With offices in New York, Los Angeles and San Francisco, Hanover International is comprised of a professional team of experts in the areas of corporate finance, market awareness, SEC law and compliance, market research and analysis, corporate management and new business development.
James E. Hock, President and CEO
Broadly recognized and respected on Wall Street as “the entrepreneur’s consultant,” Jim has spent the past 40 years helping Chief-level executives successfully identify, tackle and overcome a myriad of business and financial challenges inherent to transforming emerging growth companies into enduring, world class enterprises. As Chairman, President and CEO of Hanover International, a Company Jim founded in 1990 with offices currently operating in New York, Los Angeles and San Francisco, he has advised more than 300 micro-, small- and mid-cap companies with defining and implementing their respective debt/equity capital formation, mergers and acquisitions and institutional shareholder relations strategies.
Beginning in the late 1970s, Jim served as National Sales Manager of Citicorp’s (now CitiGroup’s) Capital Markets Group, where he was involved in a number of prolific merger and acquisition transactions, including those comprising of such notables as Prudential-Bache, Carnation-Nestle and Beatrice-Esmark. In fact, during his tenure with Citicorp, Jim was responsible for closely collaborating with the senior leadership of many industry leading companies, crafting and executing tactical investor relations initiatives and capital raising events on their behalf. Included among his impressive clients were Levi-Strauss, Hilton Hotels, Atlantic Richfield, MCA-Universal, Litton Industries, Merrill Lynch, TransAmerica Corp., and many others.
In 2007, Jim was elected to the Board of Directors of the National Investment Banking Association (NIBA), and in June 2011 was named Chairman. NIBA is a not-for-profit association comprised of nearly 9000 national, regional and independent broker-dealers, investment banking firms, investment advisors and related capital market service providers. Since its founding, NIBA’s members have been responsible for approximately 90% of all Initial Public Offerings under $20 million; and have successfully completed more than 1000 equity offerings, raising more than $17 billion in new capital for emerging growth companies. Today, NIBA members represent over $78 billion in assets under management.
A graduate of Fairfield University with a Bachelors of Arts degree in Economics and a minor in Corporate Finance, Jim and his wife, Linda, reside part of the year in New York and the rest in California. They are the parents to four grown children and the very proud grandparents of five beloved grandchildren.
With over 10 years' experience in public and investor relations, Kathy brings Hanover International honed leadership and proven business skill as an accomplished logistical taskmaster and workflow processes innovator. Kathy is responsible for managing and guiding all operational and logistical details and strategies related to Hanover's clients' respective campaign initiatives; while also providing the leadership, management and vision necessary to ensure that Hanover and its many clients adhered to best industry practices and compliant administrative and reporting activities. More specifically, Kathy oversees all aspects of Hanover's administrative operations, which include provision of client services that ranged from shareholder and investor relations; public relations; financial roadshow planning, booking and implementation; preparation and processing of press releases; design and development of required collateral materials; and assisting with SEC compliance and reporting, among other essential duties. Kathy also lends event planning and implementation support to the National Investment Banking Association, which hosts multiple large conferences in major U.S. financial centers each year.
Gary Augusta has over 25 years of experience in finance, healthcare, technology and other innovative sectors including leadership roles in mergers and acquisitions, capital markets and investments, strategic planning and partnerships, and as a public company Board Director. Mr. Augusta is on the Board of Directors of First Choice Healthcare Solutions Inc. (OTC: FCHS) as well as a Board Director of Apollo Medical Holdings, Inc. (NASDAQ: AMEH) and has had that position since March 2012. Previous roles at Apollo Medical include President, Executive Chairman and Consultant from 2012 until June 2018. Apollo Medical grew from a market cap of $3M to nearly $1Billion during this time. Mr. Augusta also currently serves as President of Flacane Advisors focusing on healthcare and technology capital investments and advisory services. From January 2010 to December 2014, Mr. Augusta was President of SpaGus Ventures and SpaGus Capital Partners focusing on healthcare and technology investments and advisory services. From March 2004 to December 2009, Mr. Augusta was President and CEO of OCTANe, an innovation development company. From March 2001 to January 2004, Mr. Augusta was a Corporate Officer at Fluor, Inc., a Fortune 500 company, focusing on Corporate Development and M&A. From June 1994 to March 2000, Mr. Augusta was a Consultant and Principal with AT Kearney, a leading global consulting firm. He earned a BS in Mechanical Engineering from the University of Rhode Island and a Master of Science and Management (MSM) from Georgia Institute of Technology (Georgia Tech).
Over the past two decades, FitzGerald, Yap & Kreditor Partner, Lynne Bolduc, has established herself as one of the premier corporate and securities lawyers in California. She has structured and implemented over $1 billion in financings, and has represented both domestic and international clients in complex transactions across multiple industries. She represents both private and public companies, as well as investment bankers and broker/dealers. Lynne's experience includes: entity selection and formation matters for businesses just getting started; contract negotiations; review, and drafting, mergers and acquisitions; private offerings; public offerings; and public company reporting with the Securities and Exchange Commission. Lynne is a member of the Board of Directors for the National Investment Banking Association, a not-for-profit association for national, regional and independent broker dealers, investment banking firms, investment advisors, and related capital market service providers.
