Sichenzia Ross Ference LLP

Author Archives: Sichenzia Ross Ference LLP

Sichenzia Ross Ference LLP is a nationally recognized securities and corporate law firm that provides experienced representation in all matters involving the securities industry. Super Lawyers consistently recognizes our attorneys as among the highest rated securities lawyers in the nation. Our attorneys specialize in advising clients on private placements, initial (IPOs) and secondary public offerings, alternative public offerings, preparation of SEC filings and listings on major capital stock exchanges such as the NYSE (New York Stock Exchange), NASDAQ and OTC markets. In addition, our litigation and arbitration attorneys are highly skilled in representing clients from routine lawsuits to complex cases before the SEC, FINRA and other tribunals. We also represent clients in a range of residential and commercial real estate and trusts and estates matters. Visit SRF's LinkedIn page

Sichenzia Ross Ference Kesner LLP Represents Pareteum Corporation in $3.5 Million Public Offering

pareteum logo

Press Release – New York, NY – March 20, 2017 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it represented Pareteum Corporation (NYSEMKT: “TEUM”), a leading international provider of mobile networking software and services to the Mobile Network and Internet of Things markets, in an underwritten public offering of 2,333,334 shares of common stock at a public offering price of $1.50 per share together with the issuance of 1,166,667 five year warrants to purchase common stock with an exercise price of $1.87.

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Sichenzia Ross Ference Kesner LLP Partner Gregory Sichenzia Discusses Shareholder Comments that Impact Stock Price

Press Release – New York, NY– March 13, 2017 – Sichenzia Ross Ference Kesner LLP founding partner Gregory Sichenzia was recently interviewed by Business Insider about comments on Pandora stock by Liberty Media CEO Greg Maffei.  The article, titled “This media mogul has wreaked havoc on Pandora’s stock price for months — and he’s not slowing down,” discusses recent positive and negative comments by Mr. Maffei about Pandora. Greg addressed the legality of public statements that can impact stock price. 

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Sichenzia Ross Ference Kesner LLP Represents Cannabinoid Based Therapeutics Company in $12.3 Million Private Placement Led by Tuatara Capital Fund I, Ltd.

Press Release – New York, NY – March 2, 2017 – Securities and corporate law firm Sichenzia Ross Ference Kesner LLP is pleased to announce that the firm has represented a cannabinoid based life sciences corporation whose technology is designed to synthetically produce medically beneficial cannabinoids without utilizing the actual cannabis plant for the customized treatment of disease.

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Sichenzia Ross Ference Kesner LLP Founding Partner Gregory Sichenzia Featured in CNBC Story on Investing in Start-ups

Press Release – New York, NY – March 3, 2017 – Founding Partner Gregory Sichenzia was recently featured in a CNBC article authored by Kayleigh Kulp. The article entitled, “New Horizons: How to Invest in a Startup,” reviews the many things investors must know to effectively evaluate and invest in a start up.

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Mixiii BioMed 2017 Conference

Representatives of Sichenzia Ross Ference Kesner LLP and our affiliates, Doron, Tikotzky, Kantor, Gutman, Cederboum and Co., will be attending Biomed’s 16th National Life Science & Technology Conference, to be held at the David Intercontinental in Tel-Aviv, Israel on May 23rd – May 25th, 2017. Biomed has positioned itself throughout the years as the main annual meeting place for players of Israel’s healthcare industry with their colleagues from around the globe. It presents a unique and exuberating occasion for participating in discussions, panel presentations, product demonstrations and networking opportunities, all paving the way for new business collaborations.

May 23rd – May 25th, 2017
Tel-Aviv, Israel

David Intercontinental Hotel
Kaufmann St 12, Tel Aviv-Yafo, 61501, Israel

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Oppenheimer’s 17th Annual Israeli Conference

Representatives of Sichenzia Ross Ference Kesner LLP and our affiliates, Doron, Tikotzky, Kantor, Gutman, Cederboum and Co., will be attending Oppenheimer’s 17th Annual Israel Conference, to be held at the David Intercontinental Hotel in Tel-Aviv on Sunday, May 21st 2017. Guests will include insurance companies, pension funds, provident funds, mutual funds, banks, venture capitals, and money managers. Based on previous years’ events, this conference is expected to attract approximately 500 participants, more than 40 Israeli companies, as well as considerable media coverage.

May 21st, 2017
Tel-Aviv, Israel

David Intercontinental Hotel
Kaufmann St 12, Tel Aviv-Yafo, 61501, Israel

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Pioneers 2017 Presented By Joseph Gunnar & Co., LLC

Sichenzia Ross Ference Kesner LLP is a sponsor of the Pioneers 2017 Conference presented by Joseph Gunnar & Co., LLC, to be held at the Mandarin Oriental in New York, NY on May 2nd, 2017. The conference will feature company presentations, one-on-one investor meetings and networking opportunities, with a focus on defense, tech and healthcare companies. Many members of Sichenzia Ross Ference Kesner LLP will be attending this event.

May 2nd, 2017
New York, NY

Mandarin Oriental
80 Columbus Circle,
New York, NY 10023

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29th Annual ROTH Conference

Sichenzia Ross Ference Kesner LLP is a silver sponsor of the 29th Annual ROTH Conference, to be held at the Ritz Carlton in Dana Point, CA on March 12th – March 15th, 2017. The ROTH Conference, with close to 500 participating companies and over 4,000 attendees, will feature presentations from hundreds of public and private companies. The event will focus on healthcare, technology, internet & media, cleantech, industrial growth & solar, consumer, oil & gas, mining & minerals and business services.

