JOHN FINLEY, INVESTMENT BANKING

Mr. Finley is the senior member of the Investment Banking group and is responsible for relationships with issuers and providing them with advice on capital raising, financial instrument structuring and business development. Products covered include IPOs and follow-on offerings, convertibles, private placements, PIPEs and M&A advisory services. He is also responsible for building out the investment banking team in the US and Asia.

Prior to joining TriPoint Global, Mr. Finley was the primary broker/banker relationship manager at the management company for the Vision Opportunity Master Fund, Ltd hedge fund ("Vision"). Vision invests in structured equity and PIPE transactions. Mr. Finley also developed Vision's China initiative: over two months in China were spent in helping to close transactions and developing relationships with Chinese companies, bankers, and brokers.

Mr. Finley began his finance 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. Afterwards Mr. Finley spent five years at Deutsche Bank in New York as an investment banker to issuers of asset-backed securities. He managed the execution of over $4 billion of lead-managed credit card securitizations, performed financial analysis and due diligence on over $500 million of franchise loans for 144a private placement securitizations and analyzed capital structures and debt capacity of prospective LBO targets for financial buyers of franchised businesses.

After Deutsche Bank, Mr. Finley produced independent films, including the feature film Slippery Slope. He focused on the business side of producing by preparing budgets, business plans, performing market and financial analysis, raising funds, managing talent and negotiating contracts. Mr. Finley is also the inventor of the high-end, monopoly-style board game Corporate Pursuit, for which he raised venture capital and marketed to up-scale stores including Bloomingdales.

Mr. Finley holds the Series 82 and Series 63 licenses and is also a Director with TriPoint Capital Advisors, LLC, a merchant banking and financial consulting affiliate of TriPoint Global. He earned a BA in History from the University of Rochester and an MBA in Finance from NYU.