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Sichenzia Ross Ference LLP to Join Client Relmada Therapeutics, Inc. at Nasdaq Opening Bell Ringing
Press Release – New York, NY – October 15, 2019 – Sichenzia Ross Ference LLP founding partner Gregory Sichenzia will join representatives of client Relmada Therapeutics, Inc. (Nasdaq: RLMD), a clinical stage, specialty pharmaceutical company, focused on treatment solutions for depression, CNS and ophthalmological disorders, at the Nasdaq MarketSite in Times Square to ring the October 18 opening bell.
Mr. Sichenzia will take the stage along with a group of Relmada Therapeutics leaders, including Chief Executive Officer Sergio Traversa, PharmD, MBA. You can tune in October 18 at 9:30am EST on Facebook Live or via the Nasdaq Webcam.
Sichenzia Ross Ference LLP Congratulates Relmada Therapeutics, Inc., on NASDAQ Uplisting
New York, NY – October 10, 2019 – Sichenzia Ross Ference LLP announced today that the firm represented Relmada Therapeutics, Inc. (NASDAQ: RLMD), in the Company’s up-listing to the NASDAQ Capital Market. The Sichenzia Ross Ference LLP team was led by Gregory Sichenzia and partner Barrett DiPaolo. The up-listing is effective for trading on October 10, 2019, and RLMD’s common stock will trade under its existing stock symbol, “RLMD.”
Founding Partner Marc J. Ross, Esq. Speaks at CBD Mountain Exposition in Denver, CO
Press Release – New York, NY – October 9, 2019 – Sichenzia Ross Ference LLP founding partner Marc. J. Ross Esq., will speak at the CBD Mountain Exposition on October 12, 2019 at the Colorado Convention Center in Denver, Colorado. His presentation, titled “It’s Legal, Or Is It? – A Look At The Legalities Of CBD,” will observe and dissect the law encompassing CBD to clarify and explain legal issues surrounding CBD. The presentation is part of a two day symposium from October 11-12, 2019 that brings the cannabis and CBD industry together for learning, sharing, connecting and business building.
Please visit the website here to purchase tickets or learn more.
Sichenzia Ross Ference Represents Innovative Cosmetic Concepts in Joint Venture
Press Release – New York, NY – October 4, 2019 – Sichenzia Ross Ference LLP acted as counsel for Innovative Cosmetic Concepts LLC (“ICC”) in a joint venture with an entity controlled by Rachel Levin. ICC is a global manufacturer and distributor of high quality cosmetic and personal care products. Rachel Levin is a social influencer with the fastest growing YouTube Channel in the world “RCH Beauty101” with over 14 million subscribers. The SRF team was led by partner, Arthur Marcus.
Sichenzia Ross Ference Represents Pareteum Corporation in $40 Million Offering of Common Stock and Warrants
Press Release – New York, NY – September 27, 2019 – Nationally-recognized securities and corporate law firm Sichenzia Ross Ference LLP announced today that it represented Pareteum Corporation (Nasdaq: “TEUM”), global cloud software communications platform company, in an underwritten public offering of 18,852,273 Common Stock Units, each consisting of one share of TEUM’s common stock, one Series A Purchase Warrant to purchase one share of TEUM’s common stock, and one Series B Purchase Warrant to purchase one-half share of TEUM’s common stock, and 3,875,000 Pre-Funded Units, consisting of one pre-funded warrant to purchase one share of TEUM’s common stock together with one Series A Purchase Warrant to purchase one share of TEUM’s common stock and one Series B Purchase Warrant to purchase one-half share of TEUM’s common stock.
Founding Partner Marc J. Ross, Esq. Quoted on New Jersey’s Review of CBD Use in Brownie Ingredients
Press Release — September 30, 2019 — New York, NY — Sichenzia Ross Ference LLP founding partner Marc. J. Ross, Esq. was quoted in an NJ.com story entitled CBD is an ingredient in N.J. brownies, beers and high-end dinners. The FDA says that’s illegal. Marc describes outcomes stemming from FDA review, and is quoted on New Jersey’s ambitions for trying to get ahead of the curve and address what they think is right with its citizens.
Please read the full article here.
Founding Partner Marc J. Ross, Esq. Presents Legal Webinar on The Business and Law of Marijuana
Press Release — September 12, 2019 — New York, NY — Sichenzia Ross Ference LLP founding partner Marc. J. Ross, Esq. presented a webinar course for the Clear Law Institute, titled “The Interplay Between State Laws Legalizing Recreational and/or Medical Marijuana Uses and the Federal Controlled Substance Act,” on Wednesday, September 18, 2019. The presentation, which is Continuing Legal Education (“CLE”) accredited, discussed the interplay between state and federal laws legalizing recreational and/or medical marijuana uses.
To purchase this webinar, please visit the website here and include speaker code MRoss231979 for a 35% discount.
Founding Partner Marc J. Ross, Esq. Speaks About Cannabis at NECANN New Jersey Cannabis Convention
Press Release — September 12, 2019 — New York, NY — Sichenzia Ross Ference LLP founding partner Marc. J. Ross, Esq. spoke at the New Jersey Cannabis Convention, presented by NECANN on September 15, 2019 at the A.C. Convention Center in Atlantic City. This presentation addressed the “Budding Business Opportunities” and covered a variety of issues ranging from banking, to taxes, to CBD and ethical issues. The two-day symposium will bring the cannabis industry together for learning, sharing, connecting and business building.
Learn more about the event by visiting the website.
