Ladenburg Thalmann Financial Services (A:LTS)

Business Focus: Investment Banking

Nov 12, 2019 12:46 pm ET
LADENBURG ALERT: Bragar Eagel & Squire, P.C. Investigates Proposed Sale of LTS and Encourages Investors to Contact the Firm
NEW YORK, Nov. 12, 2019 /PRNewswire/ -- Bragar Eagel & Squire, P.C., a nationally recognized stockholder law firm, has launched an investigation into whether the board members of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS) breached their fiduciary duties or violated the federal securities laws in connection with the company's proposed sale to Advisor Group....
Nov 12, 2019 12:28 pm ET
ALERT: Rowley Law PLLC is Investigating Proposed Acquisition of Ladenburg Thalmann Financial Services Inc.
NEW YORK, Nov. 12, 2019 /PRNewswire/ -- Rowley Law PLLC is investigating potential securities law violations by Ladenburg Thalmann Financial Services Inc. (NYSE: LTS) and its board of directors concerning the proposed acquisition of the company by Advisor Group. Stockholders will receive $3.50 for each share of Ladenburg stock that they hold. The transaction is valued at approximately $1.3 billion and is expected to close in the first half of 2020....
Nov 12, 2019 11:32 am ET
Shareholder Alert: Ademi & O'Reilly, LLP Investigates whether Ladenburg Thalmann Financial Services Inc. has obtained a Fair Price in its sale to Advisor Group
MILWAUKEE, Nov. 12, 2019 /PRNewswire/ -- Ademi & O'Reilly, LLP is investigating Ladenburg (NYSE: LTS) for possible breaches of fiduciary duty and other violations of the law in connection with the sale of Ladenburg to Advisor Group. ...
Nov 11, 2019 06:35 pm ET
Advisor Group And Ladenburg Thalmann Announce Merger To Create A Wealth Management Industry Leader With Nearly 11,500 Financial Advisors And Over $450 Billion In Client Assets
PHOENIX, Nov. 11, 2019 /PRNewswire/ -- Advisor Group, one of the nation's largest networks of independent wealth management firms, and Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK, LTSH) ("Ladenburg"), a publicly-traded diversified financial services company, today announced that both companies have entered into a definitive merger agreement to join the two companies....
Nov 08, 2019 08:00 am ET
Ladenburg Reports Third Quarter 2019 Financial Results
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK, LTSH) today announced financial results for the three and nine months ended September 30, 2019.
Oct 24, 2019 06:00 am ET
KMS Financial Services Adds Patrick Funke & Associates
SEATTLE, Oct. 24, 2019 /PRNewswire/ -- KMS Financial Services, Inc. ("KMS" or the "firm"), a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK, LTSH) and an Independent Advisory and Brokerage (IAB) firm supporting approximately 350 advisors, today announced the successful recruitment to the KMS platform of Patrick Funke & Associates, an investment firm specializing in qualified retirement plans with $230 million in client assets....
Oct 23, 2019 09:10 am ET
CHF Solutions, Inc. Announces Pricing of Registered Direct Offering
CHF Solutions, Inc. (CHF Solutions or the Company) (NASDAQ:CHFS) today announced the pricing of a registered direct offering of 575,830 shares of its common stock at a price to the public of $1.15 per share, for gross proceeds of approximately...
Oct 17, 2019 06:00 am ET
Ladenburg Institute Of Women & Finance Concludes 8th Annual Symposium To Create Opportunities And Build Community For Women Advisors
MIAMI, Oct. 17, 2019 /PRNewswire/ -- Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK, LTSH) ("Ladenburg"), a publicly-traded diversified financial services company, today announced the successful conclusion of its eighth annual Ladenburg Institute of Women & Finance Symposium, an invitation-only event held in New Orleans from Oct. 14 to 16. This year's event brought together more than 200 advisors and other attendees for sessions on topics ranging from practice management and business growth to effective networking; hosted ten female college stud...
Oct 08, 2019 06:00 am ET
Securities America Announces That Knight Investments Group Has Joined Its Platform
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK, LTSH), today announced that it has successfully recruited Knight Investments Group, Inc., an independent wealth management practice in Russellville, Ark. with approximately $160 million in total client assets, to its platform.
Oct 03, 2019 06:00 am ET
Triad Advisors Announces That Hybrid RIA Practice Mooney Lyons Financial Advisors Has Joined Its Platform
ATLANTA, Oct. 3, 2019 /PRNewswire/ -- Triad Advisors, LLC ("Triad" or "the Firm"), a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK, LTSH) ("Ladenburg") and a leading independent advisory and brokerage (IAB) firm supporting independent hybrid financial advisory practices and registered investment advisory (RIA) firms, announced today that it has successfully recruited Mooney Lyons Financial Advisors, a hybrid RIA practice based in South Barrington, Ill., with four financial advisors and approximately $320 million in total ...
Oct 01, 2019 08:00 am ET
Ladenburg Thalmann Financial Services Inc. Confirms Series A Preferred Stock Monthly Dividends for Q4 2019
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK, LTSH) today confirmed the fourth quarter 2019 monthly cash dividends for its 8.00% Series A Cumulative Redeemable Preferred Stock. The $0.1667 per share dividends are payable as follows:
Sep 30, 2019 09:24 am ET
Benitec Biopharma Limited Announces US$2.25 Million Registered Direct Offering
NEW YORK and MELBOURNE, Australia, Sept. 30, 2019 /PRNewswire/ -- Benitec Biopharma Limited (ASX:BLT; NASDAQ:BNTC; NASDAQ:BNTCW) ("Benitec" or the "Company") announces it has entered into a securities purchase agreement ("SPA") with certain sophisticated and professional investors in the United States ("Investors") to issue 2,800,000 American Depositary Shares ("ADSs"), with each ADS representing 20 fully paid ordinary shares, at a purchase price of US$0.70 per ADS, in a registered direct offering. The Investors will also be issued warrants to purchase up to 412,863 ADSs in aggregate, at a p...
Sep 16, 2019 07:11 pm ET
Gordon Pointe Acquisition Corp. Enters into a Merger Agreement with HOF Village, LLC in Canton, Ohio
NEW YORK and NAPLES, Fla., Sept. 16, 2019 /PRNewswire/ -- Gordon Pointe Acquisition Corp. ("GPAQ") (NASDAQ: GPAQ, GPAQU, GPAQW), a publicly traded special purpose acquisition company, and HOF Village, LLC ("HOFV" or "the Company") announced today that they have entered into a definitive business combination agreement to create a premier sports, entertainment and media enterprise surrounding the prestigious Pro Football Hall of Fame. The combined entity is poised to capitalize on its unique partnership with the most dominant professional sports brand in the country, allowing for the continued...
Sep 16, 2019 05:03 pm ET
Ladenburg Wins Broker-Dealer Thought Leadership Award At Fifth Annual WealthManagement.com Industry Awards
MIAMI, Sept. 16, 2019  /PRNewswire/ -- Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK, LTSH) ("Ladenburg"), a publicly-traded diversified financial services company, today announced that it received the award for Thought Leadership in the 1,000-or-more-advisor broker-dealer category at the 2019 WealthManagement.com Industry Awards ceremony held Sept. 12 in New York....
Sep 16, 2019 08:00 am ET
SITO Mobile Signs Definitive Agreement to Acquire MediaJel in All-Stock Transaction
JERSEY CITY, N.J. and WALNUT CREEK, Calif., Sept. 16, 2019 /PRNewswire/ -- SITO Mobile Ltd. (NASDAQ: SITO) (the "Company" or "SITO") an insights-driven Consumer Behavior and Location Sciences™ company, and MediaJel, Inc. ("MediaJel"), a leading provider of advertising and marketing solutions for the cannabis industry, today announced that they have entered into a definitive agreement pursuant to which SITO will acquire 100% of the equity interests of MediaJel....
Sep 12, 2019 06:00 am ET
Triad Hybrid Solutions More Than Doubles Assets Under Management In 18-Month Period
ATLANTA, Sept. 12, 2019 /PRNewswire/ -- Triad Advisors, LLC ("Triad" or "the Firm"), a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK, LTSH) and a leading independent advisory and brokerage (IAB) firm supporting independent hybrid financial advisory practices and registered investment advisory (RIA) firms, announced today that its Triad Hybrid Solutions (THS) arm has expanded its total assets under management by more than $1 billion since the beginning of 2018 through strong recruiting efforts....
Aug 27, 2019 08:00 am ET
Ladenburg Declares Quarterly Dividend on Common Stock
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK, LTSH), a publicly-traded, diversified financial services company, today announced its Board of Directors has declared a quarterly cash dividend of $0.0125 per share of common stock, payable on September 30, 2019 to shareholders of record as of the close of business on September 13, 2019.
Aug 22, 2019 06:00 am ET
Ladenburg Concludes Second Consolidated National Conference Of 2019 With Launch Of Innovative 401(k) Offering For Advisors' Business Clients
MIAMI, Aug. 22, 2019 /PRNewswire/ -- Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK, LTSH) ("Ladenburg"), a publicly-traded diversified financial services company, today announced the successful conclusion of its second consolidated National Conference of 2019, held from Aug. 19 to 22 at the Washington Hilton in Washington, D.C., for financial advisors affiliated with three of the company's independent advisory and brokerage (IAB) subsidiaries: Triad Advisors, Securities Service Network (SSN) and Investacorp. The event followed Ladenburg's successfu...
Aug 21, 2019 09:39 am ET
GreenAcreage Announces Completion of $141 million Private Placement
NEW YORK, Aug. 21, 2019 /PRNewswire/ -- GreenAcreage Real Estate Corp. ("GreenAcreage"), a recently formed net-lease REIT that intends to provide sale-leaseback and build-to-suit transactions to the regulated cannabis industry, announced today the completion of a private placement offering of 7,060,150 shares of its common stock for aggregate gross proceeds of approximately $141 million. GreenAcreage is an independently managed REIT led by Chief Executive Officer Katie Barthmaier, President David Carroll, Chairman Gordon DuGan, Chief Operating Officer Wilson Pringle, and Chief Investment Off...
Aug 13, 2019 09:00 am ET
Inpixon Prices $4.8 Million Public Offering
Inpixon (Nasdaq: INPX), (the “Company” or “Inpixon”), a leading indoor positioning and data analytics company, today announced the pricing of an underwritten public offering with anticipated gross proceeds of $4.8 million, before deducting the...
Aug 13, 2019 06:00 am ET
Ladenburg Makes Investment In Newday Financial Technologies
MIAMI, Aug. 13, 2019 /PRNewswire/ -- Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK, LTSH) ("Ladenburg"), a publicly-traded diversified financial services company, today announced an investment in Newday Financial Technologies Inc. ("Newday"), a San Francisco-based startup focused on delivering easily accessible, low-cost impact investing strategies that align with the values of investors, with a target audience of new investors, especially Millennials....
Aug 08, 2019 07:00 am ET
Ladenburg Reports Second Quarter 2019 Financial Results
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK, LTSH) today announced financial results for the three and six months ended June 30, 2019.
Jul 18, 2019 11:22 am ET
Securities America Recruits Pennsylvania-Based Advisory Group with $182 Million in Total Client Assets
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK, LTSH), today announced the successful recruitment of Nittany Brokerage Financial, a multi-service independent financial advisory practice in central Pennsylvania with $182 million in total client assets. The announcement further underscores Securities America’s position as a leading destination for successful independent practices looking to take the next step in their business’ growth trajectory.