March 12 – 15, 2017
Dana Point, CA

The Ritz Carlton
1 Ritz Carlton Dr
Dana Point, CA 9262

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Sichenzia Ross Ference Kesner LLP Represents Aegis Capital Corp. and Laidlaw & Company (UK) Ltd. in $4.8 Million Public Offering

functionx logo

Press Release – New York, NY – February 28, 2017 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Aegis Capital Corp. and Laidlaw & Company (UK) Ltd. as joint book-running managers in the underwritten public offering of common stock of Function(x) Inc. (NASDAQ: FNCX).  Function(x) operates Wetpaint.com and Rant.

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Sichenzia Ross Ference Kesner LLP Represents Joseph Gunnar and Fordham Financial Management as Warrant Agent in $2.3 Million Warrant Exchange and Exercise for AYTU BioScience, Inc.

aytu bioscience

Press Release – New York, NY – February 28, 2017 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Joseph Gunnar & Co., LLC and Fordham Financial Management, Inc. as warrant solicitation agents in a $2.3 warrant exchange and exercise for Aytu Bioscience, Inc. (OTCQB “AYTU”).

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Sichenzia Ross Ference Kesner LLP Represents XTL Biopharmaceuticals Ltd. in $2.5 Million Registered Direct Offering

xtlbio logo

Press Release – New York, NY – February 27, 2017 – Sichenzia Ross Ference Kesner LLP announced today that it has represented XTL Biopharmaceuticals, Ltd. (NASDAQ: XTLB) (TASE: XTL.TA), an Israeli clinical-stage biopharmaceutical company developing treatments for autoimmune diseases, in a registered direct offering of 1,000,000 American Depository Shares (“ADSs”) at a price of $2.50 per share and unregistered warrants to purchase 1,000,000 ADSs at an exercise price of $4.10 per ADS for gross proceeds of $2,500,000. continue reading >>

Sichenzia Ross Ference Kesner LLP Founding Partner Gregory Sichenzia Discusses Delay of Fiduciary Rule on CNBC

Press Release – New York, NY– February 10, 2017 – Founding partner Gregory Sichenzia discussed the Trump administration’s potential rollback of the new fiduciary rule applicable to broker-dealers that was to go into effect in April 2018.  Greg noted that this new standard is likely to lead to substantial regulatory costs and may not result in better products or targeted advice.

 To view the video, click here.

Sichenzia Ross Ference Kesner LLP Partner Henry Nisser Interviewed by FinOps Report About Improper Handling of ADRs

Press Release – New York, NY – February 1, 2017 – Sichenzia Ross Ference Kesner LLP partner Henry Nisser was interviewed by the FinOps Report in its article titled “Pre-Release ADRs: More SEC Fines on the Way?” The article discusses ITG Inc.’s recent agreement to pay more than $24.4 million to settle charges that it violated federal securities laws when it prompted the issuance of American Depository Receipts (ADRs) without possessing the underlying foreign shares.  continue reading >>

Senior Lawyer

Sichenzia Ross Ference LLP is seeking a senior lawyer or practice group with a portable business of at least $500,000 in the following disciplines: Mergers & Acquisitions, Commercial Real Estate Corporate/Transactional Tax, Executive Employment and Bankruptcy. Partnership potential. High pay outs. Great work environment and opportunity to cross-sell your practice with our existing core business of public company and investment banking clients.

Please contact mzavala@srf.law

Sichenzia Ross Ference Kesner LLP Appoints Avital Even-Shoshan as Partner

Press Release – New York, NY– January 17, 2017 – The law firm of Sichenzia Ross Ference Kesner LLP today announced the promotion of Avital Even-Shoshan to partner.

“I am proud to congratulate Avital on this well-deserved promotion, which reflects her notable commitment to legal excellence and client service,” said founding partner Gregory Sichenzia. continue reading >>

Sichenzia Ross Ference Kesner LLP Appoints Morgan Weber as Counsel

New York, NY – January 17, 2017 – The law firm of Sichenzia Ross Ference Kesner LLP today announced the promotion of Morgan Weber to counsel.   

Morgan Weber, with over ten years of experience, is versed in complex litigation, in state and federal courts as well as before arbitration tribunals and regulatory agencies. She has substantial experience in litigation motion practice, discovery and trial preparation and appellate work in subjects relating to complex contracts, business litigation, intellectual property matters and real estate matters.

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Sichenzia Ross Ference Kesner LLP Represents Vycor Medical Inc. in an Internet Portal-based Private Placement

vycor medical inc.

Press Release – New York, NY – January 13, 2017 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Vycor Medical Inc. (OTCQB:VYCO) in a private placement with the Company’s existing accredited investor shareholders that was conducted  through an internet portal through which the Company provided potential investors with the offering  documents and accepted subscriptions.  The Sichenzia Ross Ference Kesner LLP team was led by Partners Gregory Sichenzia and David Manno.

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Sichenzia Ross Ference Kesner LLP Founding Partner Marc J. Ross Discusses Employment Issues Surrounding Marijuana Use

Press Release – New York, NY – December 18, 2016 – Sichenzia Ross Ference Kesner LLP Founding Partner Marc J. Ross was recently quoted in The Atlantic, a CityLab article titled “Don’t Bet Your Job on Legal Pot.” The article notes that because marijuana remains illegal under federal law, employers are still able to fire employees for using marijuana, whether medical or recreational, even when such use is permissible under state law.

