South Beach Capital Markets

1996 Activity

Jan-Apr	AFGL International New York NY Reported to Chairman/CEO and President/COOO; designed active shareholder/investor relations program to enable this NASDAQ-listed company, newly focused on executive recruiting/temporary employment, to obtain broader securities research following and increased number of NASDAQ market markers.
Jan-Jun	The Boston Beer Company, Inc. Boston MA Worked with founder/chairman/chief executive and president/chief operating officer of largest craft brewer by volume in U.S. on variety of issues relating to transition of company with 12 years of operating history as closely-held concern to that of publicly-traded, New York Stock Exchange listed entity.
Jan-Feb	Burnham Securities Inc. New York NY Reported to chairman/chief executive officer and senior vice president/syndicate manager of this investment banking boutique; designed and implemented procedures to facilitate lead-management of publicly offered securities issues. Delivered deal-specific advice on firm's first lead (and sole) managed initial public offering.
Mar-May	Fidelity Capital Markets Boston MA Advised president and executive vice president on establishment and implemenation of compliance and operating procedures to ensure adherencer to all regulatory requirements while simultaneously maximizing profitatability upon entry into distribution of underwritten equity issues as syndicate/selling group particpant.
Jan-Sep	First Equity Corporation of Florida Miami FL Ad hoc advisor to board of directors, chairman and president/chief executive officer of this boutique investment bank.
May-Dec	INFOLOGISTIK Inc. Poughkeepsie NY Advised president/founder on procedures to raise $2.25MM in second stage venture capital for this document management software company.
Jan-Mar	Sterne, Agee & Leach, Inc. Birmingham AL Advised president and chief executive officer of this regional investment bank on integration of equity capital markets; equity syndicate; equity sales, trading and research; and investment banking function. Advised head of equity capital markets/syndicate on organization of department; establishment and implementation of procedures to build efficient, professional, performance-oriented effort enhancing departmental profitability and upgrading level of service offered to sales force, traders and bankers.
May-Dec	2Connect Express, Inc. Boca Raton FL Advised chairman/CEO and president on financial matters pertaining to start up and on-going equity funding of this communications service retailer.
Jan-Apr	University of Florida Gainesville FL Visiting lecturer/course coordinator for new investment banking course offered to second-year MBA candidates at Warrington College of Business Administration.
Oct-Dec	Van Kasper & Company San Francisco CA Reported to president and worked with the chief operating officer to provide capital markets advice with regard to integrating investment banking with equity sales, trading and research.
Apr-May	Vista 2000, Inc. Atlanta GA Worked with president/acting chief executive officer, in-house consel, outside counsel, outside financial public relations firm and independent directors to help address corporate governance issues arising from unexpected quarterly loss, subsequent resignation of chairman/chief executive officer and ad hoc filing of SEC form 13d, by majority owner investor group of this specialty retailer.
Sep-Dec	WIT Capital Corporation New York NY Reported to founder, president and chief executive officer of this newly formed securities broker-dealer to assist in creation, staffing and implementation of investment banking effort.