Sentinel Brokers Company, Inc., a Subsidiary of DSS, Inc., Receives FINRA Approval to Act as Underwriter and Selling Group Member for Corporate Securities Offerings
Sentinel Brokers Company, a subsidiary of DSS (NYSE American: DSS), has received FINRA approval to act as an underwriter and selling group member for corporate securities offerings. This regulatory milestone enables Sentinel to participate in IPOs, follow-on offerings, and various corporate financing transactions.
Founded in 1996, Sentinel has established itself in institutional fixed income trading and expanded to equity market-making in 2021. The new FINRA approval allows the company to provide a comprehensive suite of services across multiple asset classes, enhancing its position in capital markets and ability to support corporate issuers and institutional clients throughout the capital formation process.
Sentinel Brokers Company, una controllata di DSS (NYSE American: DSS), ha ottenuto l'approvazione FINRA per operare come sottoscrittore e membro del gruppo di vendita per offerte di titoli societari. Questo traguardo normativo consente a Sentinel di partecipare a IPO, offerte successive e diverse operazioni di finanziamento aziendale.
Fondata nel 1996, Sentinel si è affermata nel trading istituzionale di reddito fisso ed è entrata nel market-making azionario nel 2021. La nuova approvazione FINRA permette all’azienda di offrire un insieme completo di servizi su più classi di attività, rafforzando la sua posizione nei mercati dei capitali e la capacità di supportare emittenti aziendali e clienti istituzionali durante tutto il processo di formazione del capitale.
Sentinel Brokers Company, una subsidiaria de DSS (NYSE American: DSS), ha recibido la aprobación de FINRA para actuar como suscriptor y miembro del grupo de venta en ofertas de valores corporativos. Este hito regulatorio permite a Sentinel participar en OPIs, ofertas subsecuentes y diversas transacciones de financiamiento corporativo.
Fundada en 1996, Sentinel se ha consolidado en el trading institucional de renta fija y expandió su actividad al market-making de acciones en 2021. La nueva aprobación de FINRA permite a la compañía ofrecer una gama completa de servicios en múltiples clases de activos, fortaleciendo su posición en los mercados de capitales y su capacidad para apoyar a emisores corporativos y clientes institucionales durante todo el proceso de formación de capital.
Sentinel Brokers Company는 DSS(NYSE American: DSS)의 자회사로서 기업 증권 공모를 위한 인수인 및 판매 그룹 회원으로 활동할 수 있는 FINRA 승인을 받았습니다. 이 규제적 성과는 Sentinel이 IPO, 후속 공모 및 다양한 기업 금융 거래에 참여할 수 있게 합니다.
1996년에 설립된 Sentinel은 기관 고정 수익 거래 분야에서 입지를 다졌으며 2021년에는 주식 시장 조성으로 영역을 확장했습니다. 이번 FINRA 승인을 통해 회사는 여러 자산군에 걸친 종합적인 서비스를 제공할 수 있게 되어 자본 시장 내 입지를 강화하고 기업 발행자와 기관 고객이 자본 조달 과정을 원활히 진행할 수 있도록 지원하는 능력을 높였습니다.
Sentinel Brokers Company, une filiale de DSS (NYSE American : DSS), a obtenu l'approbation FINRA pour agir en tant que souscripteur et membre du groupe de vente pour les offres de titres d'entreprise. Cette étape réglementaire permet à Sentinel de participer aux introductions en bourse (IPO), aux offres secondaires et à diverses opérations de financement d'entreprise.
Fondée en 1996, Sentinel s'est imposée dans le trading institutionnel de titres à revenu fixe et a étendu ses activités au market-making d'actions en 2021. La nouvelle approbation FINRA permet à la société d'offrir une gamme complète de services à travers plusieurs classes d'actifs, renforçant ainsi sa position sur les marchés de capitaux et sa capacité à accompagner les émetteurs d'entreprise et les clients institutionnels tout au long du processus de formation de capital.
Sentinel Brokers Company, eine Tochtergesellschaft von DSS (NYSE American: DSS), hat die FINRA-Zulassung erhalten, um als Underwriter und Mitglied der Verkaufsgruppe für Unternehmenswertpapierangebote tätig zu sein. Dieser regulatorische Meilenstein ermöglicht Sentinel die Teilnahme an IPOs, Folgeangeboten und verschiedenen Unternehmensfinanzierungstransaktionen.
Sentinel wurde 1996 gegründet und hat sich im institutionellen Fixed-Income-Handel etabliert und 2021 den Handel mit Aktien als Market Maker ausgeweitet. Die neue FINRA-Zulassung erlaubt es dem Unternehmen, ein umfassendes Dienstleistungsangebot über mehrere Anlageklassen hinweg anzubieten, wodurch seine Position auf den Kapitalmärkten gestärkt und seine Fähigkeit verbessert wird, Unternehmensemittenten und institutionelle Kunden während des gesamten Kapitalbildungsprozesses zu unterstützen.
