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“Who” We Serve:

The Over-the-Counter Debt Markets (“OTC Debt Markets” – and the Over-the-Counter Equity Markets (“OTC Equity Markets” – serve:

  • Companies:

    • Private Real Estate Companies

      • Private Institutional Permanent Loans

      • Private Institutional Development Financing

      • Private Institutional Construction Financing

      • Private Institutional Bridge Financing

      • Private Institutional Mezzanine Financing

  • Private Companies seeking Pre-IPO Capital (plan to list on an exchange within the next 12-24 months)

  • Public Companies seeking PIPE transactions

  • Investors (including Banks & Brokers)

    • Qualified Institutional Buyers (“QIBs”)

    • Institutional Investors

    • Accredited Investors

    • Registered Investment Advisors

    • Broker Dealers & Market Makers

  • Lawyers & Law Firms

“What” Products & Services We Offer:

Auctions & Capital Introductions

  • Both the OTC Debt Markets and the OTC Equity Markets operate “Dutch Auction” for issuances of Debt and Equity Financial Instruments. A Dutch Auction is an auction in which the price necessary to sell a portion, or all, of an offering becomes the price at which the securities offered are sold. This technique is traditionally used in Treasury auctions and is often used in risk arbitrage.

  • A Dutch Auction system is one in which the price of an item (equity share or debt note) is gradually lowered until it meets an offer to purchase and is sold. This Dutch Auction is used for all Initial Public Offerings, Corporate Purchases of shares from shareholders, or Corporate Repurchases of Debt Notes or Preferred Equity Shares.

  • By providing access to institutional bids to private companies that are early stage, growth stage, or later stage, the OTC Debt Markets and OTC Equity Markets each offer a key market indicator of demand and price to build new relationships as companies prepare to list on the OTC Market (Pink Market, Grey Market, OTCQB or OTCQX), the NASDAQ or the NYSE-MKT.

  • Institutional Investors (as of December 1, 2023):

    • Registered Investment Advisors: 500,000+ (40,000 + Firms)

    • Venture Capital Investors: 47,000+

    • Plan Sponsor Investment Rep.: 58,000+

    • Pension Fund Investment Reps: 38,000+

    • Global Family Office Contacts: 31,000+

    • Investment Fund Managers: 26,000+

    • Investment Banking Professionals: 25,000+

    • Insurance Co. Investment Reps: 16,000+

    • OCIO’s: 500+


Tender Offers to Purchase or Repurchase

  • A tender offer is a private market or public bid for shareholders to sell their shares. Typically, a tender offer is commenced when the Company making the offer – the Bidder – places a Notice to Shareholders that states the Company’s willingness to purchase a certain class of its securities at a set price. If the Company is a publicly traded entity, a tender offer must comply with the rules and regulations of the SEC, which include certain disclosure requirements, minimum offering periods, withdrawal rights, manner of publication, and other requirements. Both the OTC Debt Markets and OTC Equity Markets are equipped with “Tender Offer Technologies” that simplify the Notice to Shareholders process, collects shareholder interest, distributes required documentation, and collects signatures from all parties.


Direct Listings on the OTC Market, the NASDAQ, and the New York Stock Exchange

  • At the continuation of an Equity Round, and for companies that qualify for a listing on the OTC Market, the NASDAQ or the New York Stock Exchange, we are able to assist the issuer (the company that just closed an auction on the OTC Equity Market) in doing a Direct Listing. In a direct listing, also known as a direct placement, a company lists its shares on the OTC Market, the NASDAQ or the New York Stock Exchange without the use of an investment bank or other intermediary.

“What” are the Types of Financial Instruments we provide markets for:

  • Regulation D (Institutional & Accredited Investors Only, no CrowdFunding or Token / Coin Offerings)

  • Regulation A+ (Tier I & Tier II)

  • Regulation S (for Non-U.S. Investors / generally as a parallel offering)

  • EB-5 (must be associated with a current EB-5 Visa Regional Processing Center)

  • 144A (for established businesses, offering of shares to Qualified Institutional Investors only)

  • PIPE Transactions (Private Investments in Public Entities, issuer must be in good standing)

  • Family of Notes

  • S-1 (must meet the listing criteria of the NYSE, NASDAQ or OTC prior to Offering)

  • S-11 (Real Estate Investment Trust)

  • S-3; S-6; N-1A; N-2

"Who" is the President of the OTC Debt & OTC Equity Market

  • Mr. Steven Mueller (LinkedIn) is the Founder & Managing Member of the Los Angeles, California based Syndicate Legal & Financial, and an associate of the Beverly Hills, California Law Firm of “L.A. Law, APC” ( Mr. Mueller is a true pioneer in the Private and Public Capital Markets industry with more than twenty-five years of industry experience. Mr. Mueller has extensive experience Alternative Trading Sytems and Stock Exchange Legal & Compliance, in structuring private and public securities offerings, and coordinating both public and private securities offerings through a syndicate network of FINRA Registered Broker Dealers and Qualified Institutional Buyers. His areas of experience and expertise are in Commercial and Residential Real Estate, Energy, Mining & Mineral Rights, Oil & Natural Gas, Medical Device, Pharmaceuticals and New Technologies. Mr. Mueller’s education includes 110 college credits in pre-law & corporate finance (undergraduate studies), three years post-graduate studies in Law, and Mr. Mueller has completed educational courses that includes (but is not limited to): FINRA series 6, 65 & 7; California Insurance (Property & Casualty, Life & Health, Commercial, Annuity, Earthquake, Flood & Long-Term Care); California Real Estate Sales; California Residential Mortgage; and California Bail Bonds. Today, Mr. Mueller has participated 155 IPOs and Rule 144A Equity Offerings, and nearly 1,200 capital markets transactions.

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