STOCKS OWNERSHIP DISCLOSURE:
During the course of my working relationship with a few selected companies, I may have access to insider information. As such, I made a personal policy to NEVER trade or invest in any company that I have a working business relationship. My policy is to be fair to you, the individual investor. That being said, the stocks that I trade and invest for my portfolio are disclosed at the end of my articles or videos.
DISCLAIMER:
As a medical doctor/market expert, I’m not a registered investment advisor. Despite that I strive to provide the most accurate information, I neither guarantee the accuracy nor timeliness. Past performance does NOT guarantee future results. I reserve the right to make any investment decision for myself and my affiliates pertaining to any security without notification except where it is required by law. I am also NOT responsible for the actions of my affiliates. The thesis that I presented may change anytime due to the changing nature of information itself. Investment in stocks and options can result in a loss of capital. The smaller market cap companies are highly risky. The information presented should NOT be construed as a recommendation to buy or sell any form of security. My articles are best utilized as educational and informational materials to assist investors in your own due diligence process. That said, you are expected to perform your own due diligence and take responsibility for your actions. You should also consult with your own financial advisor for specific guidance, as financial circumstances are individualized.
FORWARD LOOKING STATEMENT
My articles and videos contain "forward-looking statements" within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended, and such forward-looking statements are made pursuant to the safe harbor provisions of the Private Securities Litigation Reform Act of 1995. "Forward looking statements" describe future expectations, plans, results, or strategies and are generally preceded by words such as "may," "future," "plan" or "planned," "will" or "should," "expected," "anticipates," "draft," "eventually" or "projected." You are cautioned that such statements are subject to a multitude or risks and uncertainties that could cause future circumstances, events, or results to differ materially from those projected in the forward-looking statements, including the risks that actual results may differ materially from those projected in the forward-looking statements as a result of various factors, and other risks identified in the Company's disclosures or filings with the Securities Exchange Commission.
BUSINESS RELATIONSHIP DISCLOSURE
Due to my medical and market expertise, pharmaceutical companies and third parties like GuidePoint Advisor hired me as a paid consultant. As such, I’m compensated for my work relating to investor outreach, market awareness, investor relations, and business development.
Being an industry expert with working relationships with companies gives me better insight into the biopharmaceuticals industry. At the same time, I might lose my objectivity and thereby favor the client companies.
Here is my complete Agreement listed below:
GuidePoint Advisors: As a healthcare financial expert, clients tap into my expertise and insight to help them in their own market research. My compensation rate per consultation is $500 an hour. Though I receive many requests, I only take on a few consultations.
Avalon GloboCare (AVCO): On October 4th, 2019, I entered into a paid consulting Agreement with Avalon. My initial monthly rate was $7,500. As I authored the CNBC Ad for Avalon back in February 2020, the company raised my compensation to $17,000. In August 2020, I finished my consulting work with Avalon. On August 2021, I re-engaged my consulting relationship with Avalon on a 12-month basis at $10,000 monthly. On July 2022, we completed and concluded our Agreement.
Salarius Pharmaceuticals (SLRX): I entered into a 3-month consulting Agreement with Salarius Pharmaceuticals on December 11th, 2019, for investor relations consulting at the $3,000 monthly rate. After the first month, I decided to stop working with Salarius.
BioSig Technologies (BSGM): On March 12th, 2020, I entered into a 6-months consulting relationship with BioSig to provide business development, relationship development, and contract
development services. I’m compensated $7,500 for the month. After the first month, I decided to terminate my working relationship with BioSig.
Anixa BioSciences (ANIX): On April 28th, 2020, I'm engaged by an investor relations company to provide a one-time consulting and scientific writing service on Anixa, of which I received $8,000 in compensation. On May 6th, 2020, I then entered into a 3-months Agreement to provide consulting, investor relations, and scientific writing service directly for Anixa at the $20,000 monthly compensation fee. In June 2020, I no longer have a paid working relationship with Anixa.
Anixa BioSciences (ANIX): On April 28th, 2020, I'm engaged by an investor relations company to provide a one-time consulting and scientific writing service on Anixa, of which I received $8,000 in compensation. On May 6th, 2020, I then entered into a 3-months Agreement to provide consulting, investor relations, and scientific writing service directly for Anixa at the $20,000 monthly compensation fee. In June 2020, I no longer have a paid working relationship with Anixa.
Medicenna Therapeutics Corp (MDNA): On November 29th, 2021, I entered into a paid consulting Agreement with Medicenna to provide provide consulting, investor relations, and scientific writing service. Our term is a 6-month at $10,000 monthly consulting fees. After the second month (i.e., in January 2022), I decided to terminate our consulting Agreement.
Enlivex Therapeutics (ENLV): On March 7th, 2022, I entered into a paid consulting Agreement with Enlivex to provide consulting, investor relations, and scientific writing service. Our term is a 3-month at $20,000 monthly consulting fees. On April 1st, ENLV and I mutually agreed to amend our Consulting Agreement and thereby paused our working relationship for April. On May 7th, we resumed our Consulting Agreement. On June 2022, we completed and concluded our Agreement.
Notably, I’m highly selective of my clients. And, I only maintain working relationships with biopharma companies who I have extremely strong confidence in their company. Moreover, I set expectations for all companies to meet. That way, we can deliver great value for investors. Simply put, I focus on quality rather than quantity.