- FINRA approval expands business capabilities into underwriting and securities offerings
- Enhanced ability to generate revenue through participation in IPOs and follow-on offerings
- Diversification of services beyond existing fixed income and equity market-making
- None.
Insights
FINRA approval enables DSS subsidiary to underwrite securities offerings, expanding revenue potential through higher-margin capital markets business.
Sentinel Brokers' FINRA approval to act as an underwriter and selling group member for corporate securities offerings represents a significant capability expansion for this DSS subsidiary. This regulatory milestone transforms Sentinel from primarily a market facilitator to a potential capital formation partner, allowing participation in initial public offerings (IPOs), follow-on offerings, and various corporate financing transactions.
This approval completes Sentinel's service evolution that began with institutional fixed income trading in 1996, expanded to equity market-making in 2021, and now includes full underwriting capabilities. Underwriting functions typically generate higher margins than standard brokerage activities, as they allow firms to earn fees throughout the capital formation process.
For DSS, a diversified multinational company with a market capitalization of approximately
The approval itself indicates regulatory confidence in Sentinel's operational controls and compliance framework. While the article doesn't provide specific revenue projections or implementation timelines, the removal of this regulatory barrier positions Sentinel to compete more effectively in the capital markets space.
This development should be viewed as a positive operational advancement, though the actual financial impact will depend on execution effectiveness and market conditions for new securities offerings.
NEW YORK, April 24, 2025 (GLOBE NEWSWIRE) -- Sentinel Brokers Company, Inc. (“Sentinel”), a FINRA-registered broker-dealer and a subsidiary of DSS, Inc. (NYSE American: DSS), is pleased to announce that it has received approval from the Financial Industry Regulatory Authority (FINRA) to act as an underwriter and selling group member for corporate securities offerings.
This regulatory milestone significantly enhances Sentinel’s capabilities in the capital markets, enabling the firm to participate more fully in initial public offerings (IPOs), follow-on offerings, and a wide array of corporate financing transactions. The approval underscores Sentinel’s strategic growth and positions the company to better serve clients seeking capital through public market channels.
“FINRA’s approval represents a pivotal advancement in our firm’s trajectory,” said Joseph Lawless, Founder and Chief Executive Officer of Sentinel Brokers Company, Inc. “It expands our scope beyond fixed income and equity market making and empowers us to more effectively support corporate issuers and institutional clients across the capital formation process.”
Established in 1996, Sentinel has earned a reputation for excellence in institutional fixed income trading. In 2021, the firm broadened its offerings to include equity market-making. Now, with underwriting and selling group authority, Sentinel is poised to offer clients a fully integrated suite of services across multiple asset classes.
As a subsidiary of DSS, Inc.—a diversified, multinational company operating across various business divisions—Sentinel benefits from the strategic support and operational scale of a broader corporate ecosystem.
Forward-looking Statements:
The foregoing material may contain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934, each as amended. Forward-looking statements include all statements that do not relate solely to historical or current facts, including without limitation statements regarding the Company’s product development and business prospects, and can be identified by the use of words such as “may,” “will,” “expect,” “project,” “estimate,” “anticipate,” “plan,” “believe,” “potential,” “should,” “continue” or the negative versions of those words or other comparable words. Forward-looking statements are not guarantees of future actions or performance. These forward-looking statements are based on information currently available to the Company and its current plans or expectations and are subject to a number of risks and uncertainties that could significantly affect current plans. Should one or more of these risks or uncertainties materialize, or the underlying assumptions prove incorrect, actual results may differ significantly from those anticipated, believed, estimated, expected, intended, or planned. Although the Company believes that the expectations reflected in the forward-looking statements are reasonable, the Company cannot guarantee future results, performance, or achievements. Except as required by applicable law, including the security laws of the United States, the Company does not intend to update any of the forward-looking statements to conform these statements to actual results.
About Sentinel Brokers Company, Inc.:
Sentinel Brokers Company, Inc. is a FINRA-registered broker-dealer specializing in institutional bond brokerage, equity market making, initial public offerings (IPOs), follow-on offerings, and other corporate financing transactions. Since our founding in 1996, we have built a reputation for delivering excellence, having a deep market expertise, and being a client-focused service for all of our customers.
About DSS, Inc.:
DSS, Inc. (NYSE American: DSS) is a multinational company operating businesses across multiple high-growth sectors. DSS focuses on creating, acquiring, and investing in innovative companies that drive sustainable value for its shareholders.
For investor and media inquiries or additional information, please contact:
Joseph Lawless
Chief Executive Officer
Sentinel Brokers Company, Inc.
Phone: 561-406-2242
Email: jlawless@sentinelbrokers.com
Website: www.sentinelbrokers.com
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