Jul 01, 2019 08:00 am ET
Ladenburg Thalmann Financial Services Inc. Confirms Series A Preferred Stock Monthly Dividends for Q3 2019
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK, LTSH) today confirmed the third quarter 2019 monthly cash dividends for its 8.00% Series A Cumulative Redeemable Preferred Stock. The $0.1667 per share dividends are payable as follows:
Jun 10, 2019 04:30 pm ET
Great Elm Capital Corp. Announces Public Offering of Senior Notes
Great Elm Capital Corp. (the “Company” or “GECC”) (NASDAQ: GECC) announced today the commencement of an underwritten public offering of senior notes due 2024 (the “Notes”). The Notes are expected to be listed on The Nasdaq Global Market under the...
May 29, 2019 08:00 am ET
Ladenburg Declares Quarterly Dividend on Common Stock
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK), a publicly-traded, diversified financial services company, today announced its Board of Directors has declared a quarterly cash dividend of $0.0125 per share of common stock, payable on June 28, 2019 to shareholders of record as of the close of business on June 14, 2019.
May 23, 2019 06:00 am ET
Securities America Recruits Three Groups with Approximately $245 Million in Total Client Assets
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK), announced today that it has successfully recruited three advisory practices with client assets totaling approximately $245 million.
May 22, 2019 06:00 am ET
Triad Advisors Successfully Recruits Washington, D.C.-Area Hybrid RIA Practice Argent Bridge Advisors
ATLANTA, May 22, 2019 /PRNewswire/ -- Triad Advisors, LLC ("Triad" or "the Firm"), a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK) and a leading independent advisory and brokerage (IAB) firm supporting independent hybrid financial advisory practices and registered investment advisory (RIA) firms, announced that it has successfully recruited Argent Bridge Advisors, a three-advisor firm with $275 million in client assets based in the Washington, D.C. suburb of Vienna, Va. to its platform. The announcement further reinforce...
May 21, 2019 05:15 pm ET
Ladenburg Thalmann Announces Pricing of Public Offering of 7.75% Senior Notes Due 2029
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS; LTS PrA; LTSL; LTSF; LTSK) (the “Company”) today announced that it has priced an underwritten registered public offering of $50 million aggregate principal amount of 7.75% senior notes due 2029 (the “Notes”) at 100% of the principal amount, plus accrued interest from May 29, 2019, if the initial settlement occurs after that date. The Company has granted the underwriters a 30-day option to purchase up to an additional $7.5 million aggregate principal amount of Notes in connection wit
May 16, 2019 06:00 am ET
Ladenburg Concludes 2nd Annual Innovation Symposium In San Francisco
MIAMI, May 16, 2019 /PRNewswire/ -- Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK) ("Ladenburg"), a publicly-traded diversified financial services company, today announced the successful conclusion of its second annual Innovation Symposium, an invitation-only event that brought together fintech firms, startups and forward-thinking financial advisors to exchange ideas, network and provide feedback on new solutions that have the potential to transform the financial advice space. Held May 14-15 in San Francisco, the symposium drew more than 75 advisor...
May 09, 2019 07:00 am ET
Ladenburg Reports First Quarter 2019 Financial Results
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK) today announced financial results for the three months ended March 31, 2019.
May 02, 2019 07:30 am ET
Ladenburg Thalmann Sends Annual Letter to Shareholders
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK) today announced that the Company sent the following annual letter to its shareholders from the Company’s Chairman, President and CEO, Richard J. Lampen:
Apr 24, 2019 08:00 am ET
Ladenburg Appoints Industry Leader David Ballard To Newly-Created Position Of Senior Vice President, Enterprise Services
MIAMI, April 24, 2019 /PRNewswire/ -- Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK) ("Ladenburg"), a publicly-traded, diversified financial services company, today announced the appointment of veteran industry operations and technology leader David Ballard as Senior Vice President, Enterprise Services. ...
Apr 23, 2019 06:00 am ET
Securities America Recruits Rochester, N.Y.-Based Producer Group with over $200 Million in Total Client Assets
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK), announced today that it has successfully recruited a group of six advisors with over $200 million in total client assets. The Rochester, New York-based group, which includes Meliora Wealth Management and Allied Financial Partners, is affiliating with Securities America through Evolution Financial Advisors (EFA), a Victor, N.Y.-based Super-OSJ with total client assets of more than $2.6 billion.
Apr 08, 2019 06:00 am ET
KMS Financial Services Promotes Erinn Ford To Chief Executive Officer
SEATTLE, April 8, 2019 /PRNewswire/ -- KMS Financial Services, Inc. ("KMS" or "the firm"), an independent advisory and brokerage (IAB) firm and wholly-owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK), today announced that it has named Erinn Ford Chief Executive Officer, as Eric Westberg transitions to the role of Chairman Emeritus. Ms. Ford became President of KMS in February 2018 and will continue in that position. ...
Apr 03, 2019 04:51 pm ET
Pluristem Therapeutics Inc. Announces Proposed Public Offering of Common Stock and Warrants and Concurrent Registered Direct Offering of Common Stock
Pluristem Therapeutics Inc. (Nasdaq: PSTI, TASE: PLTR) (“Pluristem” or “Company”), a leading regenerative medicine company developing novel placenta-based cell therapy product candidates, announced today that it intends to offer and sell shares of...
Apr 01, 2019 08:00 am ET
Ladenburg Thalmann Financial Services Inc. Confirms Series A Preferred Stock Monthly Dividends for Q2 2019
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK) today confirmed the second quarter 2019 monthly cash dividends for its 8.00% Series A Cumulative Redeemable Preferred Stock. The $0.1667 per share dividends are payable as follows:
Mar 28, 2019 04:32 pm ET
Sony Pictures Television and Chicken Soup for the Soul Entertainment Form Joint Venture “Crackle Plus”
Sony Pictures Television (“SPT”) one of the television industry’s leading content providers, and Chicken Soup for the Soul Entertainment, Inc. (“CSS Entertainment”) (Nasdaq: CSSE), a fast-growing media company building online video-on-demand...
Mar 26, 2019 04:16 pm ET
Oxford Square Capital Corp. Announces Offering of Notes
Oxford Square Capital Corp. (NasdaqGS: OXSQ) (the “Company”) announced the commencement of a registered public offering of Notes (the “Notes”). The Notes are expected to be listed on the NASDAQ Global Select Market and to trade thereon within 30...
Mar 21, 2019 06:00 am ET
Securities America Recruits Syntegra Private Wealth Group, a St. Louis-Area Group of Hybrid Advisors with $459 Million in Total Client Assets
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK), announced today that it has successfully recruited Syntegra Private Wealth Group, a group of six hybrid advisors with $459 million in total client assets, to join Securities America and its Arbor Point Advisors platform.
Mar 15, 2019 09:00 am ET
Yield10 Bioscience Announces Pricing of $2.9 Million Registered Direct Offering
Yield10 Bioscience, Inc. (Nasdaq:YTEN), a Company developing new technologies to create step-change improvements in crop yield to enhance global food security, today announced that it has entered into a securities purchase agreement with certain...
Mar 15, 2019 07:00 am ET
Ladenburg Reports Fourth Quarter and Fiscal Year 2018 Financial Results
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK) today announced financial results for the fourth quarter and fiscal year ended December 31, 2018.
Mar 12, 2019 06:00 am ET
Securities America Recruits the Lanzetta Group, a Philadelphia Metro-Based Super-OSJ with 11 Advisors and $175 Million in Total Client Assets
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK), announced today that the Lanzetta Group, a Super-OSJ group with approximately $175 million in total client assets and 11 advisors, has joined the firm’s platform.
Mar 08, 2019 08:30 am ET
CHF Solutions, Inc. Announces Pricing of $10.8 Million Underwritten Public Offering
CHF Solutions, Inc. (NASDAQ:CHFS) today announced the pricing of an underwritten public offering of units for gross proceeds of approximately $10.8 million prior to deducting underwriting discounts and commissions and offering expenses payable by...
Mar 05, 2019 08:00 am ET
Ladenburg Declares Quarterly Dividend on Common Stock
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK), a publicly-traded, diversified financial services company, today announced its Board of Directors has declared a quarterly cash dividend of $0.0125 per share of common stock, payable on March 28, 2019 to shareholders of record as of the close of business on March 15, 2019.
Feb 14, 2019 05:00 am ET
Ladenburg's Highland Capital Brokerage Subsidiary Announces That Independent Financial Advisory Group Oak & Stone Capital Advisors Has Joined Its Recently-Launched Constellation Platform
BIRMINGHAM, Ala., Feb. 14, 2019 /PRNewswire/ -- Highland Capital Brokerage ("Highland"), a subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK) ("Ladenburg"), announced today that Oak & Stone Capital Advisors ("Oak & Stone"), an independent financial advisory team overseeing approximately $150 million in client assets, has joined Highland's Constellation platform, which will provide turnkey support in marketing, processing, carrier selection and other critical business areas for the group's diversified insurance offerings. Highland ...
Feb 06, 2019 05:00 am ET
Securities Service Network Recruits New York Practice With $180 Million In Client Assets; Advances On Strategic Growth Plan Targeting Tax-Focused Teams
KNOXVILLE, Tenn., Feb. 6, 2019 /PRNewswire/ -- Securities Service Network, LLC ("SSN"), a leading independent advisory and brokerage (IAB) firm and wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK), today announced the recruitment of Retirement Planning Group (RPG), based in Saratoga Springs, N.Y., which has approximately $180 million in client assets....
Jan 15, 2019 04:00 pm ET
Ladenburg Thalmann Launches Advanced Planning Group And Expanded Rollout Of Link To The Future Program At Second Annual Elevate Advisory Symposium
MIAMI, Jan. 15, 2019 /PRNewswire/ -- Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK) ("Ladenburg"), a publicly-traded diversified financial services company, today announced the successful conclusion of its second annual ELEVATE Advisory Symposium, designed to support the business growth of fee-based financial advisors across the company's five independent advisory and brokerage (IAB) subsidiaries, encompassing Securities America, Triad Advisors, Investacorp, KMS Financial Services, and Securities Service Network.  More than 300 financial advisors a...
Jan 07, 2019 03:30 pm ET
Triad Advisors And Resources Investment Advisors Announce Recruitment Of Retirement Benefits Group
ATLANTA, Jan. 7, 2019 /PRNewswire/ -- Triad Advisors, LLC ("Triad" or "the Firm"), a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK), and Resources Investment Advisors, LLC ("Resources"), a leading wealth management and retirement plan-focused hybrid RIA and OSJ firm, jointly announced the successful recruitment of Retirement Benefits Group (RBG), a retirement plan-focused advisory firm with over $10 billion in assets under administration (AUA). (Assets under administration includes fee-based advisory, brokerage and plan-b...
Jan 02, 2019 08:30 am ET
Ladenburg Thalmann Financial Services Inc. Confirms Series A Preferred Stock Monthly Dividends for Q1 2019
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK) today confirmed the first quarter 2019 monthly cash dividends for its 8.00% Series A Cumulative Redeemable Preferred Stock. The $0.1667 per share dividends are payable as follows:
Dec 24, 2018 02:15 pm ET
Ladenburg Announces $130.25 Million Stock and Options Repurchase
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK) announced today that it repurchased 50.9 million shares of its common stock from its largest shareholder, Dr. Phillip Frost, and his affiliates. In addition, all of Dr. Frost’s 3.61 million stock options were cancelled in exchange for a payment of $3.0 million.
