Senior Management

Darren J Caris

Chairman and CEO

Mr. Caris has more than 15 years of Wall Street experience, having held positions in Equity Trading, Equity Research, and Institutional Sales. Mr. Caris began his career at Gruntal and Co. as a proprietary trader where he was one of the top 10 producers at the firm within his second year of joining. When he joined Torrey Pines Securities as Vice President in 1996, he created an institutional sales and equity trading infrastructure that brought the firm national attention as a leading market maker in such securities as Cisco, Dell, Intel, and Microsoft. In 1999, he joined Granite Financial Group as a partner and was responsible for managing and growing Capital Markets. The divisions under his supervision included Institutional Sales, Equity Research, Retail Sales, Equity Trading, Operations, and Compliance. In 2002, Mr. Caris formed Caris & Company in an effort to create Wall Streets leading research-driven boutique investment bank.

Mr. Caris holds a degree in economics from the University of California at San Diego. In his spare time, Mr. Caris likes to surf and spend time with his wife and son. He holds the Series 7, 24, 55, and 63 licenses.

Peter L. Newman

Senior Managing Director: Head of Institutional Sales and Trading

Peter Newman joins Caris and Company after 4 years at Thomas Weisel Partners where he was a Principal and Branch Manager. From 1995-2001 he was a Senior Vice President at Gerard Klauer Mattison responsible for covering institutional accounts in New York and the Midwest. Peter started his career at Prudential Securities in 1986 where his primary territories were Hartford and New York.

He is a 1985 graduate of the University of Vermont with a degree in Political Science. Peter resides in Old Greenwich, Ct. with his wife and 3 boys. Peter holds the following securities registrations: series 7, 63 and 24.

David S. Moskowitz

Senior Managing Director: Director of Research

David Moskowitz, RPh., is Caris & Company's Director of Research and is also a senior analyst focusing on the pharmaceutical industry. Prior to joining Caris, Mr. Moskowitz was Group Head of Healthcare Research at FBR Capital Markets, where he led the build-out of FBR's healthcare research platform and provided coverage on the large cap pharmaceutical industry and select specialty pharmaceutical companies. Mr. Moskowitz also spent time at FBR in investment banking, rebuilding the healthcare team. Prior to FBR, he worked for UBS Warburg as a specialty pharmaceuticals analyst, and before that, he was a biotechnology analyst for Standard and Poor's. Mr. Moskowitz practiced as a registered pharmacist in various hospital and retail settings before entering the financial services industry.

Mr. Moskowitz received his B.S. in pharmacy from Rutgers University and his M.B.A. in finance and pharmaceutical industry studies from Fairleigh Dickinson University.

Sandie Turley

Senior Managing Director: Compliance ~ Finance ~ Operations

Ms. Turley brings over 18 years of experience on Wall Street. She has spent her career running the compliance and finance divisions of several independent broker dealers. Her knowledge and ethics have caused her to be perceived as a leader in the brokerage community.

Ms. Turley received her BS in Accounting from Western International University where she graduated Magna Cum Laude. She holds the Series 4, 7, 24, 27, 63, 66 and 87 registrations.