Charles Brock is Chairman and CEO of Brock Securities. He was a Partner at Carter, Ledyard & Milburn and an Associate at Sullivan & Cromwell. In the last thirty years, Mr. Brock has served as Director and Audit Chair of five public companies and managed a variety of businesses. He headed the twelve subsidiaries of Compton Communications (now Saatchi & Saatchi) and the five subsidiaries of Scholastic, Inc., where he was also Chief Financial Officer and Chief Operating Officer as well as General Counsel.

Mr. Brock is past President of the Harvard Alumni Association, Regent of Cathedral of St. John the Divine, a Trustee of the Appleseed Foundation and on the Board of Visitors and Executive Committee of Northwestern University’s College of Arts and Sciences. He is former Chairman of Guild Hall (museum and theatre) and former President of the Harvard Law School Association.

Mr. Brock received his undergraduate degree from Northwestern University, his law degree from Harvard Law School and completed the Advanced Management Program at Harvard Business School.

Chris Bene has over 20+ years experience in corporate finance, merger integration and change management having worked for and advising clients in strategy, growth, and operational excellence. Accomplished global transformation executive focused on improving business performance through customer-centered process solutions (Lean Six Sigma), strategic program management (PMO), and bringing together operations and technology platforms.

In 14 years at GE in financial services executive positions as Sales Leader, Chief Operating Officer, Merger Integration Leader, and Six Sigma Master Black Belt, he helped GE’s Money (Tokyo, Japan) & Genworth Insurance business units grow and save more by leading many transformative operational best practices throughout Europe, Asia, and the US.

As an Operating Partner in a leading Private Equity firm in Tokyo, Japan, Chris worked with over 20 portfolio companies with enterprise values between $50MM and $4BN, representing consumer products, healthcare, manufacturing, IT, Steel, and Precision instruments. Chris speaks basic/conversational Japanese as well as German and English.

Recently, he helped a global, publicly-traded $1.6 billion gaming client complete a merger integration, leading to $100MM savings. He strengthened BSA/AML process for a large commercial bank, and created a Board approved 3 yr. road map for a Med. Tech. company.

Chris received his certification as a Six Sigma Master Black Belt from GE in 2001, earned his MBA from NYU’s Stern School of Business and his BA from Skidmore College.

Alan Biloski works with high-quality pharmaceutical and biotech companies, and their major investors, to optimize business and financial strategies. His multi-disciplinary 30+ year career in the healthcare field – with experience as a scientist, a big pharma employee, a venture capitalist and an investment banker – enables him to rapidly bring forward practical and actionable ideas to help clients achieve the best possible valuation.

Dr. Biloski has led the seed round financings of a number of life science start-up companies in a diverse array of fields ranging from big data/AI (GNS Healthcare) to biotech (Advanced Medicine) and pharmaceutical services (Advion). As the lead pharma and biotech partner at Brock Capital, Dr. Biloski works with the independent fiduciary and family office groups to focus Brock Capital’s Opportunity Fund on the evaluation of direct investments in promising new companies.

Dr. Biloski’s prior experience includes 11 years of service as Senior Lecturer on the faculty of the Samuel Curtis Johnson Graduate School of Management at Cornell University where he led the Investment Banking Immersion and supported the practicums for the Research, Sales and Trading and Managerial Finance Immersions. While there, his students secured over 250 first tier investment banking jobs on Wall Street.

After a 15-year career in M&A banking, Dr. Biloski retired as Managing Director of Merrill Lynch in April 2001. He had joined the firm’s Healthcare Group in July 1998 and advised clients on approximately $100 billion of M&A transactions, including Pfizer’s unsolicited bid for Warner Lambert, MedImmune’s acquisition of US Bioscience, the sale of Mycogen to Dow Chemical and Alkermes acquisition of Advanced Inhalation Research. In November 2000, he advised Immunex on a comprehensive restructuring that included major governance changes, the dilution of AHP’s ownership interest in Immunex from 55{e096769289cd4143abdeb6dde3cd46aedf51a0d92a30412281f4fcaef93d78e0} to 41{e096769289cd4143abdeb6dde3cd46aedf51a0d92a30412281f4fcaef93d78e0} and the largest biotech equity offering in history with the sale of $3.2 billion in Immunex common stock. He also led efforts that produced two of the largest private placements in biotech history, raising $160 million for Advanced Medicine (now Theravance) in 1999 and $110 million for Eyetech in 2000.

