotechnology); Technology; Energy; Emerging Markets
MCAP LLC 1633 Broadway
28th Floor
New York, NY 10019

90 N. Orange Avenue 28th Floor
Orlando, FL 32801
www.mcapmarkets.com
Stefan Spath
(407) 205-0209
Stefan.Spath@mcapmarkets.com
Primary Sectors:
Manufacturing; Distribution companies; Hospitality, Airlines; Nursing homes; Medical devices; Education; and Real estate
Northland Securities, Inc. 45 S. 7th St
Minneapolis, MN 55402
www.northlandsecurities.com
Carl Goltermann
(612) 851-5965
cgoltermann@northlandcapitalmarkets.com
Primary Sectors:
Consumer; Energy; Healthcare; Industrial; Metals and Mining; and Technology
Rose & Co. Capital Advisors, LLC 23 Shinnecock Road
Quogue, NY 11959
Robert Brinberg
(212) 257-5932
robert@rosecoglobal.com
Roth Capital Partners, LLC 888 San Clemente Drive
Newport Beach, CA 92660
www.rothcp.com
(949) 720-7177
Greg Giebel
(949) 720-5701
ggiebel@roth.com
Primary Sectors:
Cleantech; Infrastructure; Energy & Industrials; Resources & Mining; Consumer & Retail; Semiconductors & Electronics; Business Services; Technology; Media Sectors; Enterprise Software; Healthcare
Scarsdale Equities LLC 10 Rockefeller Plaza Suite 720
New York, NY 10020
www.scarsdale-equities.com
Christopher Thunen
(617) 733-6657
cthunen@scarsdale-equities.com
Primary Sectors:
Mining; Energy; Biotechnology; Medical Services; Consumer Products; Specialty Technology; Specialty Real Estate
Stifel Nicolaus & Company, Inc. 501 N. Broadway
St Louis, MO 63102
www.stifel.com
David Fowler
(416) 815-1545
dfowler@stifel.com

Justin Bowman
(443) 224-1253
jpbowman@stifel.com
Primary Sectors:
Mining and Energy
Back to Top
Attorneys
Firm Address Primary Contact Primary Sectors
Berns & Berns, Counsellors at Law 767 Third Avenue
New York, NY 10017
www.bernsandberns.com
Jim Berns
(212) 332-3320
jberns@bernsandberns.com
Briggs and Morgan, P.A. 2200 IDS Center
80 South Eighth Street
Minneapolis, MN 55402
www.briggs.com
Alec C. Sherod
(612) 977-8727
asherod@briggs.com
Brimstone & Co. 1629 K Street NW Suite 300
Washington, DC 20006
Jonathan Levy
(202) 318-2406
chambers@brimstoneandcompany.com
Bryan Cave LLP One Metropolitan Square
211 North Broadway, Suite 3600
St. Louis, MO 63102-2750
www.bryancave.com
Todd Kaye
(314) 259-2194
todd.kaye@bryancave.com
Burns, Figa & Will, P.C. 6400 S. Fiddler's Green Circle, Suite 1000
Greenwood Village, CO 80111
www.bfw-law.com
Theresa Mehringer
(303) 796-2626
tmehringer@bfw-law.com

Victoria B. Bantz
(303) 796-2626
vbantz@bfwlaw.com
William Cavalier, Esq. 5517 Channel Isle Drive
Plano, TX 75093
(Dallas/Fort Worth)
www.dadpalservices.com
William Cavalier
(469) 767-8643
counsel@dadpalservices.com
Primary Sectors:
Energy; Natural Resources; Real Estate; Financials and Private Equity

