August 21, 2014 2:44 AM ET

Capital Markets

Company Overview of Merriman Capital, Inc.

Company Overview

Merriman Capital, Inc. is an investment banking firm that provides securities brokerage and trading services. It offers research, sales and trading, market making, corporate finance, restructurings, mergers and acquisitions, and capital markets advisory services. The firm also provides pre-IPO private placements, IPOs, and follow-on offerings such as PIPEs and secondary public offerings. Additionally, it offers after-market support, capital markets advisory, and corporate and venture services to corporate clients and small-cap companies. Merriman Capital, Inc. is headquartered in San Francisco, California with additional offices in New York, New York; Cambridge, Massachusetts; Newport Beach,...

250 Montgomery Street

16th Floor

San Francisco, CA 94104

United States





Key Executives for Merriman Capital, Inc.

Chief Executive Officer
Age: 54
Age: 52
Senior Managing Director
Chief Operating Officer
Age: 44
Vice Chairman and Co-Head of Mergers and Acquisitions
Age: 70
Compensation as of Fiscal Year 2014.

Merriman Capital, Inc. Key Developments

Creason & Associates PLLC, Chanticleer Holdings, Inc., Merriman Capital, Inc. and Dawson James Securities, Inc. Announce Settlement Agreement

As previously reported by Chanticleer Holdings, Inc. on March 31, 2014, a Stipulation and Agreement of Settlement and a motion seeking preliminary approval thereof was filed in Case No. 12-cv-81123, Francis Howard, Individually and on behalf of All Others Similarly Situated v. Chanticleer Holdings, Inc., Michael D. Pruitt, Eric S. Lederer, Michael Carroll, Paul I. Moskowitz, Keith Johnson, Mark Hezlett, Merriman Capital, Inc., Dawson James Securities, Inc., and Creason & Associates, P.L.L.C. On August 14, 2014, the Court approved the settlement agreement at the final hearing. As previously reported by the company, the settlement agreement provides for payment by XL Specialty Insurance Co., the insurance carrier of the company, Michael D. Pruitt, Eric S. Lederer, Michael Carroll, Paul I. Moskowitz and Keith Johnson in the amount of $837,500 and payment by Creason & Associates, P.L.L.C. in the amount of $12,500. As a result of the Court's approval of the settlement agreement, the settlement has been fully funded and the funds are being held in an interest-bearing escrow account for the benefit of Lead Plaintiff Francis Howard and Plaintiff Ja'Marr Comer and all others similarly situated. In the absence of an appeal, the settlement is expected to become final on September 15, 2014. Thereafter, upon application of lead counsel on behalf of the class, the settlement administrator will distribute payments as follows: payment of plaintiff's attorneys' fees and expenses and interest thereon, payment of taxes and expenses, and payment of the balance of the settlement fund to authorized claimants on a pro-rata basis. Any unclaimed settlement funds will not be returned to the Chanticleer Defendants or Creason.

Merriman Capital, Inc. to Serve as the Principal American Liaison for Chilean Metals, Inc. on OTCQX

Merriman Capital, Inc. announced that it will serve as the Principal American Liaison (PAL) for Chilean Metals, Inc. as it begins trading on OTCQX(R). The OTC announced that the Chilean Metals is now trading on the OTCQX. OTCQX is the premier tier of the OTC markets. OTCQX traded companies are distinguished from more than 9,000 securities traded Over-the-Counter. These companies meet more stringent financial standards and undergo a qualitative review process. For international issuers, a PAL is selected by an OTCQX traded company to serve as a liaison between the issuer and the U.S. market. The PAL can help the issuer communicate more effectively with the U.S. investment community by leveraging the PAL's resources and capital markets experience. PAL eligibility is limited to FINRA member investment banks or ADR banks.

CannLabs, Inc. Selects Merriman Capital, Inc. as Capital Markets Advisor

Merriman Capital, Inc. announced that it has been selected as capital markets advisor to CannLabs Inc. Merriman will provide CannLabs' management team with advice on strategies to grow the company's long term institutional shareholder base. Merriman Capital Markets Advisory Group clients benefit from corporate brokerage services, access to unique capital solutions, and a range of related initiatives intended to help companies accomplish their capital markets initiatives.

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