May 22, 2013 12:54 AM ET

Capital Markets

Company Overview of Maxim Group, LLC

Company Overview

Maxim Group LLC is an investment banking and securities brokerage firm. The firm offers retail brokerage, wealth management, securities underwriting, private placements, loan syndication, merger and acquisition, institutional fixed-income and option trading, asset management, and research and global institutional sales services. Maxim’s investment banking group focuses on middle market and emerging growth companies in energy, healthcare, technology, retail, and business services sectors. The firm is based in New York, New York with additional offices in Woodbury, New York and Red Bank, New Jersey.

405 Lexington Avenue

New York, NY 10174

United States

Phone:

212-895-3500

Fax:

212-895-3555

www.maximgrp.com

Key Executives for Maxim Group, LLC

Chairman of The Board and Chief Executive Officer
President and Head of Capital Markets
Chief Financial Officer
Age: 51
Chief Operating Officer
Chief Marketing Officer and Executive Managing Director of Wealth Management
Compensation as of Fiscal Year 2012.

Maxim Group, LLC Key Developments

Comprehensive Care Corporation Selects Maxim Group, LLC as Investment Banker and Financial Advisor

Comprehensive Care Corporation announced that it has entered into an agreement with Maxim Group LLC, to provide strategic corporate investment banking and finance services. Maxim Group LLC will focus on assisting CompCare in its strategies for maximizing shareholder value through the utilization of Maxim Group LLC's investment banking services.

Maxim Group, LLC Appoints Dan Ries as Senior Renewable Energy Analyst

Maxim Group LLC announced the appointment of Dan Ries as a Senior Renewable Energy Analyst. Mr. Ries' appointment is part of an ongoing expansion of Maxim Group's Equity Research Division. Prior to joining Maxim Group, Mr. Ries served as a Managing Director with Collins Stewart for five years covering the renewable energy sector. He has been an equity research analyst since 1994, having followed the computer, ecommerce, semiconductor and mobile phone industries over that span.

Verity Corp Announces Engagement of Maxim Group, LLC

Verity Corp. announced that it has retained Maxim Group, LLC to provide strategic corporate finance and investment banking services. Maxim will focus on assisting Verity in its strategies for maximizing shareholder value through its full scope of investment banking services.

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