As founder of the Healthcare Group at Wasserstein Perella & Co. in 1991, Dr. Biloski assembled a group of 12 professionals who concluded over $40 billion in pharmaceutical, health service, and medical device deals. Through his specialization in pharmaceuticals, Dr. Biloski has been responsible for a number of landmark transactions such as SmithKline Beecham’s acquisition of Sterling Winthrop (largest OTC deal), the sale of Sterling Winthrop North American to Bayer (second largest OTC deal), the sale of SmithKline Beecham’s animal health business to Pfizer (largest animal health deal), SmithKline Beecham’s purchase of DPS from United Healthcare (third largest pharmacy benefits manager deal), and the Chapter 11 reorganization of A.H. Robins (largest pharmaceutical product liability and bankruptcy).

Dr. Biloski is also an alumnus of the Healthcare Mergers and Acquisitions Group at the First Boston Corporation. While there he assisted senior bankers in over $10 billion in healthcare M&A transactions including the sale of A. H. Robins to American Home Products, the sale of Lyphomed to Fujisawa Pharmaceuticals, Bayer AG’s purchase of Cooper Technicon and SmithKline Beecham’s acquisition of International Clinical Laboratories.

He has experience as a venture capitalist, through the Princeton, NJ firm of Johnston Associates, and as a strategic planner with Merck Sharp and Dohme Research Laboratories. Dr. Biloski also served on the Board of Directors of Merrill Lynch Ventures where he had primary responsibility for evaluating new investments in the health care field. Dr. Biloski has assisted early stage life science companies in financing their businesses, raising $15 million for Advion through Skyline and Perseus-Soros and $5.5 million for Gene Network Sciences (now ViaScience). In addition, he assists management in strategic transactions such as advising Adolor in structuring an alliance with Glaxo for the codevelopment and co-marketing of Alvimopan, advising Eyetech in structuring an alliance with Pfizer for the co-development and co-marketing of Macugen, advising Sagres Discovery in a merger with Chiron and Spectral Genomics in an asset sale to Perkin Elmer.

In 2004 Dr. Biloski was elected to the Board of Directors of the Boyce Thompson Institute (www.bti.cornell.edu), one of the world’s leading independent institutions for plant research. From 2005-2011 Dr. Biloski served as Vice Chairman of the Board of Directors and chaired the BTI Investment Committee which is charged with managing the Institutes ~$100 MM endowment and since that time he has transitioned to head the Finance Committee. He holds a Ph.D. in synthetic organic chemistry from Cornell University and a M.B.A. with distinction from Columbia University. He was elected to Phi Beta Kappa at Yale University and graduated summa cum laude with a B.S./M.S. in Chemistry.

Mr. Goldstein is a Director at Brock Capital Group, where he focuses on providing advisory services in connection with a variety of complex private equity financings, due diligence and fiduciary assignments. He has led and/or served on deal teams across industry verticals including industrials, transportation, energy, aerospace and technology-enabled services, as well as for pension fund clients.

Mr. Goldstein is a member of Brock Fiduciary’s Valuation Committee, which is responsible for decisions related to Brock’s assets under management for which Brock serves as an independent fiduciary under ERISA.

Previously, Mr. Goldstein was an analyst at Idea Group Securities, a boutique investment bank focused on providing advisory services to companies with specialized financing needs. Mr. Goldstein began his career with seasonal Analyst roles at Citi and Goldman Sachs.

Mr. Goldstein holds a BS in accounting from Lander College.

Energy investment banking group; Project Manager, Analyst, Bakken Energy, developer of clean hydrogen production, transportation and storage applications.

Previously, Analyst, S2K Financial and Associate, AXA Financial.

BBA, Finance with honors, The Zarb School of Business, Hofstra University.

Co-head, Energy investment banking group; Founder, Bakken Energy, developer of clean hydrogen production, transportation and storage applications.

Won Institutional Investor Magazine’s first place honors for twelve of thirteen years; Inducted into Institutional Investor’s Hall of Fame in 2011 and named “one of the best analysts of all time.”

Equity research analyst at Donaldson, Lufkin & Jenrette (DLJ) and First Boston, covering natural gas, pipelines, exploration, production and midstream infrastructure industries.

Expertise in energy infrastructure, MLP qualifying assets, exploration & production and Liquefied Natural Gas; Led teams at Sagent Advisors, Deutsche Bank and S2K Financial.
Originated and participated in over $30 billion in merger and acquisition transactions and over $50 billion in equity and debt capital raising; Testified before Congress and industry regulators regarding gas and oil pipelines, MLPs and natural gas related issues as well as the proceedings involving the demise of Enron, where he assisted the investigation and prosecution of former executives.

B.S. Accounting, State University of New York – Buffalo.

Full bio coming soon.

Co-head, Energy investment banking group.

