NIBA October 26 – 27, 2016 Southern California Conference

Balboa Bay Resort

The National Investment Banking Association (NIBA) was proud to host its 139th investment conference on October 26 – 27, 2016 at the Balboa Bay Resort in Newport Beach, California.

NIBA Conferences are one-and-a-half day fast-paced intimate events that provide private and public issuers, regardless of size or industry, a unique platform to present their individual stories to our vast network of Registered Investment Advisors, Private Equity Groups, Family Offices, Investment Bankers, Broker Dealers, Boutique Corp. Finance, Specialized Investment Brokerages, Venture Capital Groups, Financing Partners, Market Makers and market professionals, all experienced within the capital markets.

Our Conference forum is specifically designed to capitalize upon expended time for management of presenting companies by providing an abbreviated initial 10 minute overview presentation to all conference attendees which is also live filmed, providing access to members not in attendance and an additional marketing opportunity for presenters by posting to their company websites. Additionally, scheduled one-on-one meetings provide presenting companies an opportunity to fully engage potential investors with full presentations and affords time for in-depth question and answers.

Download the NIBA October 26 – 27, 2016 Newport Beach, California
Conference Agenda in .pdf format

Updated 10/25/2016 at 2:48pm EST

Conference Presentation Videos have been uploaded to the NIBA Information Portal with ProSeeder Technologies. Login here to view.

Video of the NIBA October 2016 Newport Beach, CA Speaker Leah Jordan, California Life Sciences Institute – “Your Bridge to Breakthrough Products in the Life Sciences” – has been posted on the NIBA Blog. This video is also available on our NIBAVideo YouTube channel.

Videography by D. Scott Foshee

The Official NIBA Newport Beach, CA October 2016 Conference Video

Video courtesy of StockVest.

Photos from NIBA Newport Beach, CA, October 26-27, 2016

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Photography by D. Scott Foshee

Presenting Companies at NIBA Newport Beach, CA October, 2016

If you want to contact a company, please follow the guidelines of NIBA’s Ethical Policy and ONLY do so through the company’s NIBA Sponsor.  All licensed persons may click here and view all company General Session presentations in the NIBA Virtual Data Room. NIBA Virtual Data Room users must register to view the detailed presenting company information.

Champions League, Inc.
Andrea Cataneo, Esq. at

​Epinex Diagnostics
Asad Zaidi at

Helix BioPharma Corp.
Andrea Cataneo, Esq. at

ImpactFlow, Inc.
Trent Davis at

Kineta, Inc.
James E. Hock at

Omny IQ
James E. Hock at

Pulmostics Limited
James E. Hock at

Steve Rosendahl at

Zeecol Limited
Andrea Cataneo, Esq. at

Videos courtesy of StockVest.

Collidion Inc.
Lynne Bolduc, Esq. at
FishyTale Digital
James E. Hock at
Infrascale, Inc.
James E. Hock at
QuantumSphere, Inc.
James E. Hock at
Velico Medical, Inc.
James F. Twaddell at
Carlo Corzine at


Putting our clients’ interests first is at the core of our philosophy. Hanover International and its team ensures that our interests are always aligned with those of our clients. We also custom-tailor our investment strategies to a client’s specific needs.

Known for our ability to handle complex and highly confidential situations, we bring to the table deep experience across various market cycles, vast intellectual capital, unconventional thinking and a problem-solving approach.

Our team comprises a unique group of exceptional investors, thought leaders and highly experienced business professionals – all of whom are unified with a strong passion and commitment to servicing our clients. Contact: James E. Hock, Telephone: (760) 564-7400. Email:

JMJ Financial is a privately held investment firm that specializes in providing growth and development capital to emerging small cap companies. JMJ is not a broker or finder, the firm invests its own capital into transactions designed to build long term working relationships with a focused group of innovative companies. With over 150 Nasdaq, OTC Markets, NYSE, and OTCBB companies in its portfolio and a long and highly successful track record, JMJ Financial is one of the most active and reliable investors in the space. Contact: Sandy Weisman, Telephone: (844) 414-9040. Email:


Sichenzia Ross Ference Kesner LLP (“SRFK”) provides experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters.

Our clients range from start-ups to established, listed companies. They include public and private corporations, partnerships, broker-dealers, investment banks, investment advisors, registered personnel, public and corporate customers and investors, and other entities. We also advise institutional investors on transactions involving complex securities laws. Our practice includes the representation of clients located in the United States and throughout the World.

Our areas of expertise include corporate and commercial transactions, mergers and acquisitions, securities litigation and arbitration, administrative practice before regulatory agencies, and broker-dealer regulation. In addition, we provide guidance to Boards of Directors and corporate managers who now operate in an increasingly complex and changing landscape of securities rules, litigation risks, regulatory oversight and investor scrutiny.



ProSeeder Technologies offers financial firms a fully integrated, yet highly configurable cloud-based platform to manage their private funding opportunities and investments. With a passion for innovation and collaboration, we created ProSeeder to help clients maximize their operational efficiency and provide a detailed audit trail for compliance and reporting. Our robust collaboration platform is also designed to scale with our clients’ growing investment reach – whether it’s bringing in more accredited investors, vetting more investment opportunities or growing globally.

Sheppard Mullin

Sheppard Mullin Richter & Hampton LLP is a full service Global 100 firm handling corporate and technology matters, high stakes litigation and complex financial transactions. From our 15 offices in North America, Europe and Asia, we offer global solutions to our clients around the world, providing seamless representation in multiple jurisdictions.