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Sichenzia Ross Ference Kesner LLP Adds Noted Intellectual Property Lawyer Scott H. Kaliko to Head the Firm’s New IP Group

Press Release — New York, NY — December 19, 2016 — Sichenzia Ross Ference Kesner LLP (“SRFK”), highly respected for their work in the securities and capital markets industries, continued its expansion and diversification for the firm’s practice today and announced the addition of noted intellectual property lawyer Scott H. Kaliko as Counsel to the firm to head the firm’s new intellectual property group. Kaliko joins SRFK from his own firm, Kaliko & Associates, LLC of thirteen years, prior to which he held roles at JP Morgan Chase & Co., and Fish & Neave, LLP (now Ropes & Gray, LLP).

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Founding Partner Marc J. Ross, Esq. Quoted on Impact of Trump AG Pick on Legal Cannabis Industry

Press Release – New York, NY – December 9, 2016 – Sichenzia Ross Ference Kesner LLP founding partner Marc J. Ross, Esq. was recently quoted in a Boston Globe article titled “Trump AG pick could halt legal pot industry,” where he commented on the future of the Marijuana Industry.  The article discusses how Senator Jeff Sessions, Donald Trump’s nominee for attorney general, who many think has a long history of opposition to marijuana, could impact the marijuana industry across the United States.  In particular, Sessions could choose to remove the Cole Memorandum, effectively repealing the protections that exist for marijuana and marijuana-related businesses in the states where marijuana is legal.  
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Founding Partner Marc J. Ross Quoted in Forbes Article on Marijuana Entrepreneurs Who Want Donald Trump to See Them as Job Creators

Press Release – New York, NY – December 6 – Sichenzia Ross Ference Kesner LLP founding partner Marc J. Ross, Esq. was recently quoted in a Forbes article titled “Marijuana Industry Entrepreneurs Want Donald Trump To See Them As Job Creators.” The article discusses that even though Donald Trump’s selection of anti-drug hardliner Alabama Senator Jeff Sessions for his attorney general nominee has entrepreneurs in the legal marijuana industry worried, there is hope that the cannabis sector’s positive impact on job creation and tax revenues will influence Donald Trump to maintain the existing legal protections for marijuana businesses.  

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Sichenzia Ross Ference Kesner LLP Represents Oppenheimer & Co. in $3.6 Million PIPE for Ener-Core, Inc.

ener-core

Press Release – New York, NY – December 5, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Oppenheimer & Co., as Sole Placement Agent in private placement of $3.6 Million principal amount of convertible senior secured notes and warrants of Ener-Core, Inc.  (OTCQB. “ENCR”).

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Sichenzia Ross Ference Kesner LLP Represents Vuzix Corporation in $14.5 Million Registered Direct Offering.

vuzix view the future logo

Press Release – New York, NY – December 2, 2016 – Sichenzia Ross Ference Kesner LLP announced today that it has represented Vuzix Corporation (NASDAQ “VUZI”) in a Registered Direct public offering of 2 million registered shares of its common stock at a price of $7.25 per share for gross proceeds to Vuzix of $14,500,000. Chardan Capital Markets LLC acted as the exclusive Placement Agent for the offering. The Sichenzia Ross Ference Kesner LLP team was led by Partners Gregory Sichenzia, Thomas Rose, Marcelle Balcombe and Counsel Jeff Cahlon.

Founding Partner Marc J. Ross Quoted on Inc.com on First Marijuana-Related Listing on the NYSE

Press Release – New York, NY – December 6, 2016 – Sichenzia Ross Ference Kesner LLP founding partner Marc J. Ross, Esq was quoted in an Inc.com article titled “NYSE Lists First Cannabis-Related Company.” The article discusses the IPO and NYSE listing of Innovative Industrial Properties, Inc., which will conduct business as an umbrella partnership real estate investment trust. The company focuses on the acquisition, ownership and management of specialized industrial properties leased to experienced, state-licensed operators for their regulated medical-use cannabis facilities.

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Sichenzia Ross Ference Kesner LLP Represents Oppenheimer & Co. and Feltl and Company in $13.5 Million PIPE for Midwest Energy Emissions Corp.

midwest energy

Press Release – New York, NY – November 18, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Oppenheimer & Co., as lead Placement Agent and Feltl and Company as Co-Placement Agent in a private placement offering of Common Stock ofMidwest Energy Emissions Corp. ME2C (OTCQB. “MEEC”). continue reading >>

Sichenzia Ross Ference Kesner LLP Selected to ‘Best Law Firms’ by US News and World Report

Press Release — New York, NY — November 3, 2016 – Sichenzia Ross Ference Kesner LLP is pleased to announce that the firm has been selected in the 7th Edition of Best Law Firms by US News & World Report for 2017 under the category of Corporate Law.  In addition, Founding Partner, Gregory Sichenzia has also been listed in Best Lawyers under the category of Corporate Law since 2016.

Sichenzia Ross Ference Kesner LLP Congratulates TapImmune Inc. on NASDAQ Uplisting

New York, NY – November 3, 2016 – Sichenzia Ross Ference Kesner LLP announced today that the Firm has represented TapImmune Inc. (NASDAQ: TPIV), in the Company’s uplisting to the NASDAQ Capital Market. The Sichenzia Ross  Ference Kesner LLP team was led by founding Partner Gregory Sichenzia and Associate Jay Yamamoto. The uplisting is effective for trading on November 8, 2016 and TapImmune’s common stock will trade under its existing stock symbol “TPIV.”