40 years on Wall Street primarily at major Wall Street firms including Donaldson, Lufkin & Jenrette, Goldman Sachs and Merrill Lynch; Expert in strategic financial advisory and transaction execution; Headed exclusive sale and merger/acquisition groups and completed over 200 merger and acquisition transactions.

Chief Investment Officer, Bakken Energy, LLC, a clean hydrogen firm; Director, Ocudoc, Inc., a digital autorefractor company; Advisor, Yamo Pharmaceuticals, a biotech company developing drugs to treat autism; Former Partner, Muirfield Capital Global Advisors, LLC, an Alternative Asset Management Firm.

Advisor to major universities concerning technology commercialization; Member, Ohio State Foundation Board and its Investment Working Group, advising the CFO, The Ohio State University, Endowment matters; Co-founder, UCLA Fink Center for Finance & Investment.
Board Member of numerous public and private companies as well as nonprofits, including Catholic Charities of New York, leading the Program and Quality Improvement Committee.
B.A. summa cum laude, The Ohio State University; MBA, UCLA, Edward Carter Scholar.

Since May 2011 David Newman has been a Senior Managing Director and Investment Banker at Brock Securities LLC, part of Brock’s Capital Markets Group. Prior to joining Brock, Mr. Newman served as the Chief Investment Officer of Empire American Holdings LLC (December 2008 – March 2011) and the Chief Operating Officer and a Director of Empire American Realty Trust, Inc. (June 2009-January 2011). Mr. Newman has 20 years of experience in the real estate industry involving many aspects of real estate investment, capital markets, management and development. Mr. Newman also served on the Investment Program Association REIT Committee and Financial Standards Subcommitee (2009-2011). From April 2004 until December 2008, Mr. Newman was part of the Related Retail development group at The Related Companies, a nationally recognized leader in real estate development, management and ownership in the United States.

From 1992 until 2004, Mr. Newman served as General Counsel to Strategic Development Concepts, Inc., a Westchester based real estate company, where he was responsible for helping manage the company’s legal affairs, business operations and commercial property activities. Mr. Newman commenced his career as an attorney with the corporate practice group of Kramer Levin Naftalis & Frankel and subsequently worked in the corporate practice group of Wachtel & Masyr, with a concentration in corporate and securities law. Since 2004, Mr. Newman has served as President of David B. Newman Consultants, Inc., a New York based corporation.

Since August, 2012 Mr. Newman has served as an independent director of United Realty Trust, Inc.

Mr. Newman earned a Juris Doctorate from the Fordham University School of Law in New York, New York in 1985 and a Bachelor of Business Management degree, cum laude , from Hofstra University in Hempstead, New York in 1982.

Peter has an extensive background in finance and investing, with experience in private investments, corporate finance, mergers & acquisitions, capital markets, private equity and investment strategy.

Previously, Peter was at G2 Investment Group, an early-stage private investing firm developing innovative structures in the private equity sector. Peter also worked with Berkshire Capital Securities, a New York based merger/acquisition advisor focused on serving clients in the investment management and securities industry. At Berkshire, Peter co-headed the wealth management advisory group, advising on strategic issues with RIAs, multi-family offices, trust banks, investment counselors and investment consultants.

Prior to joining Berkshire, Peter was with the Citigroup private bank in the Global Investment Strategy Group, supporting relationship bankers throughout the private bank’s worldwide network. He also worked at Donaldson, Lufkin & Jenrette in the international banking group advising emerging market firms on capital raising and financial strategy.

Peter received a B.A. from Dartmouth College and an M.B.A. from the Tuck School at Dartmouth.

Gary Zimmerman is a Managing Director at Brock Securities LLC. He also serves as the Managing Partner of Six Trees Capital LLC and is the Founder and CEO of Max (MaxMyInterest.com), a financial technology company focused on bringing efficiency and transparency to the multi-trillion dollar market for cash. Previously, Gary was a Managing Director at Citigroup, where he served as Global Head of Strategic Solutions for Sovereign Wealth Funds, responsible for advising these funds on their direct investment activities globally. In that role, he spent considerable time in Europe, the Middle East and Asia advising funds with more than $5 trillion of assets under management.

Earlier, Gary led Citigroup’s cross-border M&A business in Japan, advising multinational corporations, financial institutions and private equity funds on their strategic ambitions overseas. Prior to joining Citigroup, he advised electric and gas utility and energy clients at Merrill Lynch &  Co. and SG Barr Devlin, a division of Societe Generale, both in New York.

Gary graduated magna cum laude from Harvard University with a degree in Economics, and subsequently completed an executive education program at the Wharton School of The University of Pennsylvania.