The firm
Senior bankers here carry their own mandates from pitch through close. That means the firm is selective about the deals it takes on, and that does not change as it grows.
Because the firm is a broker-dealer with its own distribution, we take the underwriting risk and place the securities ourselves. Pricing, allocation, and aftermarket support are decided here rather than by a syndicate desk somewhere else.
A client with a listed equity, a receivables problem, and an acquisition target works with one senior banker across all three, not three separate banks. That banker is accountable for the whole relationship.
Our institutional relationships run through the U.S., Europe, the Middle East, Asia, and Latin America. For a small-cap issuer that reach is often the difference between a deal that prices and one that does not find enough demand.
Our leadership team is committed to delivering strategic insight and innovative financing solutions that drive client success. With deep industry expertise and a client-focused approach, they develop tailored capital strategies, optimize funding structures, and navigate complex financial landscapes to unlock growth.
Joseph T. Rallo has served as Chief Executive Officer of E.F. Hutton & Co. and its predecessor firm since May 2020, bringing nearly 20 years of experience in investment banking and capital markets. His expertise spans a wide range of public and private transactions, including IPOs, SPACs, follow-ons, PIPEs and private placements, M&A and fairness opinions, debt capital markets, leveraged finance, and restructuring. Across his career, over 500 transactions totaling more than $60 billion in proceeds have been closed under his leadership, and he has held key leadership roles at preeminent Wall Street firms in Manhattan and San Francisco. He also serves on the boards of several global charitable organizations focused on driving socio-economic growth in underserved communities. Mr. Rallo holds a BA in Finance from the Mendoza College of Business at the University of Notre Dame.
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Duncan B. Swanston is President and Chief Compliance Officer at E.F. Hutton & Co., bringing over 20 years of experience in capital markets and structured finance. His expertise spans structured finance, asset-backed finance, project finance, debt and equity private placements, fixed income across the credit spectrum, securitizations, and capital markets advisory, serving both public and private clients. Mr. Swanston has structured and executed transactions totaling more than $22 billion in proceeds, helping clients secure long-term, flexible capital to meet their strategic objectives. Prior to joining E.F. Hutton, he held senior roles at global and boutique financial institutions, including CGA Capital, where he served as Managing Director, and began his career as an Analyst in the Global Banking and Markets division at RBS Greenwich Capital. Mr. Swanston holds a BA from the University of Pennsylvania.
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Geoffrey D. Liddy is Chief Operating Officer at E.F. Hutton & Co., bringing over 25 years of experience in capital markets and broker-dealer leadership. His expertise spans regulatory compliance, operations, and risk management across capital markets, portfolio management, and wealth advisory, serving both institutional and high-net-worth clients. Mr. Liddy has developed and implemented supervisory frameworks aligned with SEC and FINRA requirements, led regulatory examinations, prepared financial and operational filings, and implemented corrective actions to address compliance and operational matters. He has also driven internal controls and procedural efficiencies, established and managed a successful syndicate platform, participating as underwriter and selling group member in closed-end fund offerings, and recruited and scaled high-performing sales teams to over $100 million in assets under management. Mr. Liddy holds a BA from Florida Atlantic University.
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