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Sichenzia Ross Ference Kesner LLP Represents Joseph Gunnar, Feltl and Company and Fordham Financial Management in $8.6 Million Public Offering of Aytu Bioscience, Inc.

aytu bioscience

Press Release – New York, NY – November 2, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Joseph Gunnar & Co. and Feltl and Company as Joint Book -Running Managers and Fordham Financial Management, Inc. as Lead Manager in a firm commitment underwritten public offering of equity securities of Aytu BioScience, Inc.

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Sichenzia Ross Ference Kesner LLP Represents ToughBuilt Industries, Inc. in $6.1 Million Private Offering

toughbuilt logo

Press Release – New York, NY – October 18, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented ToughBuilt Industries, Inc. (“ToughBuilt”) in a private placement of equity as well as debt securities.  ToughBuilt is a private company that markets and distributes various home improvement and construction product lines for both do-it-yourself and professional markets under the TOUGHBUILT® brand name within the global multi-billion dollar per year tool market industry.

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Sichenzia Ross Ference Kesner LLP Represents ABT Holdings, Inc. in $5 Million Private Offering of Senior Secured Convertible Debentures

abt logo

October 17, 2016 — New York, NY — Sichenzia Ross Ference Kesner LLP has represented ABT Holdings, Inc. (OTC.PK: ABOT), a diversified holding company engaged in investing, acquiring, developing, and growing various businesses, in a private offering of $5 Million of Senior Secured Convertible Debentures. continue reading >>

Sichenzia Ross Ference Kesner LLP Represents Laidlaw & Company (UK) Ltd. as Placement Agent for a $3 Million Private Placement

fte networks logo

Press Release – New York, NY – October 17, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Laidlaw & Company (UK) Ltd. as the exclusive placement agent in a private placement of equity securities of FTE Networks, Inc. (OTCQX: FTNW), continue reading >>

Sichenzia Ross Friedman Ference LLP Represents Network 1 Securities in $7.7 Million IPO and NASDAQ listing of ShineCo, Inc.

shineco inc

Press Release – New York, NY – September 30, 2016 – Sichenzia Ross Friedman Ference LLP announced today that it represented Network 1 Financial Securities, Inc. as underwriter in a $7.7 million best efforts Initial Public Offering of 1,713,190 shares of common stock of ShineCo, Inc. (Nasdaq TYHT) at a public offering price of $4.50 per share. Monarch Bay Securities participated as a selected dealer. Shineco is a producer and distributor of Chinese herbal medicines, organic agricultural produce and other health based plant products in China. The Sichenzia Ross Friedman Ference LLP team was led by Partners Marc Ross and Henry Nisser.

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Sichenzia Ross Friedman Ference LLP Represents BioPharmX Corporation in $930,000 Registered Direct Offering

biopharmx

Press Release – New York, NY – September 29, 2016 – Sichenzia Ross Friedman Ference LLP announced today that it has represented BioPharmX Corporation (NYSE. MKT “ BPMX) in a Registered Direct public offering of 1,550,000 registered shares of its common stock at a price of $.60 per share and 1,240,000 unregistered warrants to purchase common stock at an exercise price of $.75 per share for gross proceeds to BPMX of $930,000. Rodman & Renshaw a Unit of H.C. Wainwright & Co., LLC acted as the exclusive Placement Agent for the offering.  The Sichenzia Ross Friedman Ference LLP team was led by Partners Gregory Sichenzia, Marcelle Balcombe and Counsel Jeff Cahlon.

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Sichenzia Ross Friedman Ference LLP and its Israeli Affiliate DTKGC-SRFF Represent an Investment Group in Buy Out of ThermaSteel, Inc.

September 23, 2016 — New York, NY and Tel Aviv. Sichenzia Ross Friedman Ference LLP (“SRFF”) and Its Israeli Affiliate Doron Tikotzky Kantor Gutman Cederbaum-SRFF (“DTKGC-SRFF”) have represented an Israeli investment group led by Mr. Adi Ben-Senior in the acquisition of ThermaSteel, Inc. of Radford Virginia in a multi-million dollar transaction ThermaSteel has developed a patented bonding technology that bonds light gauge steel to EPS, creating composite structural wall panel system. www.thermsteelinc.com. continue reading >>

Sichenzia Ross Friedman Ference LLP Represents General Cannabis Corp. in $2.6 million Private Offering of Senior Secured Notes and Warrants

general cannabis

September 22, 2016 — New York, NY –  Sichenzia Ross Friedman Ference LLP (“SRFF”)  has represented General Cannabis Corp. (OTCQB: CANN), a leading cannabis industry company, focused on being the all-in-one resource for quality service providers in the regulated cannabis industry, in a private offering of $2.6 million of Senior Secured Promissory Notes and Common Stock Purchase Warrants.

The Sichenzia Ross Friedman Ference LLP team was led by Partners Arthur Marcus and Gregory Sichenzia. continue reading >>

Sichenzia Ross Friedman Ference LLP Represents SITO MOBILE, Ltd. in $11.5 Million Public Offering

sito - single touch interactive

Press Release – New York, NY – September 21, 2016 – Sichenzia Ross Friedman Ference LLP announced today that it has represented SITO Mobile, Ltd. (NASDAQ “SITO”) in a firm commitment underwritten public offering of 3,066,667 shares of its common stock, including exercise of the underwriter’s overallotment option, at a public offering price of $3.75 per share, for gross proceeds to SITO of $11,500,000. Cowen & Co. Inc. acted as the sole book running managing underwriter for the offering. The offering was led by several institutional investors.  The Sichenzia Ross Friedman Ference LLP team was led by Partners Gregory Sichenzia, Marcelle Balcombe, Counsel Jeff Cahlon and Associate S. Ashley Jaber.