Dec 11, 2018 10:42 am ET
RedHill Biopharma Announces Closing of $20 Million Underwritten Offering
RedHill Biopharma Ltd. (Nasdaq:RDHL) (Tel-Aviv Stock Exchange:RDHL) (“RedHill” or the “Company”), a specialty biopharmaceutical company primarily focused on proprietary drugs for gastrointestinal diseases, today announced the closing of its...
Dec 07, 2018 08:59 am ET
MicroVision Prices $4.2 Million Offering of Common Stock
MicroVision, Inc. (Nasdaq: MVIS), a leader in innovative ultra-miniature laser display and sensing technology, today announced the pricing of an underwritten public offering of 7 million shares of its common stock at a public offering price of...
Dec 06, 2018 08:44 am ET
RedHill Biopharma Announces Pricing of $20 Million Underwritten Offering
RedHill Biopharma Ltd. (Nasdaq:RDHL) (Tel-Aviv Stock Exchange:RDHL) (“RedHill” or the “Company”), a specialty biopharmaceutical company primarily focused on proprietary drugs for gastrointestinal diseases, today announced the pricing of its...
Dec 04, 2018 04:01 pm ET
RedHill Biopharma Announces Proposed Public Offering of its American Depositary Shares
RedHill Biopharma Ltd. (Nasdaq: RDHL) (Tel-Aviv Stock Exchange: RDHL) (“RedHill” or the “Company”), a specialty biopharmaceutical company primarily focused on proprietary drugs for gastrointestinal diseases, today announced that it intends to offer...
Dec 04, 2018 08:00 am ET
Ladenburg Declares Quarterly Dividend on Common Stock
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK), a publicly-traded, diversified financial services company, today announced its Board of Directors has declared a quarterly cash dividend of $0.0125 per share of common stock, payable on December 28, 2018 to shareholders of record as of the close of business on December 14, 2018.
Nov 13, 2018 04:37 pm ET
WhiteHorse Finance, Inc. Announces Closing of Public Offering of $35,000,000 6.50% Notes Due 2025
NEW YORK, Nov. 13, 2018 /PRNewswire/ -- WhiteHorse Finance, Inc. ("WhiteHorse Finance" or the "Company") (NASDAQ: WHF) announced today that it has closed a registered public offering of $35,000,000 aggregate principal amount of 6.50% notes due 2025 (the "Notes"), which includes the partial exercise by the underwriters of their option to purchase an additional $2,000,000 aggregate principal amount of Notes. The offering, including the exercise of such option, resulted in net proceeds to the Company of approximately $33.7 million based on a public offering price of 100% of the aggregate princi...
Nov 08, 2018 07:05 pm ET
WhiteHorse Finance, Inc. Prices Public Offering of $33,000,000 6.50% Notes Due 2025
NEW YORK, Nov. 8, 2018 /PRNewswire/ -- WhiteHorse Finance, Inc. ("WhiteHorse Finance" or the "Company") (NASDAQ: WHF) announced today that it has priced a registered public offering of $33,000,000 aggregate principal amount of its 6.50% notes due 2025 (the "Notes"), which will result in net proceeds to the Company of approximately $31.8 million (or approximately $36.5 million if the underwriters fully exercise the overallotment option described below) based on a public offering price of 100% of the aggregate principal amount of the Notes, after deducting payment of underwriting discounts and...
Nov 08, 2018 06:00 am ET
Securities America Recruits Betcher Financial Group, a Producer Group with $250 Million in Client Assets
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK), announced today that it has recruited Betcher Financial Group, a network of nine advisors with approximately $250 million in client assets. The announcement further demonstrates t
Nov 07, 2018 07:30 am ET
Ladenburg Reports Third Quarter 2018 Financial Results
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK) today announced financial results for the three and nine months ended September 30, 2018.
Nov 01, 2018 04:30 pm ET
Triad Advisors Announces Successful Recruitment Of Stonebridge Financial Group To Its Hybrid Solutions Platform
ATLANTA, Nov. 1, 2018 /PRNewswire/ -- Triad Advisors, LLC ("Triad" or "the Firm"), a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK), and a leading independent advisory and brokerage (IAB) firm supporting independent hybrid financial advisory practices and registered investment advisory (RIA) firms, today announced that Pennsylvania-based Stonebridge Financial Group ("Stonebridge") has joined its hybrid solutions platform....
Nov 01, 2018 08:00 am ET
Ladenburg’s Highland Capital Brokerage Subsidiary Acquires Certain Assets of Four Seasons Financial Group
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK) (“Ladenburg”), a publicly-traded, diversified financial services company, announced today that its Highland Capital Brokerage (“Highland”) subsidiary has acquired certain assets of Four Seasons Financial Group, an independent insurance and annuity distribution company located in Marlton, New Jersey. The acquisition further demonstrates Ladenburg’s ability to leverage its nationwide scale and resources to reinforce its position in the increasingly vital
Oct 23, 2018 06:00 am ET
Ladenburg’s Highland Capital Brokerage Subsidiary Launches Hybrid Long-Term Care Insurance Desk to Support Financial Advisors
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK) (“Ladenburg”), a publicly-traded, diversified financial services company, announced today that its Highland Capital Brokerage (“Highland”) subsidiary has completed the launch of its new Hybrid Long-Term Care Insurance Solutions Desk. The new resource provides advisors affiliated with Ladenburg’s independent advisory and brokerage (IAB) subsidiaries with education, training and sales support in order to identify and implement effective solutions in the
Oct 18, 2018 06:00 am ET
Securities America Recruits Advisory Duo with $151 Million in Client Assets
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK), announced today that JSD Associates has joined the company’s platform. David Vinciguerra serves as president for the North Syracuse, New York-based financial services firm. Together with Vice President Giovanni Vitale, the two highly experienced advisors manage $151 million in client assets. They will affiliate with Securities America through Evolution Financial Advisors (EFA), a Super-OSJ based in Victor,
Oct 15, 2018 06:00 am ET
Ladenburg Institute of Women & Finance Concludes Seventh Annual Symposium to Champion Advancement of Women Advisors
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK) (“Ladenburg”), a publicly-traded, diversified financial services company, together with its independent advisory and brokerage (IAB) subsidiaries Securities America, Triad Advisors, Investacorp, KMS Financial Services, and Securities Service Network, today announced the successful conclusion of its seventh annual Ladenburg Institute of Women & Finance Symposium. The annual, invitation-only event, held this year from Oct. 9 to 11 in Dallas, hosted ov
Oct 03, 2018 07:30 am ET
Ladenburg Announces Appointment of Glenn C. Davis to Its Board of Directors
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK) announced today that it has appointed Glenn C. Davis, CPA, to the Company’s Board of Directors and its Audit Committee, effective immediately. With the addition of Mr. Davis, Ladenburg’s Board will be comprised of nine directors, five of whom are independent, and its Audit Committee will have three members, all of whom are independent.
Oct 02, 2018 09:45 am ET
Scott+Scott Attorneys at Law LLP Announces Investigation into Ladenburg Thalmann Financial Services Inc. (LTS) on Behalf of Investors
NEW YORK, Oct. 2, 2018 /PRNewswire/ -- Scott+Scott Attorneys at Law LLP ("Scott+Scott"), a national shareholder and consumer rights litigation firm, is investigating whether Ladenburg Thalmann Financial Services Inc. ("Ladenburg" or the "Company") (NYSE: LTS) or certain of its officers and directors violated federal securities laws.  If you purchased Ladenburg stock or securities and have suffered a loss, you are encouraged to contact a Scott+Scott attorney at (844) 818-6980 for more information....
Oct 01, 2018 09:05 am ET
Achieve Announces Pricing of $5.6 Million Registered Direct Offering
SEATTLE and VANCOUVER, British Columbia, Oct. 1, 2018 /CNW/ -- Achieve Life Sciences, Inc. (Nasdaq: ACHV), a clinical-stage pharmaceutical company committed to the global development and commercialization of cytisine for smoking cessation, today announced that it has entered into a securities purchase agreement with certain institutional investors providing for the purchase and sale of 1,789,258 shares of common stock at a price of $3.1445 per share in a registered direct offering, resulting in total gross proceeds of approximately $5.6 million. The Company also agreed to issue unregistered ...
Oct 01, 2018 09:05 am ET
Achieve Announces Pricing of $5.6 Million Registered Direct Offering
SEATTLE and VANCOUVER, British Columbia, Oct. 1, 2018 /PRNewswire/ -- Achieve Life Sciences, Inc. (Nasdaq: ACHV), a clinical-stage pharmaceutical company committed to the global development and commercialization of cytisine for smoking cessation, today announced that it has entered into a securities purchase agreement with certain institutional investors providing for the purchase and sale of 1,789,258 shares of common stock at a price of $3.1445 per share in a registered direct offering, resulting in total gross proceeds of approximately $5.6 million. The Company also agreed to issue unregi...
Oct 01, 2018 08:30 am ET
Ladenburg Thalmann Financial Services Inc. Confirms Series A Preferred Stock Monthly Dividends for Q4 2018
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK) today confirmed the fourth quarter 2018 monthly cash dividends for its 8.00% Series A Cumulative Redeemable Preferred Stock. The $0.1667 per share dividends are payable as follows:
Sep 20, 2018 07:56 pm ET
Ladenburg Announces CEO Richard Lampen to Serve as Chairman
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK) (“Ladenburg”) announced today that its Board of Directors has appointed Richard Lampen, Ladenburg’s President and Chief Executive Officer, to serve as Chairman of the Board, replacing Dr. Phillip Frost. Adam Malamed, Ladenburg’s Executive Vice President and Chief Operating Officer, will join the Board of Directors.
Sep 20, 2018 06:48 pm ET
LTS INVESTOR ALERT: Law Offices of Howard G. Smith Announces Investigation on Behalf of Ladenburg Thalmann Financial Services Inc. Investors
Law Offices of Howard G. Smith announces an investigation on behalf of Ladenburg Thalmann Financial Services Inc. (“Ladenburg” or the “Company) (NYSE: LTS) investors concerning the Company and its officers’ possible violations of federal securities laws.
Sep 18, 2018 06:00 pm ET
INVESTOR ALERT: Investigation of Ladenburg Thalmann Announced by Holzer & Holzer
Holzer & Holzer, LLC is investigating whether Ladenburg Thalmann Financial Services, Inc. (“Ladenburg Thalmann” or the “Company”) (NYSE: LTS) complied with the federal securities laws. On September 7, 2018, the Securities and Exchange Commission announced charges against Phillip Frost, the Chairman of Ladenburg Thalmann’s Board of Directors, alleging he participated in a scheme to manipulate the stock prices of two microcap companies. On September 18, 2018, an article published on Seekingalpha.com by Hindenburg Investment Research asserte
Sep 05, 2018 09:20 pm ET
Monroe Capital Corporation Prices Public Offering of $60 Million 5.75% Notes Due 2023
Monroe Capital Corporation (the “Company”) (NASDAQ: MRCC) announced today that it has priced an underwritten public offering of $60.0 million in aggregate principal amount of its 5.75% notes due 2023 (the “Notes”) which will result in net proceeds...
Sep 05, 2018 08:37 am ET
Monroe Capital Corporation Announces Public Offering of Notes and A- Rating from Egan-Jones Ratings Company
Monroe Capital Corporation (the “Company”) (NASDAQ: MRCC) announced today that it has commenced an underwritten public offering of unsecured notes due 2023 (the “Notes”), subject to market and other conditions. The Company also announced that it...
