Send a text

In this episode of Off Road with Frank Ferraro, Frank and co-host Andrea Cataneo sit down with industry veteran Jim Hock, Chairman of the National Investment Banking Association (NIBA) and Founder of Hanover International.

With more than 50 years of experience advising emerging growth companies, Jim shares practical insights on what separates companies that successfully raise capital from those that struggle. The discussion covers the importance of preparation, transparency, conference strategy, and why companies should “act public” even when they’re private.

Jim also explains how disciplined planning, persistence, and strong follow-up can turn relationships into real transactions — including examples of companies that achieved major financings and growth through the NIBA ecosystem.

This episode is a must-listen for CEOs, founders, and advisors navigating the capital markets.

🔑 Topics Covered

• How companies can improve their chances of raising capital
• Why preparation and rehearsal matter when presenting to investors
• The value of conferences like NIBA for building relationships
• The entrepreneurial traits needed to succeed
• Real success stories from the microcap world

🎯 Who Should Listen

CEOs, entrepreneurs, investment professionals, and anyone involved in growth companies or capital formation.

Come be a part of our investment community at corporateroadshow.com

Support the show

Thanks for listening to Off-Road with Frank Ferraro.
Subscribe for new conversations on capital markets, innovation, and the future of business.

Send a text

On this episode of Off Road with Frank Ferraro, Frank and Andrea Cataneo sit down with capital markets veteran Seth Farbman — CEO, board member, and one of the most respected operators in the small-cap ecosystem.

If you’ve ever wondered:

👉 Who actually manages your cap table?
👉 Who protects shareholders behind the scenes?
👉 And where real deals get done (not just pitched)?

This conversation pulls back the curtain.

Seth explains why transfer agents are the “glue” of the public markets — quietly managing ownership records, safeguarding shareholder trust, and acting as the gatekeeper between issuers and investors. It’s one of the most critical — yet overlooked — functions in every IPO and public company.

But this episode goes beyond operations…

It turns into a masterclass on relationships, networking, and visibility in today’s capital markets.

As a board member of National Investment Bankers Association (NIBA), Seth shares why their conferences are different from the typical 5,000-person cattle call events — and why NIBA’s smaller, relationship-driven format consistently leads to real conversations, real partnerships, and real capital.

💡 Key themes include:

• Why transfer agents are essential to IPO success
• The real role of shareholder servicing
• How CEOs should think about conferences strategically
• Why most executives underutilize LinkedIn (huge missed opportunity)
• Building visibility before, during, and after events
• How relationships — not decks — close deals
• Why “Go Home Tired” is the only conference strategy that works

You’ll also hear:
✔ Stories from early Corporate Roadshow days
✔ Seth’s experience scaling multiple exits
✔ Behind-the-scenes insights from the NIBA board
✔ Practical tips for small-cap CEOs trying to raise capital

If you’re a CEO, IR pro, banker, service provider, or investor in the small-cap space — this is a must-listen playbook episode.


🎧 Connect with Seth

📩 Email: seth@vstocktransfer.com

🔗 LinkedIn: Reach out directly (he actually answers!)


🚀 About Off Road

Hosted by Frank Ferraro and Andrea Cataneo, Off Road features unfiltered conversations with the builders, operators, and connectors powering Wall Street and the small-cap markets.

New episodes weekly.

👉 Follow • Share • Subscribe
👉 And if you’re attending or want to attend NIBA — Just reach out to us.

Support the show

Thanks for listening to Off-Road with Frank Ferraro.
Subscribe for new conversations on capital markets, innovation, and the future of business.

Send a text

In this episode of Off Road, Frank Ferraro and co-host Andrea Cataneo sit down with Emily Foshee, Executive Director of the National Investment Banking Association (NIBA) — the nonprofit organization that has quietly powered small-cap and growth company capital formation for nearly 50 years.

If you’re a CEO, founder, or public company executive trying to raise capital, meet investment bankers, or connect with real investors, this conversation breaks down where those relationships actually happen.

Not empty conference rooms.
Not random pitch events.
But curated, face-to-face meetings with bankers, family offices, private equity, and real check writers.

Emily shares how NIBA’s unique format — single-track presentations, one-on-one investor meetings, and a relationship-first culture — consistently helps companies secure financing and build long-term capital markets partnerships.

Frank also dives into:
💼 Why most investor conferences fail issuers
🤝 How syndication between banks is making a comeback
📈 What today’s small-cap CEOs must do differently to raise money
🎯 Who should attend NIBA (public, private, and growth companies)
🔥 And why the right room changes everything

If you’re serious about capital formation, this episode is your inside look at the conference where deals actually get done.

📍 Connect with Emily & NIBA

🌐 Website: https://www.nibanet.org

📧 General inquiries: info@nibanet.org

🔗 LinkedIn: Search Emily Foshee – NIBA or National Investment Banking Association (NIBA)

For presenting companies, sponsors, or attendee info, visit the NIBA site directly for conference details and registration.