We are a firm that truly puts clients first. And this sets us apart. We don’t just give lip service to client service. Every attorney and staff member has a plaque in his/her work space listing our client service expectations. We regularly give “Clients First” awards to attorneys and staff members who “go the extra mile” for our clients. Client service is part of our culture and permeates everything we do. Contact: Andrea Cataneo, Partner, Sheppard Mullin Richter & Hampton LLP, 30 Rockefeller Plaza, New York, New York 10112-0015. Telephone 212.634.3096 (Direct), 212.655.1731 (FAX). Email:


Anton and Chia

Anton & Chia, LLP is a full service accounting, tax and advisory firm in the United States of America and Canada (Anton, Bryson & Schindler CPAs, LLP). We have an extensive international network through our joint ventures with Zhonghui Anton ( and Consultoria Aguero Ruiz y Asociados sc ( in Mexico City.

We service over 2,400 clients in the small to middle market throughout Canada, China, Europe, Hong Kong, Mexico, South America, South East Asia and the United States of America. We have an extensive international, national, and local network of consultants, business advisors, and directors. Anton & Chia, LLP is registered with the PCAOB, CPAB and AICPA.

Contact: Jodie Hon, Marketing & Operations Executive, 3501 Jamboree Road, Suite 540, Newport Beach, CA 92660. Telephone: 949.769.8905. Email:


BenXchange was created to change the way you search and find Insurance, Retirement and Employee Benefit products and solutions. We brought together a team of experts from different fields and skill sets to make sure you have a well rounded team available to solve and address any needs you have.

BenXchange has set out to change the way people look at insurance. We saw a problem in the industry when using other sites, you would have to visit several different sites or companies in order to build your benefits package. BenXchange is the one stop shop you have been looking for. We like to look at ourselves as your friends with benefits.

Contact: Timothy Hillert, One World Trade, 85th Floor, New York, NY 10007. Telephone: (646) 450-0416. Email:

Consilium Global Research (CGR) is the bridge between companies and investors. To improve our clients’ market valuation, increase trading activity and lower cost of capital, we provide a thorough and objective company analysis, distributed throughout the institutional and retail investment communities, one-on-one meetings with targeted investors, and relevant advisory services. Contact: Don McDonald, Telephone: (727) 329-8652. Email:

StockVest financial market relations. Contact: Mary Kratka, P.O. Box 47-0420, Celebration, FL 34747. Telephone 407-518-0010.


Vintage, a PR Newswire division, is a top-three provider of full-service regulatory compliance and shareholder communications services, delivered across our three practice areas: Capital Markets, Corporate Services and Institutional & Fund Services. Founded in 2002 and acquired by PR Newswire in 2007, Vintage has evolved to become the industry’s intelligent value choice. We deliver a flexible balance of people, facilities and technology to ensure that regulatory compliance and shareholder communications processes are efficient, transparent and painless. Services include IPO registrations, transactions, virtual data rooms, EDGAR & XBRL filing, typesetting, financial printing and investor relations websites.

Contact: Brian Cavalli, 350 Hudson Street, Ste. 300, New York,NY 10014. Telephone: (201) 942-7132. Email:

VStock Transfer is a NY based stock transfer and registrar firm which was founded by lawyers and is managed by lawyers. We can provide you/your client with customized pricing to offer costs savings. We provide you with DWAC services, dedicated account managers, FREE 24-7 Issuer access online to shareholder reports, and outstanding customer service that will impress the Issuer and the shareholders. We are also able to assist companies with DTC eligibility and can help bring market makers to the table to assist with the 15c211 process when needed. Contact: Lisa Loew, VP of Sales, VStock Transfer, LLC, 77 Spruce Street, Suite 201, Cedarhurst, New York 11516. Telephone 646-335-0311 (Direct), 917-742-7939 (Cell), 917-742-7939, or (646) 536-3179 (FAX). Email:


WRAPmail combines our proprietary patented technology with your custom marketing content which provides a next generation marketing platform for your organization or personal use.

WRAPmail provides a email advertising solution to organizations and individuals, allowing their email to be written on their branded letterhead as opposed to using a simple signature. Our “Instant Click Alert” gives the sender immediate feedback on what is important to your recipient.

Contact: Marco Alfonsi, 960 S. Broadway, Hicksville, NY 11756. Telephone: (516) 205-4751. Email:

About the Balboa Bay Resort

Sprawling across 15 waterfront acres of pristine Southern California coastline, Balboa Bay Resort is one of the top hotels in Newport Beach, California. This truly one-of-a-kind 4-Diamond Resort distinguishes itself as the only full-service waterfront property in the coastal haven of Newport Beach, halfway between Los Angeles and San Diego, CA.

Balboa Bay Exterior

The Mediterranean-style hotel is situated along the Newport Bay, offering 159 Guest Rooms, including 10 Suites with plush feather top beds, crisp white duvets, and rattan and wood furniture that reflect the area’s low-key luxury. Plantation shutters open to furnished balconies, highlighting the resort’s prime location along Southern California’s serene coastline. The Balboa Bay Resort offers amenities such as an Olympic-size turquoise blue pool, Duffy boat rentals, gourmet dining, deluxe spa and salon facilities, shopping, and nightly entertainment.

Balboa Bay Resort is conveniently situated in the heart of town, just off Pacific Coast Highway, attracting both locals and vacationers alike. Savor culinary delights in Waterline Newport Beach restaurant. With its contemporary nautical design, Waterline presents a captivating water to table experience, with the freshest seafood and a unique chef-driven concept. Or enjoy the casual and rustic waterfront gastropub A&O Kitchen+Bar where guests can enjoy shared plates, heart dishes, creative cocktails and 8 beers available on an iron clad centerpiece beer tap.

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