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Sichenzia Ross Friedman Ference LLP Attorneys Achieve Complete Dismissal of Lawsuit

Press Release – September 13, 2016 – New York, NY – Sichenzia Ross Friedman Ference attorneys Mendy Piekarski and Marc Ross achieve a complete dismissal of a lawsuit seeking unwarranted finder’s fees and commissions. Plaintiff sought fees for purportedly making introductions that resulted in certain corporate acquisitions and financings.

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Partner Gregory Sichenzia Writes “Today’s Tech-Savvy Kids Are Tomorrow’s Investors” for Huffington Post

New York, NY – September 7, 2016 – Partner Greg Sichenzia wrote an article for Huffington Post Business titled “Today’s Tech-Savvy Kids are Tomorrow’s Investors.” The article provides an overview of future projected investment behavior of Millennials, Generation Z and Generation Alpha, and provides tips on market segments that might appeal to these generations. 

Read the full article here

Sichenzia Ross Friedman Ference LLP Represents Rodman & Renshaw as Exclusive Placement Agent for a $5 Million Registered Direct Offering

cel sci

Press Release – New York, NY – August 26, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Rodman & Renshaw, a unit of H.C. Wainwright& Co., LLC, as the exclusive placement agent for a registered direct offering of CEL-SCI Corporation (NYSE MKT: CVM), a pharmaceutical company that is focused on finding the best way to activate a patient’s immune response to fight cancer and infectious diseases (“CEL-SCI”).

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Sichenzia Ross Friedman Ference LLP Congratulates Biomerica, Inc. on NASDAQ Uplisting

New York, NY – August 25, 2016 –   Sichenzia Ross Friedman Ference LLP announced today that the Firm has represented Biomerica, Inc.  (NASDAQ: BMRA), in the Company’s uplisting to the NASDAQ Capital Market. The Sichenzia Ross Friedman Ference LLP team was led by founding Partner Gregory Sichenzia and Associate Jay Yamamoto. The uplisting is effective for trading on August 26, 2016 and Biomerica’s common stock will trade under its existing stock symbol “BMRA.”

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Sichenzia Ross Friedman Ference LLP Represents Aridis Pharmaceuticals in $15 Million Private Placement

aridis

PRESS RELEASE – New York, NY – August 25, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP is pleased to announce that the firm has represented Aridis Pharmaceuticals, Inc., a biopharmaceutical company applying proprietary technologies to produce novel therapies for infectious diseases, in a private placement of preferred stock and warrants resulting in total gross proceeds of $15,216,241.  continue reading >>

OktoberINVESTfest in NY, NY on September 28, 2016

oktoberinvestfest

Sichenzia Ross Friedman Ference LLP is a sponsor of the 5th Annual OktoberINVESTfest Conference to be held at the New York Academy of Science on September 28, 2016.  The OktoberINVESTfest aims to foster innovation and transatlantic investment by enabling investors to learn about selected high quality American and German unique investment opportunities, both public and private, in the life science and IT sectors. This high energy event is hosted by Invest in Bavaria, the investment promotion agency of Germany’s largest, most innovative state, Bavaria, whose capital is Munich.

The 2016 program will feature distinguished panelists and speakers complimented by networking at the Unconference Luncheon. Throughout the day some 40 U.S. and German top investment opportunities will present their innovations and businesses. The conference portion of the event will close with a presentation of Bavarian Innovations. The final highlight of the event will be the Little Oktoberfest, where partners and participants will solidify their new relationships over Bavarian beer and cuisine.

September 28, 2016
New York City
8:00AM – 6:00PM

New York Academy of Science
7 World Trade Center, 40th Fl., NYC

Visit here (http://www.oktoberinvestfest.com/) to learn more.

Sichenzia Ross Friedman Ference LLP Ranked #2 in PrivateRaise’s Q2 2016 PIPE League Tables

Press Release – New York, NY – July 15, 2016 – Sichenzia Ross Friedman Ference LLP was ranked #2 issuer counsel in PrivateRaise’s Q2 PIPE league tables by the number of placements advised. The Firm was also ranked #6 placement agent counsel.  PrivateRaise, a service of The Deal, ranks the top investment managers, placement agents, placement agent legal counsel, issuer legal counsel, and investor legal counsel by the total number of placements advised each quarter.

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Rodman & Renshaw Conference in NY, NY on September 11-13, 2016

Sichenzia Ross Friedman Ference LLP is a silver sponsor of the 18th Annual Rodman & Renshaw Global Investment Conference to be held at the Palace Hotel in New York City on September 11 to September 13.  A memorable and exciting conference is anticipated with approximately 200 public and private companies presenting their businesses to an audience of approximately 2,000 attendees. The conference will focus on tracks dedicated to healthcare, natural resources, cleantech, and technology, media and telecommunications. Keynote speakers will include the Rt Hon Sir John Major KG CH, Former Prime Minister of Great Britain and Northern Ireland, and Jeb Bush, the 43rd governor of Florida.

September 11 – 13, 2016
New York City
Lotte New York Palace Hotel
455 Madison Avenue at 50th Street
New York, NY 10022

Visit here to learn more.