Sichenzia Ross Ference LLP Acts as Principal Attorney Liaison for Bannerman Resources Limited on OTCQB Listing
Press Release – New York, NY – September 18, 2019 – Sichenzia Ross Ference LLP announced today that it sponsored Bannerman Resources Limited (OTCQB: “BNNLF”), an Australian uranium exploration and development company, for the OTCQB. Sichenzia Ross Ference is a qualified firm responsible for providing guidance on OTCQB requirements and recommending membership. The SRF team was led by partner Darrin Ocasio.
Sichenzia Ross Ference Founding Partner Gregory Sichenzia to Moderate Cannabis Panel at the Investor Summit Microcap Conference
Press Release — September 12, 2019 — New York, NY — Sichenzia Ross Ference LLP announced today that founding partner Gregory Sichenzia will moderate the Cannabis panel discussion at the Investor Summit Microcap Conference at 12pmET on September 16th at the Essex House overlooking Central Park in New York City. To register for the event, please click here.
The panel will consist of industry thought leaders including Medicine Man Technologies, Emerald Bioscience, Hillstreet Beverage, Flowr, and Power REIT. The group will discuss the growth of the cannabis industry, recent M&A trends, U.S. regulations, and medical research.
Sichenzia Ross Ference LLP Announces its Gold-Level Sponsorship of the H.C. Wainwright 21st Annual Global Investment Conference
Press Release — September 6, 2019 — New York, NY —Sichenzia Ross Ference LLP is a proud Gold-Level sponsor of the H.C. Wainwright 21st Annual Global Investment Conference. The conference will be held from September 8 through September 10, 2019 at the Lotte New York Palace Hotel.
Many of our partners and clients will be attending the conference, and members of the firm will be available to meet there.
Founding Partner Gregory Sichenzia to Moderate Cannabis Investor Panel
Press Release – New York, NY – September 12, 2019 – Sichenzia Ross Ference founding partner Gregory Sichenzia will be moderating a Cannabis Investor Panel on Thursday, September 12 at the
Cannabis Public Company Virtual Investor Conference September 12, 2019
Sichenzia Ross Ference LLP Represents FINRA Member Firm in $2.0 Million Private Placement
Press Release – New York, NY – August 28, 2019 – Sichenzia Ross Ference LLP announced today that it has represented the placement agent in the initial $2.0 million closing of a private placement of common stock of a development stage artificial intelligence software company. The issuer may raise up to an additional $3.0 million in subsequent closings. The Sichenzia Ross Ference LLP team was led by partners Michael Ference and Avital Perlman and associate Jacob Tabman.
Sichenzia Ross Ference LLP Represents Aegis Capital in $4.5 Million Public Offering of Avinger, Inc. Common Stock
Press Release – New York, NY – August 26, 2019 – Sichenzia Ross Ference LLP announced today that it has represented Aegis Capital Corp. as sole book runner in the underwritten public offering of 3,813,559 shares of Avinger, Inc. (NASDAQ: AVGR) common stock, at a price of $1.18 per share for gross proceeds of approximately $4.5 million. Avinger is a leading developer of innovative treatments for peripheral artery disease.
Sichenzia Ross Ference LLP Represents Aegis Capital Corp. in $2.3 Million Public Offering of Common Stock of Sigma Labs, Inc.
Press Release – New York, NY – August 2, 2019 – Sichenzia Ross Ference LLP announced today that it has represented Aegis Capital Corp. as sole book running manager in the underwritten public offering of 2.875 million shares Common Stock of Sigma Labs, Inc. (NASDAQ: SGLB) at a price of $.80 per share for gross proceeds of $2.3 million. Sigma Labs is a provider of quality assurance software under the PrintRite3D brand.
SRF Founding Partner Gregory Sichenzia Featured in Authority Magazine Interview Series on Investing in Cannabis
Press Release — August 1, 2019 — New York, NY — Sichenzia Ross Ference LLP founding partner Gregory Sichenzia was interviewed by Len Giancola, as part of a series on investing in the cannabis industry for Authority Magazine. Authority Magazine frequently profiles thought-leaders and experts spanning multiple industries including business, film, sports and technology.
In his interview, Mr. Sichenzia shared stories and lessons learned from his career as well as tips and insights on what investors need to understand about the growing cannabis industry.
Please read the full Q&A here.
Sichenzia Ross Ference LLP Ranked as a Top Issuer Counsel for 2019 Q2
Press Release – New York, NY – July 24, 2019 – PlacementTracker, part of the Business Intelligence Division of Informa PLC, has ranked Sichenzia Ross Ference LLP among the most active issuer counsels in the U.S. PIPE and private placement markets for the second quarter of 2019 by the number of transactions, representing issuers in over $50 million of placed securities.
Sichenzia Ross Ference LLP Represents ThinkEquity in $1.35 Million Underwritten Public Offering of ADSs of Immuron Limited
Press Release – New York, NY – July 23, 2019 – Sichenzia Ross Ference LLP announced today that it has represented ThinkEquity, a Division of Fordham Financial Management, as sole book runner in a $1.35 million Public Offering of the ADSs of Immuron Limited (NASDAQ “IMRN” ASX.”IMC”). The offering consisted of 339,130 ADS’s at a price of $4.00 per ADS for gross proceeds to the Company of $1.35 million. Immuron is an Australian biopharmaceutical company focused on oral immunoglobulin therapeutics. The Sichenzia Ross Ference team was led by Partners Gregory Sichenzia and Tara Guarneri-Ferrara.
