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| Selected Recent Transactions |
| Investment Banking |
| Distressed Company Practice |
| Assessing Strategic Alternatives |
| Merchant Banking |
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| MERGERS & ACQUISITIONS Huron Capital, a private equity group, has acquired Prism Enterprises, Inc, a San Antonio, Texas-based medical device manufacturer from Graham-Field Health Products Inc. The undersigned acted as financial advisor to Huron Capital. |
| $58+ MILLION DEBT RESTRUCTURING A $100+ million multi-state Jiffy-Lube operator is undertaking a financial restructuring of its existing debt and has engaged the undersigned as its exclusive financial advisor. |
| CHAPTER 11 REORGANIZATION Convenience USA, a 253 unit retailer in the southeast filed for Ch. 11 with over $110 million of secured debt, and selected the undersigned as its exclusive financial advisor. |
| $52 MILLION REFINANCING A Midwest Operator of 90+ 7 Eleven franchises successfully refinanced its securitized debt with GE/FFCA, Morgan Stanley and GMAC. |
| MERGERS & ACQUISITIONS Team Specialty Products, Inc (“TSP”) a provider of high technology manufacturing, research and development services to U.S. National Laboratories and commercial customers has been sold to private investors. The undersigned acted as exclusive financial advisor. |
| FINANCIAL ADVISORY Spectrum was engaged by a major shareholder group of Cumberland Farms one of the nation’s largest convenience store operators to assess value- maximizing strategic alternatives. |
| $25+ MILLION DEBT RESTRUCTURING A Southwest retailer of 30+ convenience stores and wholesale fuel distributor is undertaking a financial restructuring of its securitized debt and selected the undersigned as its exclusive financial advisor. |
| MERGERS & ACQUISITIONS Midland Fire Protection, Inc., a leading New England fire protection contractor, was acquired by EMCOR Group (NYSE: EME), a global leader in mechanical and electrical construction, energy infrastructure, and end-to-end facilities services. |
| FINANCIAL ADVISORY ACAF Systems, Inc., has engaged the undersigned as its strategic financial advisor in connection with the development of a joint venture for its patented life safety product. |
| MERCHANT BANKING The Spectrum Capital Group has provided subordinated debt financing to Jason, Inc., a $450 million OEM manufacturer serving the automotive industry. |
| ALLIANCE FORMED Sandia National Laboratories and Zircle LLC have formed a technology commercialization alliance. The undersigned acted as exclusive financial advisor to Zircle. |
| CORPORATE FINANCE MERCHANT BANKING Spectrum has raised $1 million of equity and made an equity investment in Thaggard Partners LLC, a Santa Fe-based shrimp aquaculture management company with operations in Mexico. |
| MERCHANT BANKING Spectrum has an investment in “Company’s Coming!”, a new retail concept for Kitchen-based home entertaining headquartered in Raleigh, North Carolina. |
| STOCK AUCTION The US Bankruptcy Trustee for the District of New Mexico selected the undersigned as its financial advisor to sell a minority interest in the equity of Hatch Farms Inc. |
| INDUSTRIAL REVENUE BOND FINANCING Emcore Photovoltaics Corp. selected the undersigned as its exclusive financial advisor to obtain Industrial Revenue Bond Financing in New Mexico. |
| $7.5 MILLION DEBT RESTRUCTURING A $30 million multi-state manufacturer of steel tanks for municipal and commercial applications has engaged the undersigned as its exclusive financial advisor in connection with its restructuring of its bank and trade credit relationships. |
| FINANCIAL ADVISORY Team Solutions Inc., a regional magazine publisher and printer selected the undersigned as its exclusive financial advisor to provide financial management and assess strategic alternatives. |
| ALLIANCE Emcore Photovoltaics selected the undersigned as its exclusive financial advisor with respect to certain joint venture opportunities. |
| MERGERS & ACQUISITIONS Fulcrum Properties LP has sold its 160,000 sq. ft. manufacturing and administration facility in Rio Rancho, New Mexico. The undersigned acted as financial advisor to Fulcrum Properties LP. |
| FINANCIAL ADVISORY Clean Harbors, Inc., a leading hazardous waste management company selected the undersigned as its exclusive financial advisor in a dispute relating to a $35 million subordinated debt transaction. |
| FINANCIAL ADVISORY e-controller.com, an online virtual accounting department servicing small business selected the undersigned as exclusive financial advisor to assess value maximizing strategic alternatives. . |
| CORPORATE FINANCE Famous Radio LLP, a Delaware-based provider of customized radio networks for chain store retailers has completed its first round of financing. The undersigned acted as exclusive financial advisor. |
| FINANCIAL ADVISORY B. Koh & Associates Inc., an environmental consulting and remediation firm, selected the undersigned as its exclusive financial advisor to assess value maximizing strategic alternatives. |
| CORPORATE FINANCE MX Works Inc., a New York City-based provider of digital multimedia entertainment has completed its first round of financing. The undersigned acted as exclusive financial advisor. |
| FINANCIAL ADVISORY Pavich Family Farms, The largest grower and branded distributor of raisins selected the undersigned as its financial advisor. |
| FINANCIAL ADVISORY New Mexico Slam, a professional basketball team selected the undersigned as exclusive financial advisor to assess value maximizing strategic alternatives. |
| MERCHANT BANKING Spectrum has made an investment in Scout Ventures LLC a real estate management and investment company. |
| $11 MILLION REFINANCING An international real estate operator and landlord to Smith’s and Raley’s Supermarkets refinanced certain existing debt and selected the undersigned as its exclusive financial advisor |