Support the show

Thanks for listening to Off-Road with Frank Ferraro.
Subscribe for new conversations on capital markets, innovation, and the future of business.

Send a text

In this episode of Off Road with Frank Ferraro, Frank sits down with longtime college football coach and author Jay Paterno for a candid conversation about leadership under pressure and the transformation of college athletics into big business.

Jay shares what he’s witnessed from inside major institutions — from NIL and the transfer portal to mental health challenges, donor influence, and the erosion of the traditional “student-athlete” model. Drawing from his new novel Blitz, he explains why today’s system is colliding with new incentives, new money, and very real consequences.

This is not a highlight-reel discussion.
It’s an inside look at how power, accountability, and economics are reshaping the future of college football.

🎧 Topics include:
• NIL and the business of college sports
• Mental health pressures on players and coaches
• Institutional politics and donor influence
• The future of college football and what must change

📘 Blitz is available on Amazon and major booksellers.
🌐 Learn more at jayvpaterno.com

Support the show

Thanks for listening to Off-Road with Frank Ferraro.
Subscribe for new conversations on capital markets, innovation, and the future of business.

Send a text

In this episode of Off Road with Frank Ferraro, we dive into the fast-growing world where sports engagement, interactive technology, and digital media come together. Frank is joined by two dynamic guests shaping that landscape:

Solal Pytel, Co-Founder of Gamby

Gamby is a rising free-to-play sports prediction platform that uses real-time data and a smooth, social experience to keep fans connected to the action. With over 150,000 users in Europe and rapid traction in the U.S., Gamby is redefining what it means to “feel the game” without putting money at risk. Sal shares the origin story, how the app works, community growth, and what’s coming next.

Alan Stone, Founder of Wall Street Research

As the head of one of the longest-running independent research firms covering emerging growth companies, Alan brings insight into why platforms like Gamby are gaining visibility and how digital brands break through in a crowded market.

🔍 What We Cover

• The Family Story Behind Gamby

How three brothers watching sports together led to a global idea built around connection, predictions, and fan excitement.

• How the App Works

Daily free coins, real-time predictions, earning in-app rewards, and simple gameplay designed for fans of all levels.

• Why Gamby Isn’t a Betting App

A look at how design, accessibility, and user philosophy separate Gamby from traditional betting or fantasy sports platforms.

• User Growth + Community Building

150k+ registered users, strong Discord engagement, social challenges, and a community that loves the “play for fun” model.

• U.S. Expansion & Compliance Approach

How the team navigates age requirements, fairness, transparency, and different state-by-state rules while keeping the platform accessible.

• The Role of AI & Social Features in the Next Phase

From personalized experiences to private leagues and community groups, Gamby is leaning heavily into social virality and smart technology tools.

• Market Perspectives from Alan Stone

Why digital fan-engagement platforms are getting more attention and how Gamby is positioning itself as it grows internationally.

🎤 Featured Guests

• Solal Pytel, Co-Founder of Gamby https://www.gamby.app/
• Alan Stone, Founder of Wall Street Research https://www.wallstreetresearch.org/

📣 If You Enjoy This Episode

Follow the show, share it with someone who loves sports or tech, and check out CorporateRoadshow.com for exclusive CEO features and market discussions.

Support the show

Thanks for listening to Off-Road with Frank Ferraro.
Subscribe for new conversations on capital markets, innovation, and the future of business.

Send a text

In this episode, Frank and Andrea sit down with Brian J. Esposito, CEO of Diamond Lake Minerals and founder of Esposito Intellectual Enterprises. Brian has built partnerships across dozens of industries, and this conversation takes a grounded, honest look at what’s actually happening in the world of tokenization and digital assets.

⭐ What We Talk About

• Tokenization is Growing Up

Brian shares what he saw at the Futuristic Blockchain Conference — from banks and large corporations stepping into the space to how the crowds and conversations have become far more mature than in years past.

• Real Use Cases, Not Hype

The discussion dives into where tokenization really makes sense right now:
travel, hospitality, ticketing, financial services, and businesses looking to open their doors to a global audience.

• How Ownership is Changing Worldwide

Brian explains how tokenization allows people anywhere — even with just a basic smartphone — to own pieces of real assets. It’s creating new opportunities and closing gaps that used to exist between big investors and everyone else.

• The Governance Piece

Frank brings up how governance structures are developing in the crypto world, and how similar they are to the corporate systems we’ve used for decades. The conversation covers voting, restrictions, and why smart contracts have to be thought out carefully from day one.

• Tokenizing Water & Global Impact

Brian shares one of the most meaningful projects he’s involved in — using tokenization to help deploy water treatment systems faster and at lower cost. This part of the conversation shows how blockchain can go beyond speculation and actually solve real problems.

• AI, Community & What’s Next

Andrea ties in how AI is speeding things up across industries, and how combining AI, blockchain, and community could reshape the pace of innovation.

💬 A Few Standout Moments

• “Tokenization is just the next evolution of money.”
• “Smart contracts are like building foundations — you can’t change the basement later.”
• “Fractional ownership gives people access to things they never imagined they could own.”
• “Tokenizing clean water infrastructure can change entire regions.”

