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 Friedman Ference LLP Advises Laidlaw & Company on $6.72 million Secondary Public Offering of Novabay Pharmaceuticals, Inc.

novabay pharma

NEW YORK, March 25, 2014 (GLOBE NEWSWIRE) — New York- based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Laidlaw & Company (UK) Ltd. as sole underwriter in a $6.72 million secondary public offering for Novabay Pharmaceuticals, Inc. (“NBY” NYSE MKT). The underwriting was pursuant to a prospectus supplement to an effective S-3 registration statement. The offering consisted of 5,600,000 shares of common stock and 18 month warrants to purchase 1,400,000 shares of common stock at combined offering price of $1.20 . The Sichenzia Ross Friedman Ference LLP team was led by partners Richard Friedman and Stephen Cohen.

Media Contact:

pr@srf.law
212-930-9700

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 LLP

Sichenzia Ross Friedman Ference LLP Advises Laidlaw & Company on $10 million Private Placement of Relmada Therapeutics, Inc.

relmada

NEW YORK, May 12, 2014 (GLOBE NEWSWIRE) — New York- based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Laidlaw & Company (UK) Ltd. as sole Placement Agent in a $10 million Private Placement offering for Relmada Therapeutics, Inc., a privately held company. The offering was of Units consisting of Common Stock and Class A and B Warrants. The Sichenzia Ross Friedman Ference LLP team was led by partners Richard Friedman and Stephen Cohen.

Media Contact:

pr@srf.law
212-930-9700

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 LLP

Sichenzia Ross Friedman Ference LLP Advises AV Therapeutics, Inc. on $1.26 million PIPE Offering

av therapeutics

NEW YORK, April 30, 2014 (GLOBE NEWSWIRE) — New York based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented AV Therapeutics, Inc. (OTCQB:AVTH) on a $1.26 million private placement of units consisting of common stock and warrants at a unit price of $0.20. AV Therapeutics, Inc. is engaged in the business of developing cancer therapeutics and immunotherapeutic vaccines that can be used alone or in combination with prevalent treatment modalities such as chemotherapy and radiation to treat active disease and to prevent metastases and recurrence. The Sichenzia Ross Friedman Ference LLP team was led by partner Darrin M. Ocasio.

Media Contact:

pr@srf.law
212-930-9700

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 LLP

Sichenzia Ross Friedman Ference LLP Advises J.P. Turner & Company, L.L.C on $ 2.5 million Private Placement of X2 Bio Systems, Inc..

xz biosystems

NEW YORK, April 18, 2014 (GLOBE NEWSWIRE) — New York- based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented J.P. Turner & Company as sole Placement Agent in a $2.5 million private placement of X2 Bio systems, Inc., a privately held Seattle based science and technology company which is developing the first complete solution for assessing sport brain injuries. The offering consisted of $2.5 million of Units consisting of 6% convertible promissory notes and common stock purchase warrants. The Sichenzia Ross Friedman Ference LLP team was led by partners Gregory Sichenzia and David Manno.

Media Contact:

pr@srf.law
212-930-9700

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 LLP

Sichenzia Ross Friedman Ference LLP Advises Brean Capital LLC on $ 6.5 million Registered Direct Offering of ClearSign Combustion Corporation

clearsign

NEW YORK, March 5, 2014 (GLOBE NEWSWIRE) — New York- based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Brean Capital LLC. as sole Placement Agent in a $6.5 million registered direct offering for ClearSign Combustion Corporation (“CLIR” NASDAQ). The offering was pursuant to a prospectus supplement to an effective S-3 registration statement. The offering consisted of 812,500 shares at an offering price of $8.00 per share. The Sichenzia Ross Friedman Ference LLP team was led by partner Jay Kaplowitz and associate Stephen Cohen

Media Contact:

pr@srf.law
212-930-9700

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 LLP

Sichenzia Ross Friedman Ference LLP Represents Tonix Pharmaceuticals in $43.5 Million Shelf Takedown

tonix pharmaceuticals

SRFF Named-Partner, Marc J. Ross, Leads Transaction Whose Proceeds Will fund Development of Medications for the Treatment of Fibromyalgia and Post-Traumatic Stress Disorder

NEW YORK CITY – February 12, 2014 Sichenzia Ross Friedman Ference LLP (SRFF), a leading corporate securities law firm headquartered in New York City, announces it represented Tonix Pharmaceuticals Holding Corp. (TNXP) in the closing of its confidentially marketed public offering, resulting in aggregate gross proceeds of approximately $43.5 million. The shelf takedown, which closed January 29, 2014, was led by SRFF named partner Marc J. Ross.

