Anthony J. Sarkis, Head of Investment Banking

In 2006, Mr. Sarkis joined H.C. Wainwright as the Senior Managing Director of Investment Banking, bringing 17 years of experience with a focus on merchant banking, investment banking and private equity for small/mid-market capitalization companies. During his tenure, Mr. Sarkis has led private and public financings in excess of $3.5 billion in the aggregate. Prior to joining H.C. Wainwright from 2002 to 2006 Mr. Sarkis was a founder and the Director of Investment Banking at Maxim Group, Managing Director in the Healthcare and Technology Banking Groups at Investec, Inc. from 1998 to 2002 and Director of Corporate Finance at a regional boutique underwriter from 1990 to 1998. He attended McGill University (Montreal), and the BS/DO Biomedical degree program at the NYIT/ New York College of Osteopathic Medicine. Currently, at H.C. Wainwright Mr. Sarkis is focusing on public and private financing as well as advisory services for companies located in Asia. Mr. Sarkis has completed transactions on a global basis, including Europe, the Middle East, China and the ASEAN world. Currently, he is managing transactions in Singapore, China, Cambodia, the Philippines and Australia as well as H.C. Wainwright's U.S. Pipeline.

Scott B. Hartzell, Co-Head of Capital Markets

Scott joined H.C. Wainwright in March of 2008 to co-Head Capital Markets and is responsible for the build out of H.C. Wainwright's global distribution platform. He joined from Cantor Fitzgerald where he ran Equity Capital Markets and Syndicate since 2005. At Cantor, he helped build and develop an equity distribution platform that included private and public offerings both in the US and Asia. Prior to Cantor, Scott helped build a small regional investment bank, Hibernia Southcoast Capital in New Orleans which specialized in Energy but was active across diversified industry sectors. He was responsible for forming the sales team and built the firms equity capital markets platform. Prior to Southcoast, Scott was the Equity Sales Manager at AG Edwards in St. Louis where he oversaw the institutional equity buildout, which included 50 research analysts and 50 institutional sales people. He began his career at Bear Stearns in New York where he was an associate in the Asset Management division developing institutional products across the Mutual Fund and Hedge Fund families as well as two private equity funds. Scott spent two years in Germany in the US Army after high school and graduated with a BSBA and an MBA from the John M. Olin School of Business at Washington University in St. Louis.

Adam Ferencz, Co-Head of Capital Markets

In 2006, Mr Ferencz joined H.C. Wainwright as the Senior Managing Director of Capital Markets, bringing over 14 years of Capital Market experience with an emphasis on credit markets. Prior to joining H.C. Wainwright, Mr. Ferencz was a partner and managing director of Fixed Income at Maxim Group from 2002-2006. Prior to joining Maxim Group, Mr. Ferencz helped establish the Fixed Income Trading platform at TD Waterhouse covering over 180 domestic branches. He attended SUNY University at Buffalo and received a BSc. from Queens College. At H.C. Wainwright Mr. Ferencz has built and manages the Fixed Income sales and trading departments as well as the distribution platform on H.C. Wainwright’s Equity desk.

Dawn K. Baranoff, Associate Director

In March 2007, Ms. Baranoff joined H.C. Wainwright, bringing 10 years of professional experience to the Capital Markets Department. Her experience ranges from investment banking and private equity for small and mid-cap companies, to portfolio management of a hedge fund. Prior to joining H.C. Wainwright, from 2005 to 2007, Ms. Baranoff was a Senior Investment Banker at Cambria Capital.  She also served as Portfolio Manager of a PIPE hedge fund, Bridges and Pipes, LLC while at Cambria. From 2000 to 2005, Ms. Baranoff worked at Bay Harbour Management, a hedge fund focused on distressed debt. From 1999 to 2000, she worked at Credit Lyonnais in the Latin America Sales and Trading Division. Ms. Baranoff attended St. John's University from 1993 to 1999, for her Bachelor of Science and MBA degrees in Finance, simultaneously working full time at Salomon Smith Barney during the last two years.

Management