Geographical Focus: USA; Australia; Canada; Ireland; New Zealand and United Kingdom
Clark Hill PLC 500 Woodward Ave.
Suite 3500
Detroit, MI 48226-3435
www.clarkhill.com
John P. Hensien
(313) 965-8300
jhensien@clarkhill.com
Clark Wilson LLP Suite 900 885 West Georgia Street
Vancouver, BC V6C 3H1
Canada
www.cwilson.com
Ethan Minsky
(604) 643-3151
epm@cwilson.com
Clyde Snow & Sessions One Utah Center
Thirteenth Floor
201 South Main Street
Salt Lake City, UT 84111
www.clydesnow.com
Brian A. Lebrecht
(801) 322-2516
bal@clydesnow.com
Davis Wright Tremaine LLP 1201 Third Avenue Suite 2200
Seattle, WA 98101-3045
Andrew Bond
(206) 757-8325
AndrewBond@dwt.com
Dickinson Wright PLLC 450 East Las Olas Blvd
Suite 730
Ft. Lauderdale, FL 33301
www.dickinsonwright.com
Joel Mayersohn
(954) 991-5426
jmayersohn@dickinson-wright.com
Doida Law Group 8480 E. Orchard Road Suite 2000
Greenwood Village, CO 80111
Craig Stoner
(303) 282-4102
cstoner@dillanddill.com
Dorsey & Whitney LLP Toronto:
Brookfield Place, Canada Trust Tower
161 Bay Street
Suite 4310
Toronto, Ontario, Canada M5J 2S1

Denver:
1400 Wewatta Street
Suite 400
Denver, CO 8022
www.dorsey.com
Kenneth Sam
(303) 629-3445
sam.kenneth@dorsey.com

Richard Raymer
(416) 367-7388
raymer.richard@dorsey.com
Eaton & Van Winkle LLP 3 Park Avenue, 16th Floor
New York, NY 10016
www.evw.com
Vince McGill
(212) 561-3604
vmcgill@evw.com
Eilenberg & Krause LLP 11 East 44th Street Suite 1900
New York, NY 10017
www.eeklaw.com/HOME.html
Sheldon Krause
(212) 994-4770
sk@eklawllp.com
Ellenoff Grossman & Schole LLP 1345 Avenue of the Americas
New York, NY 10105
www.egsllp.com
Douglas Ellenoff
(212) 370-1300
ellenoff@egsllp.com
Foley & Lardner LLP One Independent Drive
Suite 1300
Jacksonville, FL 32202
www.foley.com
Michael Kirwan
(904) 633-8913
mkirwan@foley.com
Galanopoulos & Company 885 West Georgia Street Suite 1500
Vancouver, BC V6C 3E8
Nikolaos Galanopoulos
(604) 484-5530
ndg@glawco.com
Garvey Schubert Barer 1191 Second Avenue 18th Floor
Seattle, WA 98101-2939
www.gsblaw.com
Peter Cancelmo
(206) 464-3939
pcancelmo@gsblaw.com
Gordon Feinblatt LLC 233 East Redwood St
Baltimore, MD 21202
www.gfrlaw.com
Andrew Bulgin
(410) 576-4280
abulgin@gfrlaw.com
Gracin & Marlow LLP Chrysler Building
405 Lexington Avenue, 26th Floor
New York, NY 10174
www.gracinmarlow.com/
Hank Gracin
(212) 907-6457
hgracin@gracinmarlow.com
Graubard Miller 405 Lexington Avenue, 19th Floor
New York, NY 10174
www.graubard.com
Jeffrey M. Gallant
(212) 818-8800
jgallant@graubard.com