Andrea Cataneo, a Corporate and Securities partner with Sheppard Mullin (an AmLaw 100 Firm) provides experienced, professional representation to companies in all matters involving capital formation, securities compliance and going public. She focuses primarily on structuring secured and unsecured private equity financing transactions for microcap companies, fostering domestic and cross border transactions and advising private companies through the process of reporting to the Securities and Exchange Commission (SEC). Through her extensive relationships in the investment banking community, Andrea offers her clients connections to her ever-growing network of capital sources and merger and acquisition opportunities. Additionally, she regularly guides entrepreneurs and businesses on entity formation, strategic business initiatives, capital raising activities, governance practices and regulatory matters with the SEC, FINRA, NASDAQ and the NYSE-American. Andrea is a frequent speaker and panelist on subjects of capital formation and going public strategies and has been named as a Thought Leader by Who's Who in the Cannabis Industry. She recently offered a CLE course on Cannabis Legal Updates to investment bankers, and is co-hosting a webinar on Blockchain and Cannabis legal issues. Andrea was named “Woman of the Year” for two consecutive years by the National Association of Professional Women, and she has proudly served on the Board of the National Investment Banking Association (NIBA) for over 8 consecutive years.
Robert K Gardner
Robert K. Gardner is the founding partner of New World Technology Partners (NWTP) – a collaboration of engineering, financial and government leaders incubating strategic technologies and ventures at the intersection of business and public policy.
He has been a leader in cyber and critical infrastructure risk management technology and an incubator of entrepreneurial enterprises since the seventies. He managed/participated in the launch of several development stage companies, including August Systems, Verdix, Meiko Scientific, Cryptek, Phoenix Numeric, Probity Labs and Location-Sentry.
Prior to forming NWTP, he held senior engineering and technical marketing positions for ILLIAC IV, PEPE, LDSP and NASF supercomputer projects at Burroughs Corporation.
He writes, speaks and has prepared testimony for the U.S. House of Representatives and Senate caucuses on the Enterprise impact of cyber risk.
Gardner has a BSEE from Rensselaer Polytechnic Institute and studied graduate system engineering and business administration at Penn State and the University of Santa Clara respectively.
Michael has spent over 30 years in the automotive industry as a sales engineer and program manager. His work experience includes the handling all aspects of product development, including manufacturing, sale negotiations and product delivery for new technologies to both the American and Japanese suppliers.
In addition to the auto industry, Michael has worked with component suppliers to sell their products. By setting up manufacturer representative territories through negotiated contracts, training and sales calls, Michael was able to reach and sell to appliance, medical, contract manufacturers and startups nationally.
Jerry Lindberg has acquired substantial expertise as a consultant, adviser and former litigating attorney with the United States Department of Justice and in the private sector. He has served as board member and CFO of publicly traded companies, business adviser and consultant, capital acquisition director, and operations officer to real world and Internet start-ups and helped raise capital for start-ups, small and microcap businesses in both the public and private sectors. His experience includes business plan preparation, early stage advising for corporate development and positioning for capital raising including crowd funding, private placement memoranda, investor presentation development, equity, debt and hybrid funding, form preparation and filing, offering syndicate coordination, sales/ marketing strategy along with investment community relations and investor relations, business development, licensing management, and assuring compliance with Federal and state regulations and fraud prevention software development. His areas of specialty include technology and intellectual property management, digital entertainment, media and marketing, eCommerce, m-Commerce, software design and development.
Don has over 30 years of capital markets experience on Wall Street. Don is the Founder and CEO of Consilium Global Research and with its staff of a dozen senior Wall Street analysts, the Company provides research coverage and advisory services to public and private companies. Don's experience includes: Managing Director at Shearson Lehman, Managing Director at Raymond James for 15 years and Managing Director, Head of Institutional Sales at Jesup & Lamont and CK Cooper.
An entrepreneurial, innovative leader with 18+ years of experience contributing to the successful development of cutting-edge products, ranging from cosmetics to diabetes glucose monitors. Inventor of more than 30 PCT US, and Chinese patents. Skilled at architecting targeted and feasible strategies and visions for startup companies, forging relationships with key partners and investors using exceptional networking and closing skills. Catalyze innovative product and program development and turnabout by quickly defining effective strategy and direction, leading teams to complete implementation, and persuading investors to support strategic growth.
Core competencies include:
• Biotech and Medical Devices
• Fundraising & Capital Formation
• Product Development
• IoT Technology
• Innovation & Patenting Process
• Venture Investment
• Startup Technical Due Diligence
• Startup Vision Development
• Networking & Relationship Building