Sichenzia Ross Ference LLP Represents RealWear, Inc. in $80 Million Financing Transactions
Press Release — July 9, 2019 — New York, NY — Sichenzia Ross Ference LLP represented RealWear, Inc., an innovative technology company whose flagship product, the HMT-1®, is the first ruggedized head-mounted, wearable, Android-class tablet computer that frees a worker’s hands for dangerous jobs, in financing transactions raising an aggregate of $80 million. The Series B financing round was led by Teradyne, Inc. (TER), a global leader in industrial automation, and included participation from other industry leaders including Qualcomm Ventures and Bose Ventures. JPMorgan Chase & Co. acted as the exclusive placement agent to RealWear, Inc. in connection with the Series B financing.
Sichenzia Ross Ference LLP Represents Vuzix Corporation in $20 Million Registered Direct Offering
Press Release – New York, NY – July 8, 2019 – Sichenzia Ross Ference LLP announced today that it has represented Vuzix Corporation (NASDAQ “VUZI”) in a Registered Direct public offering of approximately 5.48 million registered shares of common stock at a price of $3.65 per share and approximately 5.48 million common stock purchase warrants with an exercise price of $4.10 per share for gross proceeds to Vuzix of approximately $20 million. The Special Equities Group, a division of Bradley Woods & Co. Ltd. acted as the exclusive Placement Agent for the offering. The Sichenzia Ross Ference LLP team was led by Partners Gregory Sichenzia, Tara Guarneri-Ferrara, and Counsel Jeff Cahlon.
Sichenzia Ross Ference Founding Partner Marc Ross Interviews with CFN Media on Business and Law of Marijuana
Press Release – New York, NY – July 8, 2019 – Sichenzia Ross Ference LLP founding partner Marc Ross participated in an interview with CFN Media to discuss the ever changing landscape of the Cannabis industry. The interview took place after an informative panel discussion about the Business and Law of Marijuana at the Cannabis World Congress Business Exposition at the Jacobs Javits Convention Center in New York City. Please find the full interview here.
Sichenzia Ross Ference LLP Represents Document Security Systems, Inc. in $5.6 Million Underwritten Public Offering of Common Stock
Press Release – New York, NY – June 10, 2019 – Sichenzia Ross Ference LLP announced today that it has represented its client, Document Security Systems, Inc. (NYSE American: DSS), in a $5.6 million public offering of its common stock. The offering consisted of 11.2 million shares of common stock at a price of $0.50 per share. Aegis Capital Corp. served as sole book running manager in connection with the offering. DSS is a leader in the anti-counterfeit, authentication and diversion protection technology space. The Sichenzia Ross Ference team was led by Partners Gregory Sichenzia, Darrin Ocasio, Tara Guarneri-Ferrara and Jeffrey D’Angelo.
New Jersey Bureau of Securities Proposes New Rule to Create State-Level Fiduciary Duties For Broker-Dealers, Associated Persons, Investment Advisers and Investment Adviser Representatives
On April 15, 2019, the New Jersey Bureau of Securities, within the Division of Consumer Affairs, proposed a new state-level rule requiring all registered financial services professionals to act in accordance with the fiduciary duty to their customers when providing investment advice or recommending to a customer an investment strategy, the opening of or transfer of assets of any type of account, or the purchase, sale, or exchange of any security. Under the proposed rule, any conduct falling short of this fiduciary duty would constitute a “dishonest and unethical practice.”
Under current federal standards, only investment advisers subject to the Investment Advisors Act of 1940 and their representatives operate subject to a fiduciary duty standard. Among other differences from their investment adviser counterparts, broker-dealers and their associated persons typically receive only commissions for transactions they facilitate and for selling financial products – not compensation for financial planning, discretionary trading or investment portfolio advice and management. New Jersey proposes a substantial expansion of regulatory requirements on broker-dealers and their associated persons conducting business within the State of New Jersey.
The Proposed Rule
Dishonest or Unethical Practices
The proposed regulation, N.J.A.C. 13:47A-6.3 and N.J.A.C. 13:47A-6.4, seeks to impose a uniform, state-level duty of care and loyalty for both investment advisers and their representatives as well as broker-dealers and their associated persons doing business within the State. The State’s proposal is a product of its dissatisfaction with the pace of meaningful change to the federal regulatory framework following the United States Department of Labor’s failed Fiduciary Rule* and the scope of the United States Securities and Exchange Commission’s proposed Regulation Best Interest**, to promulgate a new, uniform federal interest ahead of the customer’s interest; (ii) act with diligence, care, skill and prudence; and (iii) disclose and mitigate, or eliminate, material conflicts of interest arising from financial incentives associated with the recommendation. Regulation Best Interest does not apply a fiduciary standard to broker-dealers or its associated persons. In addition, Regulation Best Interest allows some duty of loyalty conflict of interests to be mitigated through disclosure to the customer.
Expanded Reach and Duration
As proposed, the fiduciary duty would apply to recommendations to purchase, sell or hold securities and to recommendations about investment strategy, the opening of an account or the transfer of assets to any type of account. Further, the new duty would also apply to contractual and discretionary fiduciaries in addition to investment advice fiduciaries. Moreover, if investment advice is provided, the new fiduciary duty rule would impose an ongoing fiduciary duty for the entire relationship. In other words, dual registered persons who provide both brokerage recommendations and investment advice to a retail customer would be subject to the fiduciary duty for the life of the relationship***
Creating New and Rejecting Old Presumptions
The proposed rule also creates a new presumption that the investment adviser, its representative, the broker-dealer or its associated person breaches the duty of loyalty for any recommendation concerning the opening of, or transfer of assets to a specific type of account, or the purchase, sale or exchange of a specific security “that is not the best of the reasonably available options.” According to the State, the payment of transaction-based fees to broker- dealers or associated persons will not itself be deemed a breach of fiduciary duty, however, so long as “the fee is reasonable and is the best of the reasonably available fee options and the duty of care is satisfied.”