The SRFF team, which in addition to Ross as lead counsel included firm partner James M. Turner, advised Tonix in the underwritten public offering of 2,898,550 shares of the common stock at a price of $15.00 per share. Roth Capital Partners acted as the sole book-running manager for the offering and National Securities Corporation, a wholly owned subsidiary of National Holdings, Inc. (NHLD), acted as co-manager. Tonix granted the underwriters a 45-day option to acquire an additional 434,782 shares to cover overallotments in connection with the offering.

Tonix Pharmaceuticals develops prescription medications for disorders of the central nervous system, targeting conditions characterized by significant unmet medical needs, inadequate existing treatment options, and high dissatisfaction among both patients and physicians. Tonix expects to use the net proceeds of the offering to support the continued development of TNX-102 SL for the treatment of fibromyalgia, to initiate clinical trials of TNX-102 SL for the treatment of post-traumatic stress disorder, and to initiate clinical trials of TNX-201 for tension-type headache.

Avista Capital Partners

Last modified: 2013-12-16T13:14:39Z

Copyright 2013 . All rights reserved. This material may not be published, broadcast, rewritten or redistributed.

Media Contact:

pr@srf.law
(212) 930-9700

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 LLP

Sichenzia Ross Friedman Ference LLP Advises Xenetic Biosciences in Reverse Merger and Direct PIPE Investment.

xenetic biosciences

SRFF Team Led by Named-Partner, Marc J. Ross, Succeeds in Leveraging Unique Solution and Direct PIPE Investment Totaling $10 million

NEW YORK CITY – February 12, 2014. Sichenzia Ross Friedman Ference LLP (SRFF), a leading corporate securities law firm headquartered in New York City, represented UK-based Xenetic Biosciences PLC. (XEN), in connection with it’s reverse merger transaction with Xenetic Biosciences Inc., (GAIFD) in addition to a direct PIPE investment equaling $10 million in equity from Baxter International.

The SRFF team, which in addition to the firm’s named partner, Marc J. Ross as lead counsel included firm partner James M. Turner, leveraged a unique solution that hinged on a Section 3(a)(10) exemption. Companies headquartered outside the United States but desiring entrance into a reverse merger transaction into a U.S.- listed company such as Xenetic Biosciences Ltd. confront a significant issue that arises in the execution of how the securities will be issued.

Ross advised Xenetic Biosciences PLC in connection with the Scheme of Arrangement, a court-reviewed and approved transaction between a company and its shareholders whereby the court approves the fairness of the terms and conditions of the exchange of shares. In this Scheme, Xenetic was acquired by Nevada-based General Sales and Leasing; in connection with this acquisition, General Sales and Leasing changed its name to Xenetic Biosciences, Inc., and its ticker symbol.

In this series of transactions, the holders of all of the capital stock of Xenetic UK exchanged their shares for a total of 132,545,504 newly-issued shares of Xenetic Biosciences Inc. common stock; SRFF attorneys Ross and Turner additionally assisted the company in raising $10 million from Baxter International.

Avista Capital Partners

Last modified: 2013-12-16T13:14:39Z

Copyright 2013 . All rights reserved. This material may not be published, broadcast, rewritten or redistributed.

Media Contact:

pr@srf.law
(212) 930-9700

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 LLP

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 >>

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 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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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 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 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 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 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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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 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/

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.

 

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.

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.

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.

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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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Partner Jeff Fessler Joins Client ContraVir Pharmaceuticals, Inc. at NASDAQ Opening Bell Ringing

Press Release – New York, NY – March 22, 2016 – Sichenzia Ross Friedman Ference LLP partner Jeff Fessler joined representatives of client ContraVir Pharmaceuticals, Inc., a biopharmaceutical company focused on the development and commercialization of targeted antiviral therapies, at the NASDAQ MarketSite in Times Square to ring the March 21 closing bell. continue reading >>

Partner Gregory Sichenzia Discusses “Investing in a Down Market” for the Huffington Post

February 22, 2016 – Partner Greg Sichenzia wrote an article for Huffpost Business titled “Investing in a Down Market: Learnings From Warren Buffet and Other High Profile Investors.” The article provides an overview of current macroeconomic conditions and offers insights on investment opportunities and pitfalls in weak market conditions.      