Sichenzia Ross Friedman Ference LLP Attorneys To Join Client DelMar Pharmaceuticals, Inc. at Nasdaq Opening Bell Ringing

Press Release – New York, NY – July 14, 2016 – Sichenzia Ross Friedman Ference LLP partners Gregory Sichenzia and David Manno and counsel Jeffrey Cahlon will join representatives of client DelMar Pharmaceuticals, Inc. (NASDAQ: DMPI), a clinical stage drug development company with a focus on the treatment of cancer, at the Nasdaq MarketSite in Times Square to ring the July 14 opening bell.
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Sichenzia Ross Friedman Ference LLP Represents Rodman & Renshaw as Exclusive Placement Agent for a $3.77 Registered Direct Offering

eyegate pharma logo

Press Release – New York, NY – July 11, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Rodman & Renshaw, a unit of H.C. Wainwright& Co., LLC, as the exclusive placement agent for a registered direct offering of EyeGate Pharmaceuticals, Inc. (NASDAQ: EYEG), a clinical-stage specialty pharmaceutical company that is focused on developing and commercializing therapeutics and drug delivery systems for treating diseases of the eye (“EyeGate”).

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Sichenzia Ross Friedman Ference LLP Appoints Jeff Cahlon Counsel

New York, NY – (June 30, 2016) – Sichenzia Ross Friedman Ference LLP, the nationally ranked leading securities and corporate law firm, is pleased to announce today that it has promoted Jeffrey Cahlon to counsel from associate.

Mr. Cahlon joined the firm in 2007. His practice focuses on representing issuers, underwriters and investors in corporate financing transactions, including public and private equity and debt securities offerings, mergers and acquisitions, Exchange Act and Securities Act reporting and compliance, and general corporate and securities law.

“We are pleased to promote Jeff,” said founding partner Gregory Sichenzia. “Over the past nine years with us he has consistently demonstrated legal excellence and shown himself as an expert in a specialized and complex space.”

Mr. Cahlon’s full biography is available here:  https://srf.law/jeffrey-cahlon/

Partners Marc J. Ross and James M. Turner Represent Tonix Pharmaceuticals in $10 Million Public Offering of Common Stock

tonix pharmaceuticals

Press Release – New York, NY – June 23, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP is pleased to announce that the firm has represented Tonix Pharmaceuticals Holding Corp. (NASDAQ: TNXP), a developer of next-generation medicines for common disorders of the central nervous system, continue reading >>

Sichenzia Ross Friedman Ference LLP Represents Joseph Gunnar in $2.1 Million Public Offering of Intellicheck Mobilisa, Inc.

intellicheck logo

Press Release – New York, NY – June 21, 2016 – Nationally recognized securities and corporate law firm, Sichenzia Ross Friedman Ference LLP, announced today that it has represented Joseph Gunnar & Co. LLC as sole book-running manager in a firm commitment underwritten public offering of shares and warrants of Intellicheck Mobilisa, Inc.

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Partner Gregory Sichenzia Quoted in Los Angeles Times article on Uber’s Entry into Leveraged Loan Market

New York, NY – June 16, 2016 – Partner Greg Sichenzia was quoted in a Los Angeles Times article titled “Uber reportedly seeks to raise up to $2 billion in the leveraged loan market”.  The article discusses Uber’s engagement of Morgan Stanley and Barclays to sell a leveraged loan of $1 billion to $2 billion to institutional investors. Leveraged loans are similar to junk bonds in that they are deemed high risk, but return higher yields.  Greg shared his views on the expected interest rates of the leveraged loans.

Read the full article here. 

Partner Gregory Sichenzia Writes “3 Fundraising Options to Consider During a Tepid IPO Market” for Huffington Post

June 13, 2016 – Partner Greg Sichenzia wrote an article for Huffington Post Business titled “3 Fund Raising Options to Consider During a Tepid IPO Market.” The article describes three types of financing activities private companies that want to raise funds to list on a national exchange can consider as an alternative to the traditional underwritten IPO: private investments in public equity, or PIPEs, reverse mergers, and partnerships with existing corporations.

Read the full article here. 

 

Partner Gregory Sichenzia Quoted in a Los Angeles Times article on Microsoft’s Purchase of LinkedIn

New York, NY – June 13, 2016 – Partner Greg Sichenzia was quoted in a Los Angeles Times article titled “Microsoft to buy networking site LinkedIn for $26.2 billion.”  The article discussed Microsoft Corp.’s announcement today that it would acquire LinkedIn in a $26.2 billion all cash transaction that is expected to close this year.  Greg said that the acquisition is a “big and bold step” for Microsoft and a “great deal for LinkedIn,” making Microsoft a more socially relevant company and providing LinkedIn with new capital to grow.

Read the full article here.

 

Partners Richard A. Friedman and Stephen A. Cohen Represent Laidlaw & Company (UK) Ltd. and Roth Capital Partners, LLC as Joint Book Running Managers of PhaseRx, Inc.’s $18.5M IPO

phase rx

Press Release – New York, NY – May 23, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Laidlaw & Company (UK) Ltd. and Roth Capital Partners, LLC as Joint Book-Running Managers of the initial public offering of PhaseRx, Inc. (NASDAQ: PZRX).

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Sichenzia Ross Friedman Ference LLP Represents Axiom Capital Management, Inc. In $1.2 Million Public Offering of iSign Solutions Inc.

isign

Press Release – New York, NY – May 19, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Axiom Capital Management, Inc. as the underwriter in a firm commitment underwritten public offering of equity securities of iSign Solutions Inc. continue reading >>

Partner Greg Sichenzia to Participate in Panel on Uplisting to a National Exchange at the Marcum MicroCap Conference

Press Release – New York, NY – May 19, 2016 – Founding partner Greg Sichenzia will participate in a panel on uplisting to a national exchange at the 2016 Marcum MicroCap Conference in New York City on June 1, 2016 at 9AM.  The panel will address what every company needs to know before, during and after an uplisting.  The panel moderator will be Andrew Hall of Nasdaq and the other panelists will include Dave Donohoe of ROTH Capital Partners and Ramnarain Jaigobind of Joseph Gunnar & Co. LLC. 
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Firm Honored as a Top Corporate Law Firm in New York City

New York, NY – May 17, 2016 – Sichenzia Ross Friedman Ference LLP is proud to announce that it was selected as one of New York City’s best corporate law firms in 2016 by Best Lawyers magazine.  Best Lawyers is one of the oldest and most respected peer-review publication in the legal profession.  Its lists of outstanding law firms are compiled by conducting detailed peer-review surveys in which tens of thousands of leading lawyers confidentially evaluate their professional peers.