Sep 05, 2018 06:00 am ET
Ladenburg Thalmann Annuity Insurance Services (LTAIS) Acquires Certain Assets of Kestler Financial Group’s Insurance Distribution Business
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF, LTSK) (“Ladenburg”), a publicly-traded, diversified financial services company, announced today that its Ladenburg Thalmann Annuity Insurance Services LLC (“LTAIS”) subsidiary has purchased certain assets of the insurance distribution business operated by
Aug 30, 2018 06:00 am ET
Securities America Recruits Patriot Financial Group, Boston-Area Hybrid RIA and Super-OSJ With Approximately $650 Million in Client Assets
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK), announced today that Patriot Financial Group, an independent hybrid Registered Investment Advisor and Super Office of Supervisory Jurisdiction based in Westborough, Massachusetts with approximately $650 million in total client assets and 33 total financial advisors, has joined Securities America.
Aug 24, 2018 08:30 am ET
Ladenburg Increases Quarterly Dividend on Common Stock by 25%
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF, LTSK) (“Ladenburg”), a publicly-traded, diversified financial services company, today announced its Board of Directors has approved an increase of its quarterly cash dividend to $.0125 per share of common stock. The dividend is payable on September 28, 2018 to shareholders of record as of the close of business on September 14, 2018.
Aug 16, 2018 04:55 pm ET
Ladenburg Thalmann Announces Closing of Public Offering of 7.25% Senior Notes Due 2028
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS; LTS PrA; LTSL; LTSF) (the “Company”) today announced that it has closed its previously announced underwritten registered public offering of $60 million aggregate principal amount of 7.25% senior notes due 2028 (the “Notes”). The Company has granted the underwriters a 30-day option to purchase up to an additional $9 million aggregate principal amount of Notes in connection with the offering to cover overallotments, if any. The Notes are expected to be listed on the NYSE American and
Aug 16, 2018 06:00 am ET
Ladenburg Launches New Succession, Continuity & Acquisitions Platform to Support Business Strategies of Financial Advisors
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF) (“Ladenburg”), a publicly-traded, diversified financial services company, today announced the launch of a new Succession, Continuity & Acquisitions (SCA) platform. The new suite of service offerings and tools will assist advisors across Ladenburg’s independent advisory and brokerage (IAB) subsidiaries in achieving their long-term strategic business goals through practice acquisitions to accelerate growth or liquidity events that are part of a planned retirement
Aug 15, 2018 09:00 am ET
Gladstone Investment Corporation Prices Series E Term Preferred Stock Offering
Gladstone Investment Corporation (NASDAQ: GAIN) (the “Company”) today announced that it has entered into an agreement to sell 2,600,000 shares of its newly designated 6.375% Series E Cumulative Term Preferred Stock due 2025 (the “Series E Term...
Aug 14, 2018 10:16 am ET
RedHill Biopharma Announces Closing of $25 Million Underwritten Offering
RedHill Biopharma Ltd. (Nasdaq: RDHL) (Tel-Aviv Stock Exchange: RDHL) (“RedHill” or the “Company”), a specialty biopharmaceutical company primarily focused on proprietary drugs for gastrointestinal diseases, today announced the closing of its...
Aug 14, 2018 08:00 am ET
Ladenburg Thalmann Mourns Passing of Board Member Jeffrey S. Podell
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF) today announced that Jeffrey Podell, a long-serving member of the company’s Board of Directors, has passed away.
Aug 09, 2018 07:38 pm ET
Ladenburg Thalmann Announces Pricing of Public Offering of 7.25% Senior Notes Due 2028
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS; LTS PrA; LTSL; LTSF) (the “Company”) today announced that it has priced an underwritten registered public offering of $60 million aggregate principal amount of 7.25% senior notes due 2028 (the “Notes”) at 100% of the principal amount, plus accrued interest from August 16, 2018, if the initial settlement occurs after that date. The Company has granted the underwriters a 30-day option to purchase up to an additional $9 million aggregate principal amount of Notes in connection with the
Aug 07, 2018 07:30 am ET
Ladenburg Reports Second Quarter 2018 Financial Results
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL, LTSF) today announced financial results for the three and six months ended June 30, 2018.
Aug 02, 2018 06:00 am ET
Ladenburg Thalmann Investment Banking Announces Successful Conclusion of Inaugural Technology Expo
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF) (“Ladenburg”), a publicly-traded, diversified financial services company, and the firm’s investment banking arm, Ladenburg Thalmann & Co. Inc. (“LTCO”), today announced the successful conclusion of LTCO’s inaugural Technology Expo, an invitation-only event conducted by LTCO’s Technology Investment Banking Group in coordination with the firm’s Research and Corporate Access Teams. Held on May 31 in New York, the event hosted more than 250 attendees, including lead
Aug 01, 2018 08:10 am ET
Market Trends Toward New Normal in US Foods Holding, Limelight Networks, Ladenburg Thalmann Financial Services, MPLX LP, Cytokinetics, and FuelCell Energy — Emerging Consolidated Expectations, Analyst
In new independent research reports released early this morning, Fundamental Markets released its latest key findings for all current investors, traders, and shareholders of US Foods Holding Corp. (NYSE:USFD), Limelight Networks, Inc....
Jul 30, 2018 08:00 am ET
Ladenburg Appoints Kirk Hulett Senior Vice President for Organizational & Practice Development
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF) (“Ladenburg”), a publicly-traded, diversified financial services company, today announced that Kirk Hulett, Head of Ladenburg Practice Management, has been appointed Senior Vice President for Organizational & Practice Development for Ladenburg’s entire enterprise, encompassing its five independent advisory and brokerage (IAB) subsidiaries: Securities America, Triad Advisors, KMS Financial Services, Investacorp and Securities Service Network (SSN).
Jul 27, 2018 08:30 am ET
Cellectar Biosciences Announces Pricing of $14.4 Million Underwritten Public Offering 
Cellectar Biosciences (Nasdaq:CLRB) (“Cellectar” or the “Company”), a clinical stage biopharmaceutical company focused on the discovery, development and commercialization of drugs for the treatment of cancer, today announced the pricing of an...
Jul 25, 2018 06:00 am ET
Ladenburg Makes Strategic Investment in Track Technologies, Enabling Financial Advisors to Serve ‘Gig Economy’ Clients with Turnkey Tax Solutions
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF) (“Ladenburg”), a publicly-traded, diversified financial services company, today announced its strategic investment in Track Technologies, Inc. (“Track”), a San Francisco-based digital provider of tax automation for independent contractors, freelancers, and other workers who generate self-employed income. The investment, which is the first major outgrowth of Ladenburg’s recently launched Innovation Lab and its inaugural Innovation Symposium in May, enables Ladenb
Jul 23, 2018 08:00 am ET
Ladenburg Thalmann Congratulates Independent Advisory and Brokerage Subsidiaries on Ranking Among the Top Firms in the Industry for Women Financial Advisors
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF) (“Ladenburg”), a publicly-traded, diversified financial services company, today congratulated its independent advisory and brokerage (IAB) subsidiaries for standing out in the industry for their commitment to recruiting female financial advisors and contributing to their professional growth. Ladenburg’s five IAB subsidiary firms are Securities America, Triad Advisors, KMS Financial Services, Investacorp and Securities Service Network (SSN).
Jul 12, 2018 08:30 am ET
Avinger Announces Pricing of $3.55 Million Registered Direct Offering
Avinger, Inc. (NASDAQ:AVGR), a leading developer of innovative treatments for peripheral artery disease (PAD), today announced that it has entered into a securities purchase agreement with certain institutional investors providing for the purchase...
Jul 12, 2018 06:00 am ET
Ladenburg Launches Retirement Plan Consulting Platform to Accelerate Delivery of Enhanced Solutions from Financial Advisors to Retirement Plan Sponsors
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF) (“Ladenburg”), a publicly-traded, diversified financial services company, today announced the launch of its Retirement Plan Consulting Platform, which will combine ongoing consulting support with enhanced software tools, training and other resources to facilitate growth for retirement plan-focused advisors across its five independent advisory and brokerage (IAB) subsidiaries: Securities America, Triad Advisors, KMS Financial Services, Investacorp and Securities
Jul 10, 2018 08:31 pm ET
Chicken Soup for the Soul Entertainment Announces Partial Exercise of Underwriters' Option to Purchase Additional Shares of Series A Redeemable Perpetual Preferred Stock Offering
Chicken Soup for the Soul Entertainment, Inc. (“CSS Entertainment”) (Nasdaq:CSSE), a growing media company building online video on-demand (“VOD”) networks that provide positive and entertaining video content for all screens, today announced that...
Jul 10, 2018 04:14 pm ET
Saratoga Investment Corp. Announces Commencement of Public Offering of Common Stock
NEW YORK, July 10, 2018 /PRNewswire/ -- Saratoga Investment Corp. (the "Company") (NYSE: SAR) today announced the commencement of a public offering of 1,000,000 shares of common stock. The Company also plans to grant the underwriters a 30-day option to purchase up to an additional 150,000 shares of its common stock....
Jul 02, 2018 08:00 am ET
Ladenburg Thalmann Financial Services Inc. Confirms Series A Preferred Stock Monthly Dividends for Q3 2018
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF) today confirmed the third quarter 2018 monthly cash dividends for its 8.00% Series A Cumulative Redeemable Preferred Stock. The $0.1667 per share dividends are payable as follows:
Jun 29, 2018 09:27 am ET
CHF Solutions, Inc. Announces Pricing of Common Stock Offering
CHF Solutions, Inc. (NASDAQ:CHFS) today announced the pricing of an underwritten public offering of 2,214,930 shares of its common stock at a price to the public of $2.12 per share, for gross proceeds of approximately $4.7 million prior to...
Jun 29, 2018 06:00 am ET
Securities America Announces Election of CEO Jim Nagengast to FINRA Board of Governors
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF), announced today that Securities America CEO and President, Jim Nagengast, has been elected to the Financial Industry Regulatory Authority (FINRA) Board of Governors.
Jun 28, 2018 06:00 am ET
Securities America Welcomes Futurity First Insurance Group to Its Platform
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF), announced today that Futurity First Insurance Group – an independent, nationwide insurance distribution organization that specializes in retirement income and insurance protection solutions with $222 million in client assets – has joined Securities America, an independent advisory and brokerage firm.
Jun 27, 2018 05:53 pm ET
CM Finance Inc Prices Public Offering of $30,000,000 6.125% Notes Due 2023
CM Finance Inc (the “Company”) (Nasdaq:CMFN) announced today that it has priced a registered public offering of $30,000,000 aggregate principal amount of its 6.125% notes due 2023 (the “Notes”), which will result in net proceeds to the Company of...
Jun 19, 2018 04:01 pm ET
Achieve Life Sciences, Inc. Announces Closing of a $13.8 Million Underwritten Public Offering and Full Exercise of Over-Allotment Option
SEATTLE and VANCOUVER, British Columbia, June 19, 2018 /CNW/ -- Achieve Life Sciences, Inc. (NASDAQ: ACHV), a clinical-stage pharmaceutical company committed to the global development and commercialization of cytisine for smoking cessation, today announced the closing of an underwritten public offering of units for gross proceeds of $13.8 million, which includes the full exercise of the underwriter's over-allotment option to purchase additional shares and warrants, prior to deducting underwriting discounts and commissions and estimated offering expenses. ...