Read the full article here.

Partner Gregory Sichenzia Quoted on Biotech IPOs

February 22, 2016 – Partner Greg Sichenzia was quoted in a Law360 article titled “More Biotech IPOs Likely To Rely On Insiders Amid Slump.” The article discussed that more biotech companies are relying on support from inside investors to close deals due to  weaker demand in the broader market.  Greg noted that insider participation can be key to obtaining venture capital support.      

Read the full article here.

Blog Post – Founding Partner Marc Ross Shares “Regulation A+: Funding The Start-up”

Overview

Start-ups looking to raise no more than $50 million now have the ability to do so by a Regulation A+ offering.  The recent amendments to Regulation A, which is Regulation A+, under the Securities Act of 1933, as amended (the “Securities Act”), allow companies to increase the amount of capital that they can raise in a Regulation A offering from $5 million to $50 million over a 12-month period. continue reading >>

Firm Sponsors National Investment Banking Association (NIBA) Conference

NEW YORK, NY – February 9, 2016  – New York City based securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced that it is proudly sponsoring the National Investment Banking Association (NIBA) Conference February 10th and 11th at the Margaritaville Hotel in Hollywood, Florida.  Featured at the event will be two clients of the firm,  EcoArk, Inc. and Green PolkaDot Box, Inc. (OTC:GPDB)

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Partner Gregory Sichenzia Quoted on Alternatives to IPOs and Follow-On Deals

February 5, 2016 Partner Greg Sichenzia was quoted in a Law360 article titled “Cold IPO Market Forces Companies To Get More Creative.” The article discussed that the weak market for initial public offerings and follow-on deals has companies scrambling for alternatives to meet their capital needs.  Viable options for them to choose from exist, albeit none as ideal as a robust public market.  Greg discussed the pros and cons of reverse mergers and Nasdaq’s and NYSE’s one-year “seasoning period” through which most companies must first trade over the counter while filing audited financial statements with the SEC.

Read the full article here.

Founding Partner Marc J. Ross, Esq. Comments on the Launch of New York’s Medical Marijuana Program

Sichenzia Ross Friedman Ference founding partner Marc J. Ross, Esq. was recently asked to contribute insight for Marijuana Investor News’ article, “New York State Begins Medical Marijuana Sales.” This article discusses the limitations of our marijuana program as well as the expectations of the program in the future.
 
Please read the article here.

Partner Gregory Sichenzia Interviewed on the Drop in Reverse Mergers For the PIPEs Report and TheStreet.com

January 12, 2016 – This week, Sichenzia Ross Friedman Ference LLP Partner Gregory Sichenzia was quoted in a PIPEs Report and TheStreet.com article titled “Reverse Mergers Dwindle in Favor of Other Offerings”.  The article discussed the decline in reverse merger transactions in 2015 and the expected popularity of Regulation A+ offerings and self-underwritten offerings in 2016. Read the full article here.

Sichenzia Ross Friedman Ference LLP Attorneys Join Client Oasmia Pharmaceutical AB at NASDAQ Opening Bell Ringing

Press Release – New York, NY – January 11, 2016 – Sichenzia Ross Friedman Ference LLP partners Gregory Sichenzia, Thomas Rose, Henry Nisser and Tara Guarneri-Ferrara and counsel Peter DiChiara joined representatives of client Oasmia Pharmaceutical AB, a developer of a new generation of drugs within human and veterinary oncology, at the NASDAQ MarketSite in Times Square to ring the January 11 opening bell. continue reading >>

FAST Act Includes Changes to Securities Laws

By Avital Perlman

President Obama signed the Fixing America’s Surface Transportation Act, or FAST Act, into law on December 4, 2015.  The FAST Act, which is aimed at improving the country’s surface transportation infrastructure, also contains several sections that amend securities laws to ease regulatory burdens for smaller companies.

Improving Access to Capital for Emerging Growth Companies, or EGCs continue reading >>