About Sichenzia Ross Friedman Ference LLP

 Sichenzia Ross Friedman Ference LLP is a nationally recognized securities and corporate law firm that provides experienced representation in all matters involving the securities industry. Super Lawyers consistently recognizes our attorneys as among the highest rated securities lawyers in the nation. Our attorneys specialize in advising clients on private placements, initial (IPOs) and secondary public offerings, alternative public offerings, preparation of SEC filings and listings on the NYSE, NASDAQ and OTCMarkets. In addition, our litigation and arbitration attorneys are highly skilled in representing clients from routine lawsuits to complex cases before the SEC, FINRA and other tribunals.

Sichenzia Ross Friedman Ference LLP Represents Joseph Gunnar and Fordham Financial Management in $7.5 Million Public Offering of Aytu Bioscience, Inc.

aytu bioscience

Press Release – New York, NY – May 9, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Joseph Gunnar & Co. LLC as sole book-running manager and Fordham Financial Management, Inc. as lead manager in a firm commitment underwritten public offering of equity securities of Aytu BioScience, Inc.

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Partner Jeffrey Fessler Represents Synergy Pharmaceuticals Inc. on $89.8 Million Registered Direct Offering of Common Stock

synergy pharmaceuticals

Press Release – New York, NY – May 6, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP is pleased to announce that the Firm has represented Synergy Pharmaceuticals Inc. (NASDAQ: SGYP), a biopharmaceutical company focused on the development and commercialization of novel gastrointestinal (GI) therapies, on a registered direct offering of 29,948,334 shares of the Company’s common stock at a public offering price per share of $3.00 without an underwriter or placement agent.

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Sichenzia Ross Friedman Ference LLP Represents DelMar Pharmaceuticals, Inc. in $7.5 Million Sale of Series B Preferred Shares

delmar pharmaceuticals

 

Press Release – New York, NY – May 5, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that the firm represented DelMar Pharmaceuticals, Inc. in connection with the sale of $7,500,000 of its Series B Preferred Shares.  DelMar Pharmaceuticals, Inc. was founded to develop and commercialize new cancer therapies in indications where patients are failing or have become intolerable to modern targeted or biologic treatments.

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Marc J. Ross, Esq. Speaks at Greenhouse Venture’s Cannabis Conference

Founding partner Marc Ross will be speaking at the Innovation in the Cannabis Industry: Technology, Medical & Investment conference on April 30th, where he will discuss Cannabis Investment Trends.

Please click here for more information on this event, and pass it along to anyone you think might be interested.

If you have any questions, please contact Marc at mross@srf.law or (212) 398 – 5541.

Firm Participates in TechDay

April 20, 2016 – Tomorrow, Thursday April 21, 2016, Sichenzia Ross Friedman Ference LLP will be participating in TechDay, the largest startup event in the U.S.  The firm will have a booth showcasing its Legal Services for Entrepreneurs practice group.  The top venture capital firms, accelerators and over 550 tech companies are expected to participate.  TechDay is open to the public and free to attend – come to learn about our services and to watch live demos or Shark Tank open casting calls.

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Firm Ranked #4 and #5 in PrivateRaise’s Q1 PIPE League Tables

April 19, 2016 – Sichenzia Ross Friedman Ference LLP was ranked #4 placement agent counsel and #5 issuer counsel in PrivateRaise’s Q1 PIPE league tables. PrivateRaise, a service of The Deal, ranks the top investment managers, placement agents, placement agent legal counsel, issuer legal counsel, and investor legal counsel by the total number of placements advised each quarter.

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Partner Gregory Sichenzia Quoted on IPO Activity

New York, NY – April 12, 2016 – Partner Greg Sichenzia was quoted in a Law360 article titled “Dormant IPO Market Could Pick Up Speed In 2nd Quarter”.  The article discussed the recent uptick in IPO activity in the second quarter, but notes that concerns about valuations have postponed several IPOs this year.  Greg noted that small to midsize biotech companies still face difficulties in obtaining IPO funding, forcing some to consider reverse mergers and other alternative routes to public markets.

Read the full article here.

Partner Gregory Sichenzia Appears on CNBC to Discuss Impact of New Fiduciary Rule on Broker-Dealers

Press Release – New York, NY– April 7, 2016 – Founding partner Gregory Sichenzia appeared on CNBC’s Closing Bell on April 6 where he debated the benefits and drawbacks of the new fiduciary rule announced that day by the Department of Labor.  Greg noted that this new standard is likely to lead to substantial regulatory costs for small broker dealers and may not result in better products or targeted advice. A core part of the rule says that if advisers offering retirement advice want to continue receiving commissions and other types of compensation for selling specific products, they and their clients need to sign a “best interest contract” in which the adviser pledges to put the client’s interests first. That is stricter than the current standard, which only provides they need to offer “suitable” recommendations.

 To view the video, click here.