Jun 19, 2018 04:01 pm ET
Achieve Life Sciences, Inc. Announces Closing of a $13.8 Million Underwritten Public Offering and Full Exercise of Over-Allotment Option
SEATTLE and VANCOUVER, British Columbia, June 19, 2018 /PRNewswire/ -- Achieve Life Sciences, Inc. (NASDAQ: ACHV), a clinical-stage pharmaceutical company committed to the global development and commercialization of cytisine for smoking cessation, today announced the closing of an underwritten public offering of units for gross proceeds of $13.8 million, which includes the full exercise of the underwriter's over-allotment option to purchase additional shares and warrants, prior to deducting underwriting discounts and commissions and estimated offering expenses. ...
Jun 19, 2018 06:00 am ET
Securities America Names Jim Meyers Chief Operating Officer
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF), announced today that it has named Jim Meyers to the position of senior vice president and chief operating officer. In his new position, Meyers will provide leadership and management of the firm’s broker-dealer and RIA service platforms, and will formulate and implement operational strategies to support Securities America’s growth goals.
Jun 15, 2018 08:30 am ET
Achieve Life Sciences Announces Pricing of $12 Million Underwritten Public Offering
SEATTLE and VANCOUVER, British Columbia, June 15, 2018 /CNW/ -- Achieve Life Sciences, Inc. (NASDAQ: ACHV), a clinical-stage pharmaceutical company committed to the global development and commercialization of cytisine for smoking cessation, today announced the pricing of an underwritten public offering of units for gross proceeds of $12 million, prior to deducting underwriting discounts and commissions and estimated offering expenses....
Jun 15, 2018 08:30 am ET
Achieve Life Sciences Announces Pricing of $12 Million Underwritten Public Offering
SEATTLE and VANCOUVER, British Columbia, June 15, 2018 /PRNewswire/ -- Achieve Life Sciences, Inc. (NASDAQ: ACHV), a clinical-stage pharmaceutical company committed to the global development and commercialization of cytisine for smoking cessation, today announced the pricing of an underwritten public offering of units for gross proceeds of $12 million, prior to deducting underwriting discounts and commissions and estimated offering expenses....
Jun 14, 2018 04:10 pm ET
MicroVision Announces Closing of $18 Million Offering of Common Stock
MicroVision, Inc. (NASDAQ:MVIS), a leader in innovative ultra-miniature laser display and sensing technology, today announced the closing of its underwritten public offering of 14.4 million shares of its common stock at a public offering price of...
Jun 11, 2018 05:19 pm ET
MicroVision Announces Proposed Public Offering of Common Stock
MicroVision, Inc. (NASDAQ:MVIS), a leader in innovative ultra-miniature projection display and sensing technology, today announced that it intends to offer to sell, subject to market and other conditions, shares of its common stock in an...
Jun 01, 2018 08:00 am ET
Ladenburg Declares Quarterly Dividend on Common Stock
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA, LTSF), a publicly-traded, diversified financial services company, today announced its Board of Directors has declared a quarterly cash dividend of $0.01 per share of common stock, payable on June 28, 2018 to shareholders of record as of the close of business on June 15, 2018.
May 31, 2018 04:27 pm ET
Oncolytics Biotech® Announces Public Offering of Common Shares
Oncolytics Biotech® Inc. (TSX:ONC) (OTCQX:ONCYD), currently developing REOLYSIN® (pelareorep), an intravenously delivered immuno-oncolytic virus turning cold tumors hot, today announced that it has commenced a registered underwritten public...
May 31, 2018 06:00 am ET
Triad Advisors Welcomes Pinnacle Private Wealth To Its Broker-Dealer And Hybrid RIA Platforms
ATLANTA, May 31, 2018 /PRNewswire/ -- Triad Advisors, LLC ("Triad" or "the Firm"), a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA), and a leading independent advisory and brokerage (IAB) firm supporting independent hybrid financial advisory practices and registered investment advisory (RIA) firms, today announced that Boston-area independent advisory firm Pinnacle Private Wealth ("Pinnacle") has joined its broker-dealer and hybrid RIA custodial platforms....
May 30, 2018 04:51 pm ET
Ladenburg Thalmann Announces Closing of Public Offering of Senior Notes Due 2028
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS; LTSL; LTS PrA) (the “Company”) today announced that it has closed its previously announced underwritten registered public offering of $40 million aggregate principal amount of 7.00% senior notes due 2028 (the “Notes”). The Company has granted the underwriters a 30-day option to purchase up to an additional $6 million aggregate principal amount of Notes in connection with the offering to cover overallotments, if any. The Notes are expected to be listed on the NYSE American and to tra
May 29, 2018 01:43 pm ET
iPass to Present at the 1st Annual Ladenburg Thalmann Tech Expo
iPass Inc. (NASDAQ:IPAS), a leading provider of global mobile connectivity, announced today that it will be presenting at the 1st Annual Ladenburg Thalmann Tech Expo Conference being held on May 31st, 2018 at Convene in New York City.  The company...
May 29, 2018 06:00 am ET
Ladenburg Concludes Inaugural Innovation Symposium to Identify Transformative Fin Tech Solutions
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTSL, LTS PrA) (“Ladenburg”), a publicly-traded, diversified financial services company, today announced the successful conclusion of the firm’s inaugural Innovation Symposium, held on May 22 in San Francisco. The invitation-only event brought together CEOs of early-stage, venture-backed fin tech start-ups, leaders of technology-focused venture capital firms and an elite group of growth-oriented financial advisors specially selected from Ladenburg’s five subsidiary independent advis
May 22, 2018 06:21 pm ET
Ladenburg Thalmann Announces Pricing of Public Offering of Senior Notes Due 2028
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS; LTSL; LTS PrA) (the “Company”) today announced that it has priced an underwritten registered public offering of $40 million aggregate principal amount of 7.00% senior notes due 2028 (the “Notes”) at 100% of the principal amount, plus accrued interest from May 30, 2018, if the initial settlement occurs after that date. The Company has granted the underwriters a 30-day option to purchase up to an additional $6 million aggregate principal amount of Notes in connection with the offering
May 22, 2018 08:16 am ET
Ladenburg Thalmann Announces Public Offering of Senior Notes Due 2028
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS; LTSL; LTS PrA) (the “Company”) today announced that it has commenced an underwritten registered public offering of senior notes due 2028 (the “Notes”), subject to market and certain other conditions. The Company intends to grant the underwriters a 30-day option to purchase additional Notes in connection with the offering solely to cover overallotments, if any. The Notes are expected to be listed on the NYSE American and to trade thereon under the symbol “LTSF” within 30 days of the
May 09, 2018 07:34 am ET
Ladenburg Reports First Quarter 2018 Financial Results
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA, LTSL) today announced financial results for the three months ended March 31, 2018.
Apr 26, 2018 07:30 am ET
Ladenburg Thalmann Sends Annual Letter to Shareholders
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS; LTS PrA) today announced that the Company sent the following annual letter to its shareholders from the Chairman of the Board, Dr. Phillip Frost, and the Company’s President and Chief Executive Officer, Richard J. Lampen:
Apr 26, 2018 06:00 am ET
Triad Advisors Announces Successful Recruitment Of Cirrus Wealth Management To Its Broker-Dealer And Hybrid RIA Platforms
ATLANTA, April 26, 2018 /PRNewswire/ -- Triad Advisors, LLC ("Triad" or "the Firm"), a wholly owned subsidiary of Ladenburg Thalmann Financial Services (NYSE American: LTS, LTS PrA) and a leading independent advisory and brokerage (IAB) firm supporting independent hybrid financial advisory practices and registered investment advisory (RIA) firms, today announced that it has successfully recruited Cirrus Wealth Management ("Cirrus") to join its broker-dealer and hybrid RIA custodial platforms....
Apr 20, 2018 04:40 pm ET
Ladenburg Commemorates Investacorp’s 40th Anniversary with Launch of New Pioneers Program for Aspiring Financial Advisors
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA) (“Ladenburg”), a publicly-traded, diversified financial services company, today congratulated Investacorp, Inc. (“Investacorp”) on reaching its 40th anniversary. To mark the occasion, Ladenburg announced its support of Investacorp’s recent launch of its New Pioneers Program, developed to provide scholarships and paid internships with the Investacorp home office to college students interested in a career in the financial advice industry upon graduation.
Apr 10, 2018 06:00 am ET
Morrison, Nordmann & Associates Moves to Securities America
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA), announced today that Morrison, Nordmann & Associates, an independent wealth management firm with $120 million in total client assets, completed its transition to Securities America in the fourth quarter of 2017.
Apr 05, 2018 06:00 am ET
Securities America Announces ‘Link to the Future’ Program to Inspire Advisors’ College-Age Children and Other Students to Enter Financial Advice Industry
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA), today announced the launch of its ‘Link to the Future’ scholarship program to inspire current advisors’ college-age sons and daughters, as well as other finance-oriented university students, to pursue careers in the financial advice industry by enabling them to attend the firm’s Connect National Conference in New Orleans from June 3-6.
Apr 04, 2018 06:00 am ET
Ladenburg Partners with The W Source™ to Facilitate Further Growth of Female Financial Advisors’ Businesses
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA) (“Ladenburg”), a publicly-traded, diversified financial services company, today announced that the Ladenburg Institute of Women & Finance (LIWF) has entered into a strategic partnership with The W Source™, a nationwide networking organization for female professionals. The partnership will aim to support female financial advisors’ businesses through business network referrals and help drive the advancement of women within the industry.
Apr 02, 2018 08:00 am ET
Ladenburg Thalmann Financial Services Inc. Confirms Series A Preferred Stock Monthly Dividends for Q2 2018
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS; LTS PrA) today confirmed the second quarter 2018 monthly cash dividends for its 8.00% Series A Cumulative Redeemable Preferred Stock. The $0.1667 per share dividends are payable as follows:
Mar 29, 2018 06:00 am ET
Triad Advisors Facilitates Recruitment Of Veteran Financial Advisor Chris Kohne To Sugarloaf Wealth Management
ATLANTA, March 29, 2018 /PRNewswire/ -- Triad Advisors, LLC ("Triad" or "the Firm"), a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA) and a leading independent advisory and brokerage (IAB) firm supporting independent hybrid financial advisory practices and registered investment advisory (RIA) firms, today announced it has successfully facilitated the recruitment of Atlanta area advisor Chris Kohne to Sugarloaf Wealth Management, a Triad-affiliated hybrid RIA. Mr. Kohne brings approximately $100 million in client assets to Sugarloaf, drivin...
Mar 28, 2018 06:00 am ET
Ladenburg Launches Enterprise-Level Behavioral Financial Advice Training Program to Fuel Advisor Growth and Success
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA) (“Ladenburg”), a publicly-traded, diversified financial services company, today announced that its Ladenburg Practice Management team has launched the Behavioral Financial Advice Training Program to help fuel the growth and success of financial advisors across Ladenburg’s five subsidiary firms: Securities America, Triad Advisors, KMS Financial Services, Investacorp and Securities Service Network (SSN).
Mar 22, 2018 09:00 am ET
Triad Advisors Successfully Concludes 14th Annual Alternative Investments Conference
ATLANTA, March 22, 2018 /PRNewswire/ -- Triad Advisors, LLC ("Triad" or "the Firm"), a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA) and a leading independent advisory and brokerage (IAB) firm supporting independent hybrid financial advisory practices and registered investment advisory (RIA) firms, today announced the successful conclusion of its 14th annual Alternative Investments Conference, which was held March 19-21 at the Four Seasons Hotel in Las Vegas....
