Securities Law Firm

Sichenzia Ross Ference LLP provides experienced, professional representation in all matters involving the securities industry, as well as in general corporate, litigation, real estate and trusts & estates matters.

Our clients range from start-ups to established, listed companies. They include public and private corporations, partnerships, broker-dealers, investment banks, investment advisors, registered personnel, public and corporate customers and investors, and other entities. We also advise institutional investors on transactions involving complex securities laws. Our practice includes the representation of clients located in the United States and throughout the world.

Our areas of expertise include corporate finance, including initial and secondary public offerings, corporate and commercial transactions, mergers and acquisitions, securities litigation and arbitration, administrative practice before regulatory agencies, and broker-dealer regulation. In addition, we are experts at listing companies on both the NASDAQ and New York Stock Exchange and provide guidance to Boards of Directors and corporate managers who now operate in an increasingly complex and changing landscape of securities rules, litigation risks, regulatory oversight and investor scrutiny.

Our estate planning lawyers advise individuals and families on estate planning (wills and trusts) and estate administration (probate and intestacy). They also work in the probate courts to assist clients with a smooth estate administration, advising executors/administrators.

The founding vision of Sichenzia Ross Ference LLP in 1998 was to create a new boutique securities law firm that departed from the standard "mega-firm" approaches and, instead, focused on delivering efficient, personalized services of the highest quality to businesses of all sizes and individuals. We currently have over 40 attorneys devoted to serving the corporate, securities, litigation, arbitration, tax, real estate, trusts & estates and other needs of public and private companies, their financiers and the broker-dealer and financial services community. The firm represents the collective talents of a broad group of attorneys with exceptional skills under a single roof who are able to serve a dynamic client roster.

Our founding partners – Gregory Sichenzia, Marc Ross and Michael Ference - were soon joined by like-minded colleagues also seeking an alternative to the large law firm environment. Darrin Ocasio joined in 1999 as a law clerk and was promoted to the partnership in 2005. Tom Rose, a former Staff attorney at the Securities and Exchange Commission, joined us in 2000. Benjamin Tan joined us in 2008 to run our Asia Practice Group. Jay Kaplowitz and Arthur Marcus, shareholders of the leading boutique firm Gersten Savage LLP, joined us in 2012.

We relocated our headquarters to the heart of midtown Manhattan in 2017 in a move designed to better service our diverse client base in New York and around the world. We chose our new location at 1185 Avenue of the Americas to support our evolution as a full-service law firm. As we continue to experience robust growth, the new headquarters will facilitate the addition of attorneys and team members, as well as provide meeting spaces for clients on Sixth Avenue’s “Big Law” corridor.

This year, Sichenzia Ross Ference LLP commemorates its 24th anniversary. From a firm comprised of three young attorneys to one that is consistently ranked at the top of national league table rankings for issuer, investor and placement agent legal counsel, and that advises on a full range of trusts & estates matters, we have evolved from our humble roots but remain committed to continuing the high standards that we established for ourselves 24 years ago.

Credibility and visibility are two important qualities we bring to our clients. We have an extensive network of strategic relationships across a multitude of industries that we make available to all our clients. For example, as one of the pre-eminent firms in the country in corporate financing transactions, our credibility in the industry opens doors and creates more visibility for our clients in the eyes of the financial community. SRF’s ability to create these opportunities provides its clients with the capability to achieve the growth and success they envision.

Focused advocacy and passionate representation – two phrases that describe the approach to practicing law at SRF. We assist our clients with achieving their objectives by providing effective business and legal counseling. Our mission is to help our clients reach their goals in an expeditious, cost-effective and informed manner.

We provide our clients with the personalized focus and attention that is required to fully understand their needs and objectives. Our attorneys do more than just provide legal advice to our clients – we are business advisors, coaches and mentors. At SRF, we are zealous advocates whose singular purpose is to provide results for our clients. This focus and passion is integral to our clients’ business success as well as to our success.

SRF’s view of diversity includes a variety of experiences, backgrounds, viewpoints and perspectives in addition to race, religion, national origin, gender and sexual orientation. We recruit and develop a range of talent because we believe diversity broadens the capacity of our team and strengthens the quality of our services.

About Us