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Investment Banking The Investment Banking Group identifies, advises and finances growth stage micro-cap and small-cap companies across multiple sectors and regions. We implement deal structures catered to meet the needs of the client and structure transactions that are beneficial to both issuers and investors. We help create long-term shareholder value and implement deal structures that allow clients to quickly graduate to a higher exchange (e.g. NYSE AMEX, NYSE, NASDAQ). It is our goal to help ensure the company remains in good public standing and the company's stock has an active and liquid trading market allowing them to grow to the next phase in their development. Our goal is to grow with each client and assist them every step of the way with the goal of developing a long-term relationship. Our investment bankers come from diverse backgrounds bringing with them valuable experience, advisory skills and industry knowledge. John Finley Mr. Finley heads-up the Investment Banking Group as well as the Beijing office for TriPoint. He is responsible for relationships with issuers and advising them on capital raising and financial structuring. Prior to joining TriPoint, he was the primary relationship manager at a leading PIPE hedge fund and was responsible for developing its China initiative. He began his career in the Valuation Group at Deloitte & Touche in Los Angeles where he built the franchise team and designed computer models to value over $1 billion of franchised businesses for securitization. Mr. Finley then spent five years at Deutsche Bank in New York as an investment banker. At Deutsche he analyzed capital structures and debt capacity of prospective LBO targets for financial buyers of franchised businesses as well as managing the execution of over $4 billion of lead-managed credit card securitizations. He also performed financial analysis and due diligence on over $500 million of franchise loans for 144a private placement securitizations. Prior to his professional career, Mr. Finley invented the high-end, monopoly-style board game Corporate Pursuit, for which he raised $250K of venture capital and marketed it to upscale stores including Bloomingdales. Mr. Finley holds an M.B.A. in Finance from New York University, Stern School of Business and a B.A. from the University of Rochester. Brian Wood Mr. Wood is involved in all phases of the investment banking process including deal sourcing, deal analysis, and client management. He works closely with clients to understand their businesses and facilitate a successful transaction. Mr. Wood has over 15 years' experience in the securities industry, starting his career as a special situations equity analyst at Hambrecht & Quist where he worked on IPO and secondary offerings raising over $1 billion. Subsequently, he spent seven years on the buy-side as a senior analyst helping manage over $2 billion in distressed debt and equity investments. Mr. Wood received his M.B.A. from Columbia University and his B.A. in Economics from Lafayette College. Julia Lu Ms. Lu joined TriPoint's Beijing office in 2011 as an investment banker. She is responsible for managing client relationships and advising clients on capital raising and financial structuring. She recently spent two years at Hudson Securities. Before joining Hudson, Ms. Lu was a Director at Westminster Securities where she was the lead banker in the Greater China market and directly responsible for identifying and executing corporate finance transactions including private equity financing, PIPE transactions and mergers & acquisitions. Prior to joining Westminster, Ms. Lu held a series of positions with China EverBright Bank in Guangdong China before moving to the US to attend graduate school. Ms. Lu is a Chinese native who began her career with Guangdong Securities in Guangdong China. Ms. Lu received a B.S. in Engineering from Ocean University of China and received her MBA from Georgia State University. She is fluent in English, Mandarin and Cantonese. Jason A. Stein Mr. Stein joined TriPoint Global Equities from H.C. Wainwright, bringing with him over eight years of investment banking and private equity experience, with a focus on Alternative Public Offerings and PIPE transactions for companies located in China. His previous deal experience includes China Fire & Security Group (NASDAQ:CFSG) and JPAK Group (OTCBB:JPAK). Prior to joining H.C. Wainwright, Mr. Stein was a Vice President in the Private Equity Group of Spencer Trask Ventures, Inc. Mr. Stein graduated from Pennsylvania State University. Hebe Q. Xu Ms. Xu is an Associate in the Investment Banking Group where she interacts directly with Chinese executives to assist their performance as a public company in the U.S. She advises clients on communication with regulators, auditors, attorneys and other market professionals. She also specializes in market/industry analysis, valuation analysis and due diligence. She earned a M.A. in Economics from New York University and a B.S. degree in Telecommunications Engineering with distinction from Sun Yat-Sen University (formerly Zhongshan University). She is fluent in English, Mandarin and Cantonese. Jing Shi Miss Shi works on the Investing Banking team as an Associate. She's been with the firm since 2009. Her duties include performing market/industry analysis, reviewing potential deals, performing due diligence, preparing marketing materials including presentations & transaction summaries. She holds Series 7 and Series 63 licenses. Prior to working at TriPoint she completed her M.A. at New York University. She also possesses a B.A in International Business & Trade from Jiangsu University. She is fluent in English and Mandarin. |