Mar 16, 2018 07:30 am ET
Ladenburg Reports Fourth Quarter and Full Year 2017 Financial Results
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA) today announced financial results for the fourth quarter and full year ended December 31, 2017.
Mar 13, 2018 09:00 am ET
Investacorp Launches Multigenerational Consulting Solutions Platform to Drive Sustainability of Family-Owned Independent Financial Advisor Practices
MIAMI, March 13, 2018 /PRNewswire/ -- Investacorp, Inc. ("Investacorp") – an independent advisory and brokerage (IAB) firm and wholly-owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA) – today announced the launch of its Multigenerational Consulting Solutions (MCS) platform.  Building on the firm's longstanding expertise in supporting family-run independent financial advisor practices of all sizes, Investacorp also named Chris Yarosh, a veteran member of the firm's leadership team, to the newly-created role of Director, Multigenerational Consulting S...
Mar 07, 2018 07:00 am ET
Securities America Adds Two Groups and a Super OSJ to Its Platform
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services (NYSE American: LTS, LTS PrA), announced today that two large independent financial services firms and a Super OSJ have joined its platform.
Feb 27, 2018 08:00 am ET
Ladenburg Declares Quarterly Dividend on Common Stock
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA), a diversified financial services company, today announced its Board of Directors has declared a quarterly cash dividend of $0.01 per share of common stock, payable on March 28, 2018 to shareholders of record as of the close of business on March 15, 2018.
Feb 22, 2018 04:05 pm ET
Fidus Investment Corporation Announces Exercise and Closing of Underwriters’ Overallotment Option to Purchase Additional 5.875% Notes Due 2023
EVANSTON, Ill., Feb. 22, 2018 (GLOBE NEWSWIRE) -- Fidus Investment Corporation (NASDAQ:FDUS) (“Fidus” or the “Company”) today announced that, in connection with its previously disclosed registered public offering of $43.5 million aggregate principal amount of its 5.875% notes...
Feb 16, 2018 01:30 pm ET
Avinger Announces Closing of $18 Million Underwritten Public Offering
Secured Lenders Convert $38 Million of Debt into Equity
Feb 15, 2018 04:00 pm ET
KMS Financial Services Announces Erinn Ford To Serve As President
SEATTLE, Feb. 15, 2018 /PRNewswire/ -- KMS Financial Services, Inc. ("KMS"), a Seattle-based independent advisory and brokerage ("IAB") firm supporting 350 financial advisors, today announced the appointment of Erinn Ford as the firm's President, to take effect in March.  Ms. Ford will succeed Tracy "Ace" Forsythe, a 20-year KMS veteran who is retiring this summer. KMS is a wholly-owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA)....
Feb 15, 2018 11:43 am ET
Catalyst Biosciences Announces Closing of Public Offering of Common Stock
SOUTH SAN FRANCISCO, Calif., Feb. 15, 2018 (GLOBE NEWSWIRE) -- Catalyst Biosciences, Inc. (NASDAQ:CBIO), a clinical-stage biopharmaceutical company focused on developing novel medicines to address hematology indications (the Company), today announced the closing of an underwritten public offering...
Feb 14, 2018 08:30 am ET
Avinger Announces Pricing of $18 Million Underwritten Public Offering
Secured Lenders Convert $38 Million of Debt into Equity
Feb 13, 2018 08:46 am ET
Catalyst Biosciences Announces Pricing of Public Offering of Common Stock
SOUTH SAN FRANCISCO, Calif., Feb. 13, 2018 (GLOBE NEWSWIRE) -- Catalyst Biosciences, Inc. (NASDAQ:CBIO), a clinical-stage biopharmaceutical company focused on developing novel medicines to address hematology indications (the Company), today announced the pricing of an underwritten public offering...
Feb 12, 2018 06:30 pm ET
MediciNova Announces Closing of Underwritten Public Offering of Common Stock
LA JOLLA, Calif., Feb. 12, 2018 (GLOBE NEWSWIRE) -- MediciNova, Inc., a biopharmaceutical company traded on the NASDAQ Global Market (NASDAQ:MNOV) and the JASDAQ Market of the Tokyo Stock Exchange (Code Number: 4875), announced today the closing of...
Feb 12, 2018 04:33 pm ET
Catalyst Biosciences Announces Proposed Public Offering of Common Stock
SOUTH SAN FRANCISCO, Calif., Feb. 12, 2018 (GLOBE NEWSWIRE) -- Catalyst Biosciences, Inc. (NASDAQ:CBIO), a clinical-stage biopharmaceutical company focused on developing novel medicines to address hematology indications (the Company), today announced that it is offering, subject to market...
Feb 08, 2018 05:00 pm ET
Securities America Adds Two Groups with $3.5B in Total Client Assets
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA), announced today that a highly-sought-after consortium of independent financial advisors with $2 billion in client assets and a Super OSJ with $1.5 billion in client assets have transitioned to its independent advisory and brokerage platform.
Feb 08, 2018 06:00 am ET
Ladenburg Names Industry Veteran John Blood Senior Vice President of Advisory Services & Solutions
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA) (“Ladenburg”), a publicly-traded, diversified financial services company, today announced the appointment of fee-based advisory platforms industry veteran John Blood to the role of Senior Vice President, Advisory Services and Solutions, effective immediately. Mr. Blood will report directly to Adam Malamed, Ladenburg’s Executive Vice President and Chief Operating Officer, and will provide strategic leadership, positioning and guidance for Ladenburg’s advisory and RIA offerin
Feb 07, 2018 04:01 pm ET
MediciNova Announces Proposed Underwritten Public Offering of Common Stock
LA JOLLA, Calif., Feb. 07, 2018 (GLOBE NEWSWIRE) -- MediciNova, Inc., a biopharmaceutical company traded on the NASDAQ Global Market (NASDAQ:MNOV) and the JASDAQ Market of the Tokyo Stock Exchange (Code Number:4875), announced today that it intends to...
Feb 06, 2018 08:00 am ET
Securities Service Network Drives Recruitment Of Sixteen Independent Advisors With $441 Million In Client Assets; Identifies Strong Growth Potential In Supporting Tax-Savvy Financial Planners
KNOXVILLE, Tenn., Feb. 6, 2018 /PRNewswire/ -- Securities Service Network, LLC (SSN), a leading independent advisory and brokerage (IAB) firm, today announced the recruitment of five independent financial advisory practices with a total of sixteen independent advisors and approximately $441 million in total advisory and brokerage client assets. SSN is a wholly owned subsidiary of Ladenburg Thalmann Financial Services (NYSE American: LTS, LTS PrA)....
Feb 02, 2018 11:30 am ET
Fidus Investment Corporation Announces Closing of Public Offering of $43,478,275 5.875% Notes Due 2023
EVANSTON, Ill., Feb. 02, 2018 (GLOBE NEWSWIRE) -- Fidus Investment Corporation (NASDAQ:FDUS) (“Fidus” or the “Company”) today announced that it has closed a registered public offering of $43.5 million aggregate principal amount of its 5.875% notes due 2023...
Jan 30, 2018 09:19 pm ET
Jan 30, 2018 09:01 am ET
Fidus Investment Corporation Announces Public Offering of Notes
EVANSTON, Ill., Jan. 30, 2018 (GLOBE NEWSWIRE) -- Fidus Investment Corporation (NASDAQ:FDUS) (“Fidus” or the “Company”) today announced the commencement of a registered public offering of unsecured notes due 2023 (the “Notes”), subject to market and other conditions. ...
Jan 25, 2018 07:00 am ET
Securities America Transitions 14 More Advisor Groups
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Service (NYSE American: LTS, LTS PrA), announced today the completed transitions of 14 independent financial advisory businesses and groups from across the country.
Jan 25, 2018 06:30 am ET
Eyenovia Announces Pricing of Initial Public Offering
NEW YORK, Jan. 25, 2018 (GLOBE NEWSWIRE) -- Eyenovia Inc. (“Eyenovia”), a clinical stage biopharmaceutical company developing a pipeline of ophthalmology products utilizing its patented piezo-print technology to deliver micro-therapeutics topically to the eye, today announced the pricing...
Jan 25, 2018 06:00 am ET
Ladenburg Launches Enterprise Innovation Initiative to Accelerate Rollout of Growth Resources for Firms and Financial Advisors
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA) (“Ladenburg”), a publicly-traded, diversified financial services company, today announced the launch of its Enterprise Innovation initiative and the creation of Ladenburg Innovation Lab, together with the appointment of innovation growth strategist Dan Sachar to lead this function in the newly-created role of Vice President of Enterprise Innovation.
Jan 18, 2018 07:00 am ET
Securities America Advisors Now Able to Text Clients
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services, Inc. (NYSE American: LTS, LTS PrA), has launched a new texting option for its financial advisors and securities licensed office staff.
Jan 09, 2018 06:00 am ET
Investacorp Welcomes Empkey Financial to its Broker-Dealer and RIA Platform
Investacorp, Inc., a national independent broker-dealer and RIA representing more than 500 independent financial advisors throughout the U.S., today announced that Bedford, Texas-based Empkey Financial has joined the firm’s broker-dealer and RIA platform.
Jan 05, 2018 08:00 am ET
Ladenburg Thalmann Appoints Michael J. Higgins as Managing Director, Equity Research Covering Healthcare
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA), announced today that Michael J. Higgins has been appointed as Managing Director, Equity Research at Ladenburg Thalmann & Co. Inc. ("Ladenburg") covering healthcare, based in Ladenburg’s New York office.
Jan 04, 2018 09:00 am ET
Ladenburg Launches Enterprise Due Diligence Platform; Names Thayer Gallison Head of Due Diligence
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA) (“Ladenburg”), a publicly-traded diversified financial services company, today announced the launch of its new enterprise-wide due diligence platform, and the appointment of veteran industry due diligence leader, Thayer Gallison, as the head of this platform.
Jan 02, 2018 08:00 am ET
Ladenburg Thalmann Financial Services Inc. Confirms Series A Preferred Stock Monthly Dividends for Q1 2018
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS; LTS PrA) today confirmed the first quarter 2018 monthly cash dividends for its 8.00% Series A Cumulative Redeemable Preferred Stock. The $0.1667 per share dividends are payable as follows:
Dec 21, 2017 01:00 pm ET
Yield10 Bioscience Announces Closing of $14.5 Million Public Offering
WOBURN, Mass., Dec. 21, 2017 (GLOBE NEWSWIRE) -- Yield10 Bioscience, Inc. (NASDAQ:YTEN) today announced the closing of an underwritten public offering of units for gross proceeds of $14.5 million, which includes the full exercise of the underwriter's over-allotment...
Dec 19, 2017 08:43 am ET
Yield10 Bioscience Announces Pricing of $12.6 Million Public Offering
WOBURN, Mass., Dec. 19, 2017 (GLOBE NEWSWIRE) -- Yield10 Bioscience, Inc. (NASDAQ:YTEN) today announced the pricing of an underwritten public offering of units for gross proceeds of $12.6 million, prior to deducting underwriting discounts and commissions and offering...
Dec 14, 2017 07:00 am ET
Securities America Names Jim Norwood New President of Financial Institutions Division
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA), announced today that Jim Norwood is taking the helm of its financial institutions division.