The regulation, if adopted in current form, disallows a presumption that disclosing a conflict of interest satisfies the duty of loyalty.
The proposed regulation applies to retail customer only, i.e., not banks, savings and loan associations, insurance companies, investment advisers, broker-dealers, fiduciaries to employee benefit plans, its participants or beneficiaries, or individuals with at least $50 million in assets.
Books and Records Requirements
Ostensibly to avoid federal preemption, the State’s proposal does not require any new or additional capital, custody, margin, financial responsibility, making and keeping of records, bonding or financial or operational reporting requirements on broker-dealers beyond those already required by federal law.
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If you have any questions about the issues addressed in this Broker-Dealer Regulation Alert, if you would like a copy of any of the materials mentioned in it or if you would like to continue to receive Broker-Dealer Regulation Alerts, please do not hesitate to call or email Securities and Commercial Litigation and Securities Regulatory Practice Partner Daniel Scott Furst at (646) 810-2185 or sfurst@srf.law ****
*The Department of Labor’s rule was to be implemented starting April 10, 2017, however, on or about June 21, 2018, the United States Fifth Circuit Court of Appeals vacated the rule, effectively killing it.
***Broker-dealer associated persons who act in a broker-only capacity, however, would be subject to the fiduciary duty only through the transaction’s execution.
**The final rulemaking of Regulation Best Interest was approved in a 3-to-1 vote by the Commission on June 5, 2019. Regulation Best Interest is effective 60 days after publication in the Federal Register, and the anticipated implementation date is June 30, 2020. Regulation Best Interest would create a national, heightened standard of conduct for broker-dealers. Regulation Best Interest provides that when a broker- dealer or its associated person recommends securities transaction or investment strategy, the broker-deal or associated person must: (i) act in the customer’s best interest, without placing its financial or other standard applicable to investment advisers and broker-dealers. Specifically, the proposed regulation would define a “dishonest or unethical practice” to include: recommending to a customer, an investment strategy, the opening of, or transfer of any assets to, any type of account, or the purchase, sale, or exchange of any security or securities without reasonable grounds to believe that such strategy, transaction, or recommendation is suitable for the customer based upon reasonable inquiry concerning the customer’s investment objectives, financial situation, and needs, and any other relevant information known by the broker-dealer[.]
****This Broker-Dealer Regulation Alert is for general information purposes only of interest to New Jersey broker-dealers and is not intended to advertise our services, solicit clients or represent our legal advice.
Partner at Sichenzia Ross Ference LLP
Scott Furst is a member of the Firm's Business Litigation & Arbitration and Broker-Dealer Regulation Groups. He has extensive civil litigation experience with a specialization in securities, business, and complex commercial litigation in state and federal courts, before the Securities and Exchange Commission, Financial Industry Regulatory Authority, American Arbitration Association, and JAMS.
Latest posts by daniel scott furst (see all)
Sichenzia Ross Ference LLP Represents Medicine Man Technologies, Inc. in Private Placement Offering of up to $14 Million
Press Release – New York, NY – June 10, 2019 – Sichenzia Ross Ference LLP announced today that it has represented Medicine Man Technologies, Inc. (OTC: MDCL) (“Medicine Man or the “Company”) in a securities purchase agreement with Dye Capital & Co. for the sale of up to $14 million of shares and common stock purchase warrants of the Company. The shares were sold at a price of $2.00 per share.
Sichenzia Ross Ference LLP Represents FINRA Member Firm in $3.0 Million Registered Direct Offering of Common Stock and Warrants of General Cannabis Corp.
Press Release – New York, NY – June 4, 2019 – Sichenzia Ross Ference LLP (SRF) announced today that it has represented a FINRA member firm as financial advisor in the registered direct offering of 3.0 million shares of common stock and 3.0 million warrants of General Cannabis Corp. (OTCQX: CANN) at a price of $1.00 per share for gross proceeds of approximately $3.0 million.
Sichenzia Ross Ference LLP Represents AIT Therapeutics in $8 Million Private Placement
Press Release – New York, NY – June 4, 2019 – Sichenzia Ross Ference LLP announced today that it has represented AIT Therapeutics, Inc. (NASDAQ:AITB), a clinical-stage medical device and biopharmaceutical company focused on developing inhaled Nitric Oxide (NO) for the treatment of patients with respiratory conditions including serious lung infections and pulmonary hypertension, in a $8 million private placement of its common stock.
Sichenzia Ross Ference LLP Represents Aegis Capital Corp. in $8.0 Million Public Offering of Common Stock of Medalist Diversified REIT, Inc.
Press Release – New York, NY – May 31, 2019 – Sichenzia Ross Ference LLP (SRF) announced today that it has represented Aegis Capital Corp. as sole book-running manager in the underwritten public offering of 1.66 million shares Common Stock of Medalist Diversified REIT, Inc.(NASDAQ: MDRR) at a price of $4.80 per share for gross proceeds of $8.0 million.
Sichenzia Ross Ference LLP Announces $1.3 million Private Placement of Common Stock of Medalist Diversified REIT, Inc.
