Eds-Banc-America Securities, 9 W 57th St, New York, NY 10019, US

CastleOak is a New York based boutique investment bank with regional offices in Chicago, Atlanta and Portland. It is managed by a team of seasoned bankers with an average of over 20 years experience with bulge-bracket and minority-owned securities firms on Wall Street.CastleOak provides sales & trading, capital markets, and financial advisory services. We offer expertise in primary and secondary market transactions, and are structured to effectively advise our clients on mergers, acquisitions, divestitures, valuations and general strategic assessments.Our client coverage ranges from Fortune 500 to middle market corporations, institutional investors, and financial sponsors. CastleOak is in a strategic partnership with Cantor Fitzgerald, L.P, a leading global financial services provider to the institutional equity and fixed income capital markets.David R. Jones is the Co-Founder, President and Chief Executive Officer of CastleOak Securities. Mr. Jones has over 18 years of Wall Street experience, and prior to founding CastleOak was Head of Investment Banking and Capital Markets at Blaylock & Company, Inc where he worked closely with many of the firm's Fortune 500 clients. Mr. Jones joined Blaylock from Merrill Lynch where he worked in their investment banking and equity capital markets areas. He has significant experience in evaluating equity and debt market trends within industry sectors, valuing and positioning public companies, and marketing and syndicating public security offerings to institutional clients.Mr. Jones holds an MBA from the University of Pennsylvania, The Wharton School and a Bachelor of Science degree from Boston University. He holds Series 7, 24 and 63 licenses. He is a member of the Board of the New Jersey All Stars Project, the Presidential Advisory Council of Hampton University and The board of the New Jersey Chapter Young Presidents' Organization.Nathaniel H. Christian is Co-Founder, Managing Director and General Counsel of CastleOak Securities. He has over 20 years of Wall Street experience representing various clients in primary and secondary capital markets transactions. Mr. Christian has a strong securitization and derivatives background, and has represented clients such as Fannie Mae, Ginnie Mae and Resolution Trust Corporation.Prior to joining CastleOak, Mr. Christian spent eight years as the General Counsel of Blaylock & Company, Inc Prior to Blaylock, Mr. Christian was a senior attorney at Brown & Wood ( a predecessor of Sidley Austin, LLP ).Mr. Christian earned his BA degree from Columbia University, and his Juris Doctor degree from UCLA School of Law. He holds Series 7 and 24 licenses. Mr. Christian is on the board of directors of the National Association of Securities Professionals ( NASP ), an organization focused on the issues affecting minorities and women working in the financial services industry ; he is also a member of the Board of Directors of the of the All Stars Project, Inc, and an emeritus member of the Board of Trustees of the Horace Mann School.Philip J. Ippolito is a partner and co-founder of CastleOak Securities, L.P, as such ; he has played a key role in the development and the implementation of the firm's financial, operational, information and administrative systems. Mr. Ippolito is the firm's CFO, and is therefore responsible for managing the firm's capital position and finances on a day-to-day basis, as well as managing its overall financial condition in his role as Financial and Operations Principal. He is also the Head of the firm's Operations, overseeing all aspects of account opening and maintenance, risk, as well as the clearance and reporting of all firm transactions. In addition, Mr. Ippolito manages the firm's administrative issues, especially those that require interface with its strategic partner, Cantor Fitzgerald.Prior to helping found CastleOak, Mr. Ippolito was with Blaylock & Company, Inc, where he was the Head of Operations & Fina

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