🎧 Listen to the Episode

Available now on all podcast platforms.

Support the show

Thanks for listening to Off-Road with Frank Ferraro.
Subscribe for new conversations on capital markets, innovation, and the future of business.

Send a text

📝 Episode Summary:

Today on Off Road with Frank Ferraro, we sit down with David Bernard, a visionary leader who’s spent decades at the crossroads of finance and innovation. As the former CEO of Equities.com, David transformed how small and micro-cap companies connect with capital markets. Now, as President of Next Gen Bioplastics, he's on a mission to disrupt a different space: the global plastics industry.

In this powerful episode, David opens up about his pivot from capital markets to climate action, the founding of a 375,000-square-foot bioplastics manufacturing facility in Pennsylvania, and how hemp-based products could help eliminate harmful microplastics from our food systems and oceans.

Joining Frank is frequent co-host Andrea Cataneo, a securities attorney and partner at Callagy Law, who brings deep insights and personal connection to David’s journey.

If you’ve ever wondered how high finance and sustainable manufacturing can collide to make real impact, this one’s for you.

🔍 Topics Covered:

• The origin story of Equities Magazine and its historic spotlight on companies like Home Depot
• How David built one of the most dynamic digital platforms for small and micro-cap issuers
• The staggering impact of plastics on our health and ecosystems
• How hemp-based bioplastics could revolutionize food packaging and supply chains
• Behind the scenes of launching a $45M+ manufacturing venture with 40+ product SKUs
• Real purchase orders and market demand from global distributors
• Why this is David Bernard’s "final and most meaningful act" in business

🧠 Key Takeaways:

• The future of sustainability is now — and it's being shaped by business leaders with real Wall Street experience.
• Bioplastics are scalable — and with the right infrastructure, they can compete with petroleum-based plastics in cost and quality.
• Environmental responsibility can drive revenue — Next Gen Bioplastics already has $45M+ in committed purchase orders.

🔗 Resources & Mentions:

• Next Gen Bioplastics - david@nextgenbioplastics.com
• Andrea Cataneo andrea.cataneo@unblindedmastery.com
• The Plastic Island

👤 Guest Bio:

David Bernard is a longtime financial innovator, former CEO of Equities.com, and current President of Next Gen Bioplastics. With a background in capital markets, David has shifted his energy toward sustainable manufacturing—building one of the largest bioplastics factories in the U.S. to combat the growing threat of plastic waste and microplastic ingestion.

Support the show

Thanks for listening to Off-Road with Frank Ferraro.
Subscribe for new conversations on capital markets, innovation, and the future of business.

Send a text

📌 Show Notes:
Today on Off Road with Frank Ferraro, we take a bold leap into the intersection of law, leadership, and intelligent technology. Our guest, powerhouse securities attorney and dealmaker Andrea Cataneo, unpacks a revolutionary concept that goes beyond traditional AI — Actualized Intelligence. This isn't just automation or chatbots — it's a human-optimized framework that delivers real-time feedback, identifies blind spots, and elevates performance inside law firms, businesses, and boardrooms.

From her work at Callagy Law to her cutting-edge role with Unblinded, Andrea breaks down what makes Actualized Intelligence radically different — and why it may just become the secret weapon for lawyers, founders, and CEOs everywhere.

🔑 Key Takeaways:

• The difference between Artificial Intelligence and Actualized Intelligence
• How AI agents like Bolt, Holmes, Athena, and Geeves are transforming legal workflows
• Why Actualized Intelligence is not about replacing humans but amplifying their best traits
• Security, privacy, and customization for law and finance professionals
• A real-world case: 8,000 litigation pages analyzed in hours
• The Unblinded Formula: Process Mastery, Influence Mastery, Self-Mastery
• What every skeptical lawyer should know before dismissing AI tech

📅 Upcoming Event:
Andrea invites listeners to a free webinar on July 29th at 7 PM to explore Actualized Intelligence in action. Register to meet the agents and see how your practice or business can benefit from real-time clarity and scale.

🔗 https://gounblinded.com/webinar?el=aCataneo

👤 Guest Bio:
Andrea Cataneo is a veteran securities attorney, dealmaker, and visionary behind new tech-driven approaches in law and leadership. She's a partner at Callagy Law and Executive Producer of "The Heart of Influence" platform redefining influence and transformation for high-performance professionals.

andrea.cataneo@unblindedmastery.com

🎧 Tune in now and discover how to lead, scale, and grow with clarity, integrity, and exponential purpose.

#ArtificialIntelligence #ActualizedIntelligence #LegalTech #LawAndTechnology #Unblinded #LeadershipDevelopment #InfluenceMastery #BusinessStrategy #GrowthMindset #CallagyLaw #UnblindedMastery #AndreaCataneo #TheHeartofInfluence

Support the show

Thanks for listening to Off-Road with Frank Ferraro.
Subscribe for new conversations on capital markets, innovation, and the future of business.