Press Release – New York, NY – May 31, 2019 – Sichenzia Ross Ference LLP announced today that it has represented Aegis Capital Corp. as placement agent in a private offering of 270,833 shares of Common Stock of Medalist Diversified REIT, Inc. (NASDAQ: MDRR) at a purchase price of $4.80 per share for gross proceeds of approximately $1.3 million.
Sichenzia Ross Ference LLP Represents ThinkEquity in $2.0 Million Underwritten Public Offering of ADSs of Immuron Limited.
Press Release – New York, NY – May 29, 2019 – Sichenzia Ross Ference LLP announced today that it has represented ThinkEquity, a Division of Fordham Financial Management, Inc. as sole book runner in a $2.0 million Public Offering of American Depositary Shares (ADSs) of Immuron Limited (ASX: “IMC”; NASDAQ “IMRN”).
Sichenzia Ross Ference LLP Represents Genetic Technologies Limited (ASX: GTG; Nasdaq: GENE) in Offering of $1.2 Million American Depositary Shares
Press Release – New York, NY – May 23, 2019 – Sichenzia Ross Ference LLP announced today that it represented Genetic Technologies Limited (ASX: GTG; Nasdaq: GENE), a diversified molecular diagnostics company, in a registered direct offering of American Depositary Shares (“ADSs”) and warrants to purchase ADSs. The Company received gross proceeds of approximately $1,200,000.
Sichenzia Ross Ference LLP Represents Quest Solutions, Inc. in $5 Million Private Placement
Press Release – New York, NY – April 9, 2019 – Sichenzia Ross Ference LLP announced today that it has represented Quest Solution, Inc. (OTCQB: QUES) in the private placement of 16,666,667 unregistered shares of its common stock, at a purchase price of $.30 per share, for gross proceeds of approximately $5,000,000. Investors also received warrants to purchase 16,666,667 shares of common stock at an exercise price of $.35 per share.
Sichenzia Ross Ference LLP Represents New Age Beverages Corp. in $25 Million Credit Facility with East West Bank
Press Release – New York, NY – April 2, 2019 – Sichenzia Ross Ference LLP announced today that it has represented New Age Beverages Corporation (NASDAQ “NBEV”) in a loan and security agreement with East West Bank which provides for up to $25 million aggregate principal amount revolving credit facility, which includes a $15 million term loan and a feature to provide an additional $10 million should the company choose to utilize it and a $10 million revolving line of credit.
Sichenzia Ross Ference LLP Represents LiveWell Canada Inc. in $15 Million Private Placements to Scale its CBD Operations
Press Release – New York, NY – March 28, 2019 – Sichenzia Ross Ference LLP, a leading securities and corporate law firm, announced today that it represented LiveWell Canada Inc. (“LiveWell”), a Canadian CBD company listed on the Canadian Stock Exchange entering the U.S. markets, in a private placement offering of senior secured convertible notes with institutional investors for total aggregate gross proceeds of $15 million, which includes LiveWell’s previously closed $3 million bridge financing.
Sichenzia Ross Ference LLP Represents Aegis Capital Corp. in $5.4 Million Public Offering of Common Stock of Opgen, Inc.
Press Release – New York, NY – March 28, 2019 – Sichenzia Ross Ference LLP announced today that it has represented Aegis Capital Corp. as sole book running manager in the underwritten public offering of 9 million shares Common Stock of Opgen, Inc. (NASDAQ: OPGN) at a price of $.60 per share for gross proceeds of $5.4 million. Opgen is a precision medicine company harnessing the power of molecular diagnostics to combat infectious disease. The Sichenzia Ross Ference LLP team was led by partners Tom Rose, Gregory Sichenzia and Jay Yamamoto.
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Sichenzia Ross Ference LLP is a full service law firm with a nationally recognized corporate, securities and litigation practice that provides experienced representation in all matters involving the securities industry. In addition to handling routine to complex commercial matters, SRF’s renowned litigation department specializes in defending companies and individuals against all types of securities cases, including class action lawsuits, shareholder derivative actions, and matters involving allegations of fraud, misrepresentation or other securities violations. The litigation team has also brought defamation lawsuits against companies and individuals related to market manipulation. Additionally, it represents individuals and companies in investigations by the Securities and Exchange Commission (SEC) and other regulatory bodies. The litigation team has a robust practice representing brokers and broker-dealers in arbitrations before the Financial Industry Regulatory Authority (FINRA). These arbitrations typically involve claims of unsuitability, churning, unauthorized trading and other allegations of broker misconduct. Finally, SRF has a burgeoning expungement practice, where it represents brokers seeking to have negative and harmful customer complaints removed from their industry records. The firm complements its core practice areas with an established commercial real estate and trusts and estates practice.
Visit SRF's LinkedIn page
Visit SRF's LinkedIn page
Latest posts by Sichenzia Ross Ference LLP (see all)
- Sichenzia Ross Ference LLP Announces Over 80 Capital Markets Transactions Valued Over $2 Billion at the Closing of 2021 - January 13, 2022
- Sichenzia Ross Ference LLP Adds Two Key Additions to its Corporate and Securities Law Team - January 11, 2022
- Sichenzia Ross Ference LLP Represents Aegis Capital Corp. in $9.8 Million Underwritten Offering of BiondVax Pharmaceuticals Ltd. - December 30, 2021
Sichenzia Ross Ference Represents Pareteum Corporation in $50 Million Credit Facility with Post Road Group
Press Release – New York, NY – March 20, 2019 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference LLP announced today that it represented Pareteum Corporation (Nasdaq: TEUM), a global cloud software communications platform company, as it closed a $50,000,000 committed senior secured credit facility with Post Road Group. Under the terms of the credit facility, Post Road provided Pareteum an initial loan of $25,000,000 on February 26, 2019, with additional loans in increments of $5,000,000 to be made as requested by Pareteum before the 18-month anniversary of the initial funding date.