Sichenzia Ross Friedman Ference LLP Represents Citius Pharmaceuticals Inc. in connection with its acquisition of LM Biosciences, Inc.

citius pharma

Press Release – New York, NY – March 8, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Citius in its acquisition of LM Biosciences, Inc. (“LMB”). LMB is a late-stage specialty pharmaceutical company focused on the development and commercialization of critical care products with a concentration of anti-infective drugs. continue reading >>

Partner Marc Ross to Discuss Investing in the Legal Marijuana Sector at the Growth Capital Expo

Press Release – New York, NY – April 6, 2016 – Founding partner Marc Ross will participate in a panel on the conflicting and ever-changing state of marijuana laws at the federal and state levels at the 2016 Growth Capital Expo on May 3-5 at Caesars Palace in Las Vegas. The panel will address the current state of affairs, the impact of the evolving state regulatory regimes governing medical and recreational use, and the future of the market’s federal status in the near and long term.

More than 15 hours of presentations and discussion panels are scheduled over the three days of the Expo, an event bringing together emerging growth company executives, investors and finance specialists. Other topics addressed will include the Reg A+ “mini-IPO” process, microcap shareholder activism and cybersecurity issues.

Visit here to learn more.

Partner Gregory Sichenzia Writes “Jumpstarting the IPO Market: Economic Factors to Watch in 2016” for Huffington Post

April 5, 2016 – Partner Greg Sichenzia wrote an article for Huffington Post Business titled “Jumpstarting the IPO Market: Economic Factors to Watch in 2016.” The article discusses recent macro and micro economic trends that may spark an uptick in IPO activity. These include an increase in public filings since January, greater stability in the global markets, cost cutting efforts by pre-IPO companies and opportunities for investors to enter the market near the bottom.

Read the full article here.

Partner Michael Ference Inducted Into the Bergen Catholic High School Hall of Fame

Press Release – New York, NY – March 30, 2016 – Sichenzia Ross Friedman Ference LLP is proud to announce that founding partner Michael Ference, Co-head of the firm’s litigation practice, was inducted into the hall of fame of his alma mater Bergen Catholic High School in Oradell, New Jersey during its annual hall of fame induction ceremony on March 20, 2016. Mr. Ference was honored for his achievements while a student at Bergen Catholic as well as for his personal and professional accomplishments thereafter.

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Sichenzia Ross Friedman Ference LLP Represents H.C. Wainwright & Co., LLC and Joseph Gunnar & Co., LLC as Joint Book Running Managers for $6.0 Public Offering and Uplisting to Nasdaq

labstyle mydario

Press Release – New York, NY – March 8, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented H.C. Wainwright & Co., LLC and Joseph Gunnar & Co. as joint book running managers in a firm commitment underwritten public offering of equity securities of LabStyle Innovations Corp.

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Sichenzia Ross Friedman Ference LLP Represents Viatar CTC Solutions Inc. in a $4.2 Million Private Placement

viatar

Press Release – New York, NY – March 3, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Viatar CTC Solutions Inc., a medical technology company focused on the treatment of patients with metastatic cancer, in a private placement of $4.2 million of Series B Preferred Stock. continue reading >>

Sichenzia Ross Friedman Ference LLP Represents Laidlaw & Company (UK) Ltd. as Placement Agent for a $6.9 Million Private Placement

pershing gold

Press Release – New York, NY – February 26, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Laidlaw & Company (UK) Ltd. as the exclusive placement agent in a private placement of equity securities of Pershing Gold Corporation (NASDAQ: PGLC), a mining company (the “Company”). In connection with the offering, the Company accepted subscriptions for the sale of approximately $6.9 million in gross proceeds of 2,120,882 Units, with each Unit comprised of 1 share of Common Stock and a 30 month warrant to acquire 0.5 of a share of Common Stock at an exercise price of $5.06, at a price of $3.25 per Unit.

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Partners Darrin Ocasio and Arthur Marcus Represent CBC Biotechnologies Inc. in Series A Preferred Stock Venture Financing

cbc biotechnologies

Press Release – New York, NY – December 24, 2015 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced that the firm has represented CBC Biotechnologies Inc., a commercial solutions provider of cannabinoid based products with applications in the fields of pharmaceuticals, nutraceuticals and cosmetics/skin care, in connection with a $2,000,000 Series A venture financing with Tuatara Capital Fund I, L.P.
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Partner Richard Friedman Represents eMagin Corporation in $6M Registered Direct Offering

eMagin

Press Release – New York, NY – December 23, 2015 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that the firm has represented eMagin Corporation (NYSE MKT: EMAN) (the “Company”), the leader in the development, design and manufacture of Active Matrix OLED microdisplays for high resolution imaging products, in connection with its $6,000,000 registered direct offering. continue reading >>

Sichenzia Ross Friedman Ference LLP Represents Takung Art Co., LTD on $1.58M PIPE

Takung

Press Release – New York, NY – November 17, 2015 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced that the Firm has represented Takung Art Co., a provider of an online platform for artists and creative professionals, in connection with a $1,580,000 private placement of the Company’s common stock priced at $1.58 per share.
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Sichenzia Ross Friedman Ference LLP Represents Calpian, Inc. on $2.1M PIPE

calpian

New York, NY – Press Release – Sichenzia Ross Friedman Ference LLP announced today that the Firm has represented global mobile payments technology and processing company, Calpian, Inc. (the “Company”), in connection with a private offering whereby the Company sold to accredited investors an aggregate of 3,558,335 shares of common stock and warrants to purchase up to 1,779,169 shares of common stock for a purchase price of $0.75 per share. The Company received $ 2,135,000 in gross proceeds from the sale of the securities. continue reading >>