Dec 13, 2017 08:00 am ET
KMS Financial Services Recruits Hansen Wealth Management
SEATTLE, Dec. 13, 2017 /PRNewswire/ -- KMS Financial Services, Inc. ("KMS"), an independent advisory and brokerage ("IAB") firm supporting 350 financial advisors across the country, today announced the recruitment of Hansen Wealth Management to the firm's broker-dealer and RIA platforms. KMS has a focus on cost-effectively delivering the services and platforms that matter most to advisory professionals, and is a wholly owned subsidiary of Ladenburg Thalmann Financial Services (NYSE American: LTS, LTS PrA)....
Dec 07, 2017 05:00 am ET
Triad Advisors Welcomes Continuum Advisory To Its Platform
ATLANTA, Dec. 7, 2017 /PRNewswire/ -- Triad Advisors, Inc. ("Triad" or "the Firm"), the leading independent advisory and brokerage firm supporting independent hybrid financial advisors and hybrid registered investment advisory (RIA) firms, today announced the successful transition of Continuum Advisory LLC ("Continuum Advisory") to its brokerage and hybrid RIA custodial platforms. Continuum Advisory is an independent financial advisory firm with approximately $900 million in total advisory and brokerage client assets. Triad Advisors is a wholly owned subsidiary of Ladenburg Thalmann Fi...
Nov 27, 2017 05:15 pm ET
CHF Solutions, Inc. Announces Closing of $18.0 Million Underwritten Public Offering
EDEN PRAIRIE, Minn., Nov. 27, 2017 (GLOBE NEWSWIRE) -- CHF Solutions, Inc. (NASDAQ:CHFS) announced today the closing of an underwritten public offering of Series F convertible preferred stock, together with warrants, for gross proceeds of $18.0 million, prior...
Nov 22, 2017 08:30 am ET
CHF Solutions, Inc. Announces Pricing of $18.0 Million Underwritten Public Offering
EDEN PRAIRIE, Minn., Nov. 22, 2017 (GLOBE NEWSWIRE) -- CHF Solutions, Inc. (NASDAQ:CHFS) announced today the pricing of an underwritten public offering of Series F convertible preferred stock, together with warrants, for gross proceeds of $18.0 million, prior to...
Nov 21, 2017 04:30 pm ET
Ladenburg Thalmann Announces Closing of Public Offering of Senior Notes
Ladenburg Thalmann Financial Services Inc. (NYSE American:LTS; LTS PrA) (the “Company”) today announced that it has closed its previously announced underwritten registered public offering of $72.5 million aggregate principal amount of 6.50% senior notes due 2027 (the “Notes”). The Company has granted the underwriters a 30-day option to purchase up to an additional $10.875 million aggregate principal amount of Notes in connection with the offering to cover overallotments, if any. The Notes are expected to be listed on the NYSE American under the
Nov 21, 2017 08:30 am ET
Ladenburg Declares Quarterly Dividend on Common Stock
Ladenburg Thalmann Financial Services Inc. (NYSE American:LTS, LTS PrA), a diversified financial services company, today announced its Board of Directors has declared a quarterly cash dividend of $0.01 per share of common stock, payable on December 28, 2017 to shareholders of record as of the close of business on December 15, 2017.
Nov 20, 2017 04:30 pm ET
MVC Capital, Inc. Announces Underwriters’ Exercise of Over-Allotment Option of Senior Notes
PURCHASE, N.Y., Nov. 20, 2017 (GLOBE NEWSWIRE) -- MVC Capital, Inc. (NYSE:MVC) (the "Company" or "MVC"), a publicly traded business development company (BDC) that makes private debt and equity investments, announced that following the closing of its recently...
Nov 16, 2017 07:00 am ET
Securities America Recruits All-Female Advisor Group with $446M in Client Assets
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA), announced today that Financial Focus has joined its independent advisory and brokerage platform.
Nov 15, 2017 04:30 pm ET
MVC Capital, Inc. Announces Closing of Senior Notes Offering
PURCHASE, N.Y., Nov. 15, 2017 (GLOBE NEWSWIRE) -- MVC Capital, Inc. (NYSE:MVC) (the "Company" or "MVC"), a publicly traded business development company (BDC) that makes private debt and equity investments, announced that it has completed a public offering...
Nov 14, 2017 06:16 pm ET
Ladenburg Thalmann Announces Pricing of Public Offering of Senior Notes
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS; LTS PrA) (the “Company”) today announced that it has priced an underwritten registered public offering of $72.5 million aggregate principal amount of 6.50% senior notes due 2027 (the “Notes”). The offering size represents an increase of $32.5 million from the previously announced offering size. The Company has granted the underwriters a 30-day option to purchase up to an additional $10.875 million aggregate principal amount of Notes in connection with the offering to cover overallot
Nov 13, 2017 07:44 am ET
Ladenburg Thalmann Announces Public Offering of Senior Notes
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS; LTS PrA) (the “Company”) today announced that it has commenced an underwritten registered public offering of $40 million aggregate principal amount of senior notes due 2027 (the “Notes”), subject to market and certain other conditions. The Company intends to grant the underwriters a 30-day option to purchase up to an additional $6 million aggregate principal amount of Notes in connection with the offering solely to cover overallotments, if any. The Notes are expected to be listed on
Nov 09, 2017 08:00 am ET
Ladenburg Concludes Inaugural Fee-Based Advisory Conference to Support Success of Financial Advisors in New Fiduciary Era
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA) (“Ladenburg”), a publicly-traded diversified financial services company, together with its independent advisory and brokerage firm subsidiaries Securities America, Triad Advisors, Investacorp, KMS Financial Services, and Securities Service Network, today announced the successful conclusion of its inaugural ELEVATE conference.
Nov 09, 2017 07:00 am ET
Securities America Recruits Professional Investors Network LLC
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA), announced today that Professional Investors Network LLC has joined its independent advisory and brokerage platform.
Nov 08, 2017 09:51 am ET
MVC Capital, Inc. Announces Pricing of Senior Notes
PURCHASE, N.Y., Nov. 08, 2017 (GLOBE NEWSWIRE) -- MVC Capital, Inc. (NYSE:MVC) (the "Company" or "MVC"), a publicly traded business development company (BDC) that makes private debt and equity investments, announced today that it has priced a public...
Nov 08, 2017 07:30 am ET
Ladenburg Reports Third Quarter 2017 Financial Results
Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA) today announced financial results for the three and nine months ended September 30, 2017.
Nov 07, 2017 09:00 am ET
Triad Advisors Welcomes GCG Financial To Platform
ATLANTA, Nov. 7, 2017 /PRNewswire/ -- Triad Advisors, Inc. ("Triad" or "the Firm"), the leading independent advisory and brokerage firm supporting independent hybrid financial advisors and hybrid registered investment advisory (RIA) firms, today announced the successful transition of GCG Financial LLC ("GCG Financial") to its brokerage and hybrid RIA custodial platforms. GCG Financial is an independent financial advisory firm with in excess of $1.5 billion in total advisory and brokerage client assets. Triad Advisors is a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. ...
Nov 06, 2017 04:05 pm ET
MVC Capital, Inc. Announces Offering of Notes
PURCHASE, N.Y., Nov. 06, 2017 (GLOBE NEWSWIRE) -- MVC Capital, Inc. (NYSE:MVC) (the “Company”) announced the commencement of a registered public offering of senior notes (the “Notes”)....
Nov 06, 2017 04:05 pm ET
MVC Capital, Inc. Announces Offering of Notes
PURCHASE, N.Y., Nov. 06, 2017 (GLOBE NEWSWIRE) -- MVC Capital, Inc. (NYSE:MVC) (the “Company”) announced the commencement of a registered public offering of senior notes (the “Notes”).
Nov 06, 2017 07:00 am ET
Securities America Welcomes Elite Financial Network
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services, Inc. (NYSE American: LTS, LTS PrA), announced today that Elite Financial Network has joined its independent advisory and brokerage platform.
Nov 01, 2017 08:30 am ET
Ladenburg Thalmann Appoints Lionel Leventhal as Managing Director, Investment Banking
Ladenburg Thalmann & Co. Inc. ("Ladenburg"), a subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE MKT: LTS, LTS PrA), announced today that Lionel Leventhal has been appointed as Managing Director, Investment Banking at Ladenburg. Mr. Leventhal will focus primarily on royalty monetizations and revenue interest financings in the healthcare and life sciences sectors. He will be based in Ladenburg’s New York office.
Oct 19, 2017 07:00 am ET
Securities America Adds Priority Financial Group
Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services, Inc. (NYSE American: LTS, LTS PrA), announced today that Priority Financial Group (PFG) has joined its hybrid RIA platform. PFG advisors serve $1.35 billion of client brokerage and advisory assets.
Oct 18, 2017 11:16 am ET
Investacorp Welcomes Genesis Wealth Advisor Group, LLC
Investacorp, Inc., a national independent broker-dealer and RIA, representing more than 500 independent financial advisors throughout the U.S., welcomes Genesis Wealth Advisor Group, LLC, with offices in Mount Laurel, NJ and Dunedin, FL.
Oct 05, 2017 10:00 am ET
Securities Service Network Successfully Concludes Inaugural Sales Assistant University Event
KNOXVILLE, Tenn., Oct. 5, 2017 /PRNewswire/ -- Securities Service Network, Inc. ("SSN" or "the Firm"), a leading independent broker-dealer that specializes in driving industry-leading operating efficiency at the home-office level, today announced the successful conclusion of its first-ever Sales Assistant University program. Held at the Firm's home office in Knoxville, the two-day educational and training event brought together sales assistants from across the nationwide SSN community, providing these professionals with a unique forum to network with peers, share best practices, recei...
Oct 04, 2017 10:00 am ET
Ladenburg Institute Of Women & Finance Celebrates Success Of Women Advisors Across Ladenburg Thalmann's Broker-Dealer Subsidiaries In Sixth Annual Symposium
MIAMI, Oct. 4, 2017 /PRNewswire/ -- Ladenburg Thalmann Financial Services Inc. (NYSE American: LTS, LTS PrA) ("Ladenburg"), a publicly-traded diversified financial services company, together with its independent broker-dealer subsidiaries Securities America, Inc., Triad Advisors, Inc., Investacorp, Inc., KMS Financial Services, Inc., and Securities Service Network, Inc., today announced the successful conclusion of its sixth annual Ladenburg Institute of Women & Finance Symposium.  The annual event, held this year at the Miami Marriott Biscayne Bay on October 2nd and 3rd, welcomed 160 at...
Sep 25, 2017 10:00 am ET
Triad Advisors Raises Over $36,000 For One Summit At Annual National Conference
ATLANTA, Sept. 25, 2017 /PRNewswire/ -- Triad Advisors, Inc., the independent broker-dealer focused on hybrid advisors, today announced it raised more than $36,000 for One Summit at its 20th annual National Conference held in September in La Jolla, California. One Summit is a national non-profit organization whose mission is to help childhood cancer patients and their families build courage, self-confidence and resilience through experiential learning and mentorship with a US Navy SEAL. Triad Advisors is a wholly owned subsidiary of Ladenburg Thalmann Financial Services (NYSE American: LTS; ...
Sep 19, 2017 06:33 pm ET
Gladstone Capital Corporation Prices Series 2024 Term Preferred Stock Offering
MCLEAN, Va., Sept. 19, 2017 (GLOBE NEWSWIRE) -- Gladstone Capital Corporation (NASDAQ:GLAD) (the “Company”) today announced that it has entered into an agreement to sell 1,800,000 shares of its newly designated 6.00% Series 2024 Term Preferred Stock (the “Series 2024 Term Preferred Stock”) at a public offering price of $25.00 per share, raising $45.0 million in gross proceeds and approximately $43.3 million in net proceeds after payment of underwriting discounts and commissions and estimated expenses of the offering payable by the Company. The Company has also granted the underwriters a 30-d...