The Sichenzia Ross Ference LLP team was led by partners Darrin Ocasio and Avital Perlman and associates Grant Levine and Huan Lou.
Sichenzia Ross Ference LLP is a full service law firm with a nationally recognized corporate, securities and litigation practice that provides experienced representation in all matters involving the securities industry. In addition to handling routine to complex commercial matters, SRF’s renowned litigation department specializes in defending companies and individuals against all types of securities cases, including class action lawsuits, shareholder derivative actions, and matters involving allegations of fraud, misrepresentation or other securities violations. The litigation team has also brought defamation lawsuits against companies and individuals related to market manipulation. Additionally, it represents individuals and companies in investigations by the Securities and Exchange Commission (SEC) and other regulatory bodies. The litigation team has a robust practice representing brokers and broker-dealers in arbitrations before the Financial Industry Regulatory Authority (FINRA). These arbitrations typically involve claims of unsuitability, churning, unauthorized trading and other allegations of broker misconduct. Finally, SRF has a burgeoning expungement practice, where it represents brokers seeking to have negative and harmful customer complaints removed from their industry records. The firm complements its core practice areas with an established commercial real estate and trusts and estates practice.
Visit SRF's LinkedIn page
Visit SRF's LinkedIn page
Latest posts by Sichenzia Ross Ference LLP (see all)
- Sichenzia Ross Ference LLP Announces Over 80 Capital Markets Transactions Valued Over $2 Billion at the Closing of 2021 - January 13, 2022
- Sichenzia Ross Ference LLP Adds Two Key Additions to its Corporate and Securities Law Team - January 11, 2022
- Sichenzia Ross Ference LLP Represents Aegis Capital Corp. in $9.8 Million Underwritten Offering of BiondVax Pharmaceuticals Ltd. - December 30, 2021
Sichenzia Ross Ference Represents Pareteum Corporation in Tender Offer for Shares of iPass, Inc. and Completes Acquisition
Press Release – New York, NY – February 14, 2019 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference LLP announced today that it represented Pareteum Corporation (Nasdaq: TEUM), a cloud software platform, as it accepted for exchange shares of iPass, Inc. (Nasdaq: IPAS), a provider of global mobile connectivity.
Sichenzia Ross Ference LLP Represents A.G.P/ Alliance Global Partners in $6.5 Million Public Offering for Cellect Biotechnology Ltd.
Press Release – New York, NY – February 12, 2019 – Sichenzia Ross Ference LLP announced today that it represented A.G.P/ Alliance Global Partners as sole book running manager in the underwritten public offering of American Depository Shares (ADSs) and Warrants of Cellect Biotechnology Ltd., an Israeli biotech company (NASDAQ: APOP). National Securities Corporation and Dawson James Securities, Inc. acted as co-managers for the offering.
Sichenzia Ross Ference LLP Represents INmune Bio Inc. in an $8 Million Initial Public Offering and Listing on the Nasdaq Capital Market
Press Release – New York, NY – February 5, 2019 – Sichenzia Ross Ference (“SRF”), a leading securities and corporate law firm, is pleased to announce that the firm has represented INmune Bio Inc. (INMB), an immunotherapy company focused on developing therapies that harness the patient’s innate immune system to fight disease, in an initial public offering at a price of $8.00 per share resulting in gross proceeds of approximately $8,000,000 and listing on the Nasdaq Capital Market under the ticker symbol INMB.
Sichenzia Ross Ference LLP Represents Boulder Botanicals & Biosciences Laboratories, Inc. in a $5.0 Million Private Placement
Press Release – New York, NY – January 5, 2019 – Sichenzia Ross Ference (“SRF”), a leading securities and corporate law firm, is pleased to announce that the firm has represented Boulder Botanicals & Biosciences Laboratories, Inc. (BBBL), a holding company which owns and operates several companies operating within the CBD production, extraction and distribution industries in a private placement of shares of common stock at a price of $1.00 per share resulting in gross proceeds of approximately $5,000,000.
Sichenzia Ross Ference LLP Represents Boustead Securities, LLC as Underwriter to China SXT Pharmaceuticals, Inc.’s $10.2 Million U.S. Initial Public Offering
Press Release – New York, NY – January 4, 2019 – Sichenzia Ross Ference LLP congratulates China SXT Pharmaceuticals, Inc. (the “Company”) (NASDAQ: SXTC), a specialty pharmaceutical company focusing on the research, development, manufacture, marketing and sales of Traditional Chinese Medicine Pieces (“TCMPs”), on the final closing of its initial public offering on January 3, 2019. Together with the first closing on December 31, 2018, the Company raised approximately $10.2 million in gross proceeds, before deducting underwriting discounts, commissions and other offering expenses, by issuing 2,546,275 ordinary shares at a public offering price of $4.00 per share. The shares are scheduled to commence trading on the NASDAQ Capital Market today at around 2:05 p.m. ET under the ticker symbol “SXTC.”
Sichenzia Ross Ference LLP Represents New Age Beverages Corporation in the $85 Million Acquisition of Morinda Holdings, Inc.