David Miller
(212)818-8800
dmiller@graubard.com
Gray Reed & McGraw, P.C. 1300 Post Oak Blvd Suite 2000
Houston,TX 77056
www.grayreed.com
Mark Gargiulo
(713) 986-7000
mgargiulo@grayreed.com
Greenberg Traurig, LLP 1201 K Street Suite 1100
Sacramento,CA 95814
www.gtlaw.com
Mark C. Lee
(916) 442-1111
leema@gtlaw.com
Hart & Hart, LLP 1624 Washington Street
Denver, CO 80203
Bill Hart
(303) 839-0061
harttrinen@aol.com
Hinckley, Allen & Snyder LLP 50 Kennedy Plaza, Suite 1500
Providence, RI 02903-2319
www.haslaw.com
Stephen J. Carlotti
(401) 274-2000
scarlotti@haslaw.com
Hodgson Russ LLP 140 Pearl Street, Suite 100
Buffalo, NY 14202
www.hodgsonruss.com
Robert Olivieri
(716) 848-1244
rolivier@hodgsonruss.com
Hunter Taubman Fischer LLC 1450 Broadway 26th Floor
New York, NY 10018
Louis Taubman
(917) 512-0827
LTaubman@htflawyers.com
J.P. Galda & Co. 323 Pine Street Suite 702
Easton, PA 18042
Joseph Galda
(215) 815-1534
jpgalda@jpgaldaco.com
Jones & Haley 115 Perimeter Center Place
Atlanta, GA 30346
Rick Jones
(770) 804-0500
jones@corplaw.net
Jones & Keller. P.C 1999 Broadway Suite 3150
Denver, CO 80202
Reid Godbolt
(303) 573-1600
rgodbolt@joneskeller.com
K&L Gates LLP 200 S. Biscayne Blvd, Suite 3900
Miami, FL 33131
www.klgates.com
Clayton Parker
(305) 539-3310
clayton.parker@klgates.com
Kane Russell Coleman & Logan PC 5051 Westheimer Road 10th Floor
Houston, TX 77056
Craig Ongley
(214) 777-4241
congley@krcl.com
Kaplan Voekler Cunningham & Frank PLC 1401 E. Cary St.
Richmond, VA 23219
Thomas Voekler
(804) 823-4001
tvoekler@kv-legal.com
Keating Muething & Klekamp LLP One East Fourth St. Suite 1400
Cincinnati, OH 45202-3752
www.kmklaw.com
Gary P. Kreider
(513) 579-6400
gkreider@kmklaw.com
Kleinberg, Kaplan, Wolff & Cohen 551 5th Ave 18th Floor
New York,NY 10176
Jonathan Ain
(212) 880-9869
jain@kkwc.com
Kohrman Jackson & Krantz PLL 1375 East 9th Street #2000
Cleveland, OH 44114
Christopher Hubbert
(216) 696-8700
cjh@kjk.com
Legal & Compliance, LLC 330 Clematis Street
Suite 217
West Palm Beach, FL 33401
www.LegalandCompliance.com
Laura Anthony, Esquire
(561) 514-0936
Lanthony@legalandcompliance.com
The Law Office of Conrad C. Lysiak, P.S.
601 West First Avenue
Suite 903
Spokane, WA 99201
Conrad Lysiak
(509) 624-1475
cclysiak@lysiaklaw.com
Lucosky Brookman LLP 33 Wood Avenue South 6th Floor
Iselin, NJ 08830
www.lucbro.com
Joseph Lucosky
(732) 395-4400
jlucosky@lucbro.com
Lurio & Associates, P.C. Suite 2340, One Commerce Square
2005 Market Street
Philadelphia, PA 19103
www.luriolaw.com
Douglas M. Lurio
(215) 665-9300
doug@luriolaw.com
Maslon LLP 3300 Wells Fargo Center
90 South Seventh Street
Minneapolis, MN 55402
www.maslon.com/
Paul Chestovich
(612) 672-8200
paul.chestovich@maslon.com
McLaughlin & Stern, LLP 260 Madison Avenue
New York, NY 10016
www.mclaughlinstern.com
Steven Schuster
(212) 448-6216
McMillan LLP 1500-1055 W Georgia
Vancouver, BC V6E 4N7
Canada
www.mcmillan.ca
