Senior Managing Director
Mr. Batista has over 25 years of diversified Wall Street experience as a trader and investment banker. From December 2004 to August 2008, he was a Managing Director at HPC Capital Management and was responsible for their New York Private Capital Markets activities. He was a Vice President of NASDAQ trading at SoundView Technology Group, a technology-focused research and trading boutique based in Old Greenwich Connecticut from July 1999 to March 2004. While at SoundView, he was initially responsible for making markets in the semiconductor and semiconductor capital equipment sectors and later led SoundView's efforts in non-tech trading by assuming responsibility for the airline, alternative energy, retail, restaurant, and post-secondary education sectors. Prior to joining SoundView, he was a senior NASDAQ trader at JW Charles Securities and its successor JW Genesis Securities in Boca Raton Florida from April 1997 to June 1999. While at JW, he was largely responsible for the firm's entry into the institutional equities trading arena by leveraging their substantial retail equities order flow.
He began his professional career with Lehman Brothers in New York in December 1993 as an investment banking analyst where he worked on numerous mergers & acquisitions and corporate financing activities. He subsequently began his trading career on Lehman's NASDAQ desk in February 1996. He received a Bachelor of Science Degree in Business Administration with a concentration in finance and a Certificate in international marketing from C.W. Post College.
Managing Director - Viriathus Australia
Mr. Cartwright is a capital markets and investor relations professional having developed a broad range of skills that assists companies in achieving their growth objectives while avoiding some of the pitfalls associated with raising capital and listing on a public exchange. Shaun has built an extensive network of key capital market participants in Australia, the United States, the Bahamas and Hong Kong having worked in each of these locations over the past decade. After an extended period of time living abroad, Mr. Cartwright returned to Australia and co-founded Maxus Financial which was a boutique advisory firm that provided institutional investors the ability to achieve optimal execution prices on their orders, and the iQuant Signal Advantage Fund. Both businesses utilized a proprietary algorithm designed to combat the effects of high-frequency trading. He has also provided strategic investor relations strategies to client companies, helping them to effectively communicate with their investors and the broader financial community. Mr. Cartwright found his passion however in assisting growth companies achieve their capital markets objectives. He has developed his skills having worked with multiple companies as a principal investor, investor relations specialist, corporate advisor and business strategist for companies that range from start-ups to publicly listed companies.
Through Kaplan Professional, Mr. Cartwright has a Diploma in Financial Services (Financial Planning), is an accredited derivatives advisor (Level 1 and 2), and is ASIC compliant (RG146) qualified to provide advice in Foreign Exchange and Margin Lending.
Maxi Brezzi was the founder and managing director of Cantara (Switzerland) SA, a Swiss investment company based in Geneva, Switzerland. Cantara was incorporated in 1998 with the primary objective of investing in small and micro cap companies, primarily in the United States. Since inception, Cantara has developed its unique investment philosophy, which has made the company one of the most reputable and active in the sector. During the past eleven years Cantara has entered into approximately 700 investments, mainly in the technology, biotechnology and energy sectors.
Prior to Cantara, Maxi was Vice-President of Kernco Trust SA, a financial boutique in Geneva, where he was involved in managing several investment funds focused on the US market. In his career, Maxi has held various management positions with different companies, including Cartier SA in Paris.
Maxi holds a law degree cum laude from the University of Genoa, Italy and was admitted to the Italian bar.
Robert F. Charron, Partner of Ellenoff Grossman & Schole LLP, is a corporate and securities attorney who has worked on behalf of investment banks, registered broker-dealers, public companies and both institutional and high net worth individual investors that invest in private and public companies. Rob specializes in structuring, documenting and servicing PIPE (Private Investment in Public Equity) and equity line of credit type financings for his clients.
Rob received his law degree from Boston University School of Law and received a B.A. in economics and business administration from the University of New Hampshire.
Prior to law school, Rob served for two years with the United States Peace Corps in Kenya as a small business advisor and high school teacher. Prior to joining Ellenoff Grossman & Schole LLP, Rob was associated with the law firms Weinstein Smith LLP, Epstein Becker & Green and Brown Rudnick Freed & Gesmer.