NEW YORK, Jan. 03, 2019 — Sichenzia Ross Ference LLP, a leading securities and corporate law firm, announced today that its mergers and acquisitions team represented New Age Beverages Corporation (NASDAQ:NBEV) in its acquisition of Morinda Holdings, Inc., a Utah-based healthy beverages and lifestyle company with operations in more than 60 countries worldwide.
The consideration for the merger was $85 million, comprised of $75 million in cash and $10 million paid in 2,016,480 shares of New Age common stock based on the 40-day volume-weighted average price calculated through December 20, 2018. The transaction was subject to the pre-merger notification requirements of the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended and closed on December 21, 2018.
Sichenzia Ross Ference LLP Represents A.G.P/Alliance Global Partners in $10 Million Public Offering for Creative Realities, Inc.
Press Release – New York, NY – November 19, 2018 – Sichenzia Ross Ference LLP announced today that it has represented A.G.P/ Alliance Global Partners (through Euro Pacific Capital) as sole book running manager in the underwritten public offering of shares of Common Stock and Warrants of Creative Realities, Inc. (NASDAQ: CREX).
Sichenzia Ross Ference LLP Represents New Age Beverages Corp. in $52 Million Underwritten Public Offering
Press Release – New York, NY – November 14, 2018 – Sichenzia Ross Ference LLP announced today that it has represented New Age Beverages Corporation (NASDAQ “NBEV”) in an underwritten public offering of 14,835,000 shares of its common stock, which includes a full simultaneous exercise of the underwriters 15% over allotment option, at a public offering price of $3.50 per share for gross proceeds to NBEV of $51,922,500. Roth Capital Partners and A.G.P/ Alliance Global Partners acted as joint book-running managers for the offering. Please click here to read the full Sichenzia Ross release.
Sichenzia Ross Ference Represents Pareteum Corporation in Definitive Agreement to Acquire iPass, Inc.
Press Release – New York, NY – November 13, 2018 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference LLP announced today that it represented Pareteum Corporation (Nasdaq: TEUM), a cloud software platform, as it entered into a definitive agreement under which it will acquire iPass, Inc. (Nasdaq: IPAS), a provider of global mobile connectivity, in an all-stock transaction. Pareteum anticipates achieving more than $15 million in annual cost synergies; more than $12 million of such synergies are expected to be realized in the first year.
Sichenzia Ross Ference LLP Represents Novume Solutions, Inc. in $3.3 Million Underwritten Public Offering of Common Stock
Press Release – New York, NY – November 1, 2018 – Sichenzia Ross Ference LLP announced today that it has represented Novume Solutions, Inc. (NASDAQ “NVMM”) in a public offering of 4.125 million shares of its common stock at a price of $.80 per share for gross proceeds to the Company of $3.3 million.
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Sichenzia Ross Ference LLP Represents Wize Pharma, Inc. in a $4.45 Million Private Placement
New York, NY – October 24, 2018 – Sichenzia Ross Ference LLP, announced today that it represented Wize Pharma, Inc. (OTCQB: “WIZP”), a clinical stage Israel based U.S. public company focused on the treatment of ophthalmic disorders company, in a private placement with institutional and accredited investors of 3,100,000 shares of common stock at $1.00 per share and 1,350 shares of newly created Series A preferred stock which is convertible at $1.00 per share.
Sichenzia Ross Ference LLP Represents New Age Beverages Corp. in $37.5 Million At-The Market Financing
Press Release – New York, NY – October 15, 2018 – Sichenzia Ross Ference LLP announced today that it has represented New Age Beverages Corporation (NASDAQ “NBEV”) in an At-The-Market Financing (“ATM”) in the approximate amount of $37.5 million. continue reading >>
Sichenzia Ross Ference LLP Represents Rodman & Renshaw a Unit of H.C Wainwright in a $15 Million Upsized Public Offering of Medical Transcript Billing, Corp.
Press Release – New York, NY – October 15, 2018 – Sichenzia Ross Ference LLP announced today that it has represented Rodman & Renshaw, a unit of H.C. Wainwright, as Exclusive Placement Agent and Boenning & Scattergood, Inc. as co-placement agent in a public offering of Series A Preferred stock for Medical Transcript Billing, Corp. (MTBC.NASDAQ).
Sichenzia Ross Ference LLP Represents GSRX Industries Inc. in a $1.3 Million Private Placement
New York, NY – October 5, 2018 – Nationally recognized securities and corporate law firm, Sichenzia Ross Ference LLP, announced today that it represented GRSX Industries Inc. (OTCQB: “GSRX”), continue reading >>
Sichenzia Ross Ference LLP Represents AIT Therapeutics, Inc. in $20,000,000 Line of Credit
Press Release – New York, NY – September 5, 2018 – Sichenzia Ross Ference LLP announced today that it has represented AIT Therapeutics, Inc. (OTC: “AITB”) in a common stock purchase agreement with Lincoln Park Capital Fund, LLC a Chicago-based institutional investor.
Sichenzia Ross Ference LLP Represents ThinkEquity, a division of Fordham Financial Management as Sole Book-Running Manager on $10 Million Public Offering of Securities of FlexShopper, Inc.
Press Release – New York, NY – October 1, 2018 – Sichenzia Ross Ference LLP announced today that it has represented ThinkEquity, a division of Fordham Financial Management, Inc. as sole book-running manager in an underwritten public offering of $10 Million of Units of FlexShopper, Inc. (Nasdaq FPAY).