Michael Shannon
(604) 893-7638
michael.shannon@mcmillan.ca
Moomjian, Waite & Coleman, LLP 100 Jericho Quadrangle Suite 208
Jericho, NY 11753
www.mwcllp.com
Gary Moomjian
(516) 937-5900
gmoomjian@mwcllp.com
The Nelson Law Firm, LLC 445 Hamilton Avenue, Suite 1102
White Plains, NY 10601
www.thenelsonlawfirm.com
Stephen J. Nelson, Esq.
(914) 220-1910
sjnelson@nelsonlf.com
O'Neill Law Corporation 595 Howe Street Suite 704
Vancouver, BC V6C 2T5
Christian Cu
(604) 687-5792
cic@stockslaw.com
Olshan Frome Wolosky LLP Park Avenue Tower
65 East 55th Street
New York, NY 10022
www.olshanlaw.com
Adam Finerman
(212) 451-2300
afinerman@olshanlaw.com
Orrick, Herrington & Sutcliffe LLP The Orrick Building
405 Howard Street
San Francisco, CA 94105
www.orrick.com
Andrew Thorpe
(415) 773-5970
athorpe@orrick.com
Parsons Behle & Latimer 201 South Main Street Suite 1800
Salt Lake City, UT 84111
www.parsonsbehle.com
Mark Lehman
(801) 532-1234
mlehman@parsonsbehle.com
Pepper Hamilton LLP 3000 Two Logan Square Eighteenth and Arch Streets
Philadelphia, PA 19103
www.pepperlaw.com
Robert Friedel
(215) 981-4773
friedelr@pepperlaw.com
Pierce Atwood LLP 254 Commercial Street
Portland, ME 04101
www.pierceatwood.com
Timothy C. Maguire
(617) 488-8140
tmaguire@pierceatwood.com
Porter Hedges LLP 1000 Main Street, 36th Floor
Houston, TX 77002
www.porterhedges.com
Nick D. Nicholas
(713) 226-6000
nnicholas@porterhedges.com
Pryor Cashman LLP 7 Times Square
New York, NY 10036
www.pryorcashman.com
Edward Normandin
(212) 421-4100
enormandin@pryorcashman.com
Law Offices of Thomas E. Puzzo, PLLC 3823 44th Ave, NE
Seattle, WA 98105
Thomas E. Puzzo
(206) 522-2256
tpuzzo@msn.com
Roxanne Beilly Esq. 907 SE 7th St.
Fort Lauderdale, FL 33301
Roxanne Beilly
(954) 632-3181
rbeilly@gmail.com
Ruskin Moscou Faltischek, PC 1425 RXR Plaza East Tower, 15th Floor
Uniondale, NY 11556
www.rmfpc.com
Stephen Fox
(516) 663-6580
sfox@rmfpc.com
Sanders Ortoli Vaughn-Flam Rosenstadt LLP 501 Madison Avenue
14th Floor
New York, NY 10022
www.sovrlaw.com
William Rosenstadt
(212) 588-0022
wsr@sovrlaw.com
Schlueter & Associates, P.C. 5290 DTC Parkway Suite 150
Greenwood Village,CO 80111
Henry Schlueter
(303) 292-3883
hfs@schlueterintl.com
SEC Law Firm 11693 San Vicente Blvd Suite 357
Los Angeles, CA 90049
Lance Kimmel
(310) 557-3059
lkimmel@seclawfirm.com
SecuritiesLawUSA, PC 1875 Century Park East
6th Floor
Los Angeles, California 90067
www.seclawusa.com
J. Brad Wiggins
(310) 407-8626
bwiggins@seclawusa.com
Sheppard Mullin Richter & Hampton LLP 30 Rockefeller Plaza
New York, NY 10112-0015
Richard Friedman
(212) 634-3031
rafriedman@sheppardmullin.com
Sichenzia Ross Friedman Ference, LLP 61 Broadway, 32nd Floor
New York, NY 10006
www.srff.com
Richard Friedman
(212) 930-9700
RFriedman@srff.com
Somertons, PLLC 1050 17th Street, NW Suite 600
Washington DC,DC 20036
www.somertons.com
Kathleen Cerveny
(202) 779-9507
kathleen.cerveny@somertons.com

Neil Carr
(202) 587-2983
neil.carr@somertons.com
Stinson Leonard Street LLP 1201 Walnut, Suite 2900
Kansas City, MO 64106
www.stinson.com
Scott Claassen
(816) 691-2348
scott.claassen@stinson.com
Trombly Business Law, PC 1320 Centre Street
Suite 202
Newton, MA 02459
Amy Trombly
(617) 243-0060
amy@tromblybusinesslaw.com
Troutman Sanders LLP 875 Third Avenue
New York, NY 10022
www.troutmansanders.com
William D. Freedman
(212) 704-6193
William.Freedman@troutmansanders.com

Thomas Rose
(757) 687-7715
Thomas.Rose@troutmansanders.com
Troy Gould PC 1801 Century Park East Suite 1600
Los Angeles, CA 90067-2367
www.troygould.com
Marc Brown
(310) 553-4441
mbrown@troygould.com
Wyatt, Tarrant & Combs, LLP PNC Plaza
500 West Jefferson Street
Suite 2800
Louisville, KY 40202
www.wyattfirm.com
Rick G. Alsip
(502) 562-7298
ralsip@wyattfirm.com
Wyrick Robbins Yates & Ponton LLP The Summit
4101 Lake Boone Trail
Suite 300
Raleigh, NC 27607
www.wyrick.com
Donald Reynolds
(919) 865-2805
dreynolds@wyrick.com
Back to Top
DR Banks
Firm Address Primary Contact Primary Sectors
BNY Mellon Depositary Receipts Division
101 Barclay Street. 22nd Floor
New York, NY 10286
www.adrbnymellon.com
Veronica Westberg
(212) 815-2358
veronica.westberg@bnymellon.com

Kristen Resch
(212) 815-2213
kristen.resch@bnymellon.com
Citi Depositary Receipt Services
388 Greenwich Street, 14th Floor
New York, NY 10013
www.citigroup.com/adr
Brian M. Teitelbaum
(212) 816-6853
brian.m.teitelbaum@citi.com
Deutsche Bank 60 Wall Street
New York, NY 10005
www.db.com
Issuer Contact:Jane Taylor
+(44) 207 547 3738
jane.taylor@db.com

Broker Contact: Michele Backman
(212) 250-4085
michele.backman@db.com
J.P. Morgan 1 Chase Manhattan Plaza
58th Floor
New York, NY 10005
www.jpmorgan.com
Ivan M Peill
(212) 552-3739
ivan.m.peill@jpmorgan.com
Back to Top
Corporate Brokers
Firm Address Primary Contact Primary Sectors
Boenning & Scattergood, Inc. 200 Barr Harbor Drive
West Conshohocken, PA 19428
www.boenninginc.com
Michael Galantino
610-832-5366
mgalantino@boenninginc.com
D.A. Davidson & Co. 8 Third St. N
Great Falls, MT 59401
www.davidsoncompanies.com
Michael Natzic
909-584-4500
mnatzic@dadco.com
FIG Partners LLC 1175 Peachtree St., NE 100
Colony Square
Suite 2250
Atlanta, GA 30361
figpartners.com
Mike Acampora
904-354-0441
macampora@figpartners.com

Tim Padala
732-741-3906
tpadala@figpartners.com
Hovde Group, LLC 1629 Colonial Parkway
Inverness, IL 60067
www.hovdegroup.com/
Matt Shields
678-999-4421
mshields@hovdegroup.com
Keefe Bruyette and Woods, Inc. 787 7th Avenue
New York, NY 10019
www.kbw.com
John Granite
212-887-6748
jgranite@kbw.com

Robert Grant
212-887-8961
rgrant@kbw.com
Monroe Financial Partners Inc. 100 North Riverside Plaza
Suite 1620
Chicago, IL 60606
www.monroefp.com
Craig Carlino
312-327-2530
ccarlino@monroefp.com
Raymond James & Associates, Inc. 880 Carillon Parkway
St. Petersburg, FL 33716
www.raymondjames.com
Bill Sammon
312-655-2959
bill.sammon@raymondjames.com
Sandler O'Neill + Partners, L.P. 1251 Avenue of the Americas
6th Floor
New York, NY 10020
www.sandleroneill.com
Thomas Thurston
212-466-8027
tthurston@sandleroneill.com
StockCross Financial Services (STXG) 15 Exchange Place
Jersey City, NJ 07302
www.stockcross.com/company/trading-group
Thaddeus "TJ" Berdzik
800-993-2009
tj.berdzik@stockcross.com
Wedbush Securities 1000 Wilshire Blvd
Los Angeles CA 90017
www.wedbush.com/
Joey Warmenhoven
(213) 688-8000
joey.warmenhoven@wedbush.com
Back to Top

Follow Us