Sep 18, 2017 09:03 pm ET
KCAP Financial, Inc. Prices Public Offering of $17.8 Million of Additional 6.125% Notes Due 2022
NEW YORK, Sept. 18, 2017 (GLOBE NEWSWIRE) -- KCAP Financial, Inc. (Nasdaq:KCAP) (the “Company” or “KCAP”) today announced the pricing of its public offering of $17.8 million in aggregate principal amount of additional 6.125% Notes due 2022 (the “Notes”). The Notes will be a further issuance of, rank equally in right of payment with, and form a single series with the $57.5 million in aggregate principal amount of the 6.125% Notes due 2022 that the Company initially issued on August 14, 2017 and September 5, 2017 (the “Existing Notes”). The Company estimates that the net proceeds it will recei...
Sep 06, 2017 10:00 am ET
Triad Advisors Commences 20th Annual National Advisor Conference In La Jolla, California
ATLANTA, Sept. 6, 2017 /PRNewswire/ -- Triad Advisors, Inc., the independent broker-dealer focused on hybrid advisors, today announced the launch of its 20th annual National Conference in La Jolla, California. The conference, taking place from Sept. 6 – 9, offers Triad-affiliated advisors from across the country an opportunity to come together with their peers to discuss best practices and strategy for the remainder of 2017 and beyond, as well as to hear from industry-leading strategic partners and members of the Triad Advisors leadership team on the trends, challenges and changes that will ...
Aug 03, 2017 10:00 am ET
Triad Advisors Recruits Claris Financial To Broker-Dealer And Hybrid RIA Custodial Platforms
ATLANTA, Aug. 3, 2017 /PRNewswire/ -- Triad Advisors, Inc. ("Triad" or "the Firm"), the leading independent broker-dealer supporting independent hybrid financial advisory practices and registered investment advisory (RIA) firms, today announced the successful recruitment of Claris Financial LLC ("Claris Financial") to its broker-dealer and hybrid RIA custodial platforms.  Claris Financial is an independent hybrid RIA firm that supports approximately $150 million in advisory and brokerage client assets as of March 31, 2017. Triad Advisors is a wholly owned subsidiary of Ladenburg Thalma...
Aug 02, 2017 04:27 pm ET
Orchid Island Capital, Inc. Announces At-The-Market Program
VERO BEACH, Fla., Aug. 02, 2017 (GLOBE NEWSWIRE) -- Orchid Island Capital, Inc. (the “Company”) (NYSE:ORC) announced today that it has filed a prospectus supplement under which it may from time to time sell up to $125 million of shares of its common stock through an at-the-market program.  The shares of common stock may be offered through Ladenburg Thalmann & Co. Inc., a subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSEMKT:LTS), and MUFG Securities Americas Inc., as sales agents.  ...
Aug 02, 2017 10:00 am ET
Securities Service Network Successfully Concludes Annual National Advisors Conference
KNOXVILLE, Tenn., Aug. 2, 2017 /PRNewswire/ -- Securities Service Network, Inc. ("SSN" or "the firm"), a leading independent broker-dealer that specializes in driving industry-leading operating efficiency at the home-office level, today announced the successful conclusion of its annual national advisors conference, Discover 2017. Held in Austin, Texas from July 29 through August 1, the conference brought together advisors from across the nationwide SSN community for four days of networking, recognizing advisors' achievements and discussing strategy for the remainder of 2017 and beyond. SSN i...
Jul 21, 2017 02:00 pm ET
Cyclacel Announces Closing of $15.2 Million Underwritten Public Offering and Full Exercise of Over-Allotment Option
BERKELEY HEIGHTS, N.J., July 21, 2017 (GLOBE NEWSWIRE) -- Cyclacel Pharmaceuticals, Inc. (NASDAQ:CYCC) (Cyclacel or the Company), a clinical-stage biopharmaceutical company using cell cycle, transcriptional regulation and DNA damage response biology to develop innovative, targeted medicines for cancer and other proliferative diseases, today announced the closing of an underwritten public offering of units for gross proceeds of $15.2 million, which includes the full exercise of the underwriter’s over-allotment option to purchase additional shares and warrants, prior to deducting underwriting ...
Jun 23, 2017 05:32 pm ET
KBL Merger Corp. IV Announces Closing of Underwriters' Over-Allotment Option in Full in Connection with its Initial Public Offering and Separate Trading of its Common Stock, Rights and Warrants, Comme
NEWARK, Del., June 23, 2017 /PRNewswire/ -- KBL Merger Corp. IV (the "Company") (NASDAQ: KBLMU), a blank check company led by Marlene Krauss, M.D., announced today the closing of the issuance of an additional 1,500,000 units pursuant to the exercise of the underwriters' over-allotment option in full in connection with the Company's initial public offering. The additional units were sold at the initial offering price of $10.00 per unit, generating additional gross proceeds of $15,000,000 to the Company and bringing the total gross proceeds of the initial public offering to $115,000,0...
Jun 14, 2017 04:03 pm ET
Monroe Capital Corporation Completes Public Offering of Common Shares
CHICAGO, June 14, 2017 (GLOBE NEWSWIRE) -- Monroe Capital Corporation (the “Company”) (NASDAQ:MRCC) announced today the completion of an upsized underwritten public offering of 3,450,000 shares of its common stock (including 450,000 shares of its common stock sold as a result of the underwriters’ exercise of their option to purchase additional shares of common stock to cover over-allotments) at a public offering price of $15.00 per share, raising approximately $51.8 million in gross proceeds....
Jun 08, 2017 10:00 am ET
Triad Advisors Announces Veteran Compliance Executive Bernie Breton Has Joined Company As Chief Compliance Officer
ATLANTA, June 8, 2017 /PRNewswire/ -- Triad Advisors, Inc., the hybrid advisor-focused independent broker-dealer, today announced that respected industry executive Bernie Breton has joined the company as Chief Compliance Officer. Mr. Breton's extensive knowledge and experience in the compliance space are expected to further strengthen Triad's ability to guide its advisors through the current environment of regulatory uncertainty, positioning them to thrive as clients' and regulators' expectations for transparency and alignment between advisors' and clients' interests continue to grow. Mr. Br...
Jun 07, 2017 05:01 pm ET
KBL Merger Corp. IV Completes $100 Million Initial Public Offering
NEWARK, Del., June 7, 2017 /PRNewswire/ -- KBL Merger Corp. IV (the "Company"), a blank check company led by Marlene Krauss, M.D., announced today the closing of its initial public offering of 10,000,000 units. The offering was priced at $10.00 per unit, resulting in gross proceeds of $100,000,000, before deducting underwriting discounts and commissions and other offering expenses payable by the Company....
Jun 07, 2017 08:00 am ET
Oxford Lane Capital Corp. Prices Preferred Stock Offering
Oxford Lane Capital Corp. (the "Company") (NASDAQ: OXLC) (NASDAQ: OXLCO) (NASDAQ: OXLCN) today announced that it has priced an underwritten public offering of 2,500,000 shares of its newly designated 6.75% Series 2024 Term Preferred Shares (the "Preferred Stock") at a public offering price of $25 per share, raising $62.5 million in gross proceeds. The Company has also granted the underwriters a 30-day option to purchase up to 375,000 additional shares of Preferred Stock on the same terms and conditions to cover over-allotments, if any. The closing of the transaction is subject to customary
Jun 05, 2017 04:15 pm ET
Oxford Lane Capital Corp. Announces Preferred Stock Offering
Oxford Lane Capital Corp. (the "Company") (NASDAQ: OXLC) (NASDAQ: OXLCO) (NASDAQ: OXLCN) today announced that it plans to offer shares of its newly designated Series 2024 Term Preferred Shares (the "Preferred Stock") in an underwritten public offering. The public offering price and other terms of the Preferred Stock are to be determined by negotiations between the Company and the underwriters. The Company also plans to grant the underwriters a 30-day option to purchase additional shares of Preferred Stock on the same terms and conditions to cover over-allotments, if any.
Jun 01, 2017 09:21 pm ET
KBL Merger Corp. IV Announces Pricing of $100 Million Initial Public Offering
NEWARK, Del., June 1, 2017 /PRNewswire/ -- KBL Merger Corp. IV (the "Company") announced today the pricing of its initial public offering of 10,000,000 units at $10.00 per unit. The units will be listed on The NASDAQ Capital Market ("NASDAQ") and trade under the ticker symbol "KBLMU" beginning June 2, 2017. Each unit consists of one share of the Company's common stock, one right to receive one-tenth of one share of common stock upon the consummation of the Company's initial business combination, and one warrant exercisable to purchase one-half of one share of common stock at a price of $5.75...
May 25, 2017 04:05 pm ET
ChromaDex Announces Closing of Second Tranche of the $25 Million Strategic Investment Led by Mr. Li Ka-shing
IRVINE, Calif., May 25, 2017 (GLOBE NEWSWIRE) -- ChromaDex Corp. (NASDAQ:CDXC), an innovator of proprietary health, wellness and nutritional ingredients that creates science-based solutions for dietary supplement, food and beverage, skin care, sports nutrition, and pharmaceutical products, announced today the closing of the $16.4 million second tranche of the strategic investment of up to $25 million led by Hong Kong business leader Mr. Li Ka-shing....
May 08, 2017 04:06 pm ET
Gladstone Investment Corporation Announces Common Stock Offering
MCLEAN, Va., May 08, 2017 (GLOBE NEWSWIRE) -- Gladstone Investment Corporation (NASDAQ:GAIN) (the “Company”) today announced that it plans to sell shares of common stock in an underwritten public offering. The Company also plans to grant the underwriters a 30-day option to purchase additional shares of common stock on the same terms and conditions solely to cover over-allotments, if any. Janney Montgomery Scott LLC and Ladenburg Thalmann & Co. Inc., a subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE MKT:LTS), are serving as the offering’s joint book-running managers, Will...
Apr 12, 2017 04:01 pm ET
Catalyst Biosciences Announces Closing of a $20.7 Million Underwritten Public Offering and Full Exercise of Over-Allotment Option
SOUTH SAN FRANCISCO, Calif., April 12, 2017 (GLOBE NEWSWIRE) -- Catalyst Biosciences, Inc. (NASDAQ:CBIO), a clinical-stage biopharmaceutical company focused on developing novel medicines to address hematology indications, today announced the closing of an underwritten public offering of units for gross proceeds of $20.7 million, which includes the full exercise of the underwriters’ over-allotment option to purchase additional shares and warrants, prior to deducting underwriting discounts and commissions and offering expenses payable by Catalyst....
Apr 12, 2017 11:58 am ET
TICC Capital Corp. Completes Public Offering of $64,370,225 6.50% Notes Due 2024
TICC Capital Corp. (NASDAQ: TICC) (the "Company") today announced that it has completed an underwritten public offering of $64,370,225 in aggregate principal amount of 6.50% unsecured notes due 2024, which includes the partial exercise of $6,870,225 of the underwriters' option to purchase up to an additional $8,625,000 in aggregate principal amount of notes. The notes will mature on March 30, 2024, and may be redeemed in whole or in part at any time or from time to time at the Company's option on or after March 30, 2020. The notes will bear interest at a rate of 6.50% per year payable