Sichenzia Ross Ference LLP Represents New Age Beverages Corp. in $12 Million Credit Facility
Press Release – New York, NY – August 24, 2018 – Sichenzia Ross Ference LLP announced today that it has represented New Age Beverages Corporation (NASDAQ “NBEV”) in a loan and security agreement with Siena Lending Group LLC which provides for a $12 million aggregate principal amount revolving credit facility, which is subject to availability based on eligible accounts receivables and eligible inventory of the Company.
Sichenzia Ross Ference LLP Represents New Age Beverages Corp. in $10.5 Million Underwritten Public Offering
Press Release – New York, NY – August 24, 2018 – Sichenzia Ross Ference LLP announced today that it has represented New Age Beverages Corporation (NASDAQ “NBEV”) in a public offering of 8.2 million shares of its common stock at a price of $1.28 per share for gross proceeds to NBEV of $10.5 million.
Sichenzia Ross Ference Kesner LLP Represents New Age Beverages Corporation in a $4.75 Debt Transaction
Press Release – New York, NY – June 20, 2018 – Sichenzia Ross Ference Kesner LLP announced today that it represented New Age Beverages Corporation (“NASDAQ. NBEV”), a Colorado based organic and natural healthy beverage company in a $4.75 million senior secured convertible promissory note transaction. A portion of the proceeds were used to repay the Company’s line of credit with US Bank. The Company also converted debt held by Sunkist Growers, Inc. an agricultural marketing cooperative, into shares of its common stock.
The Sichenzia Ross Ference Kesner LLP team was led by Partners, Gregory Sichenzia and Marcelle Balcombe and Of Counsel, Kimberly Boler.
Sichenzia Ross Ference Kesner LLP Represents ThinkEquity, a Division of Fordham Financial Management as Sole Book-Running Manager on $18 Million Public Offering of Securities of Trovagene, Inc.
Press Release – New York, NY – June 12, 2018 – Sichenzia Ross Ference Kesner LLP announced today that it has represented ThinkEquity, a division of Fordham Financial Management, Inc., as sole book-running manager on its first underwritten public offering since launching its new ThinkEquity division.
Sichenzia Ross Ference Kesner LLP Represents Pareteum Corporation in $6.1 Million Registered Direct Offering
New York, NY – May 14, 2018 – Nationally recognized securities and corporate law firm, Sichenzia Ross Ference Kesner LLP, announced today that it represented Pareteum Corporation (NYSE: TEUM), a leading international provider of mobile networking software and services to the Mobile Network and Internet of Things markets, in a registered direct offering of 2,440,000 shares of common stock. The purchase price per share was $2.50. Pareteum received gross proceeds of $6.1 million.
Sichenzia Ross Ference Kesner LLP Represents Acolyte Group in the Sale of its LED Lighting Business to CapStreet Private Equity Group
May 2, 2018 — New York, NY. Sichenzia Ross Ference Kesner LLP (“SRFK”) represented The Acolyte Group, a New York based provider of fully integrated LED lighting systems, in the sale of its entire business to General LED, a portfolio company of Houston, Texas based private equity firm Cap Street Group.
The SRFK team was led by Partners Thomas Rose and Gregory Sichenzia and Counsel Jeff Cahlon with assistance from Counsel Todd Manister from the SRFK Real Estate Group.
Sichenzia Ross Ference Kesner LLP Represents A.G.P/ Alliance Global Partners (through Euro Pacific Capital) in $8 Million Public Offering of Common Stock of Cocrystal Pharma, Inc.
Press Release – New York, NY – May 3rd, 2018 – Sichenzia Ross Ference Kesner LLP announced today that it has represented A.G.P./Alliance Global Partners, offering securities through Euro Pacific Capital, in an underwritten public offering of shares of common stock of Cocrystal Pharma, Inc. (NASDAQ: COCP). Cocrystal sold an aggregate of 4,210,527 shares of common stock at a price of $1.90 per share. Cocrystal is a clinical stage biotechnology company discovering and developing novel antiviral therapeutics that target the replication machinery of hepatitis viruses, influenza viruses, and noroviruses. The Sichenzia Ross Ference Kesner LLP team was led by partners Marc Ross, Avital Perlman and Tom Rose.
Sichenzia Ross Ference Kesner LLP Represents Sunworks, Inc., in a $3.75 Million Debt Transaction
Press Release – New York, NY – April 27, 2018 – Sichenzia Ross Ference Kesner LLP announced today that it represented Sunworks, Inc. (NASDAQ: SUNW), a premier provider of high performance solar power systems, in a $3.75 million two year term loan transaction. The lender is CrowdOut Capital LLC. Management, including the Chief Financial Officer, also participated in $750,000 of the loan amount.
The Sichenzia Ross Ference Kesner LLP team was led by Partners Gregory Sichenzia and Marcelle Balcombe.
Sichenzia Ross Ference LLP is a full service law firm with a nationally recognized corporate, securities and litigation practice that provides experienced representation in all matters involving the securities industry. In addition to handling routine to complex commercial matters, SRF’s renowned litigation department specializes in defending companies and individuals against all types of securities cases, including class action lawsuits, shareholder derivative actions, and matters involving allegations of fraud, misrepresentation or other securities violations. The litigation team has also brought defamation lawsuits against companies and individuals related to market manipulation. Additionally, it represents individuals and companies in investigations by the Securities and Exchange Commission (SEC) and other regulatory bodies. The litigation team has a robust practice representing brokers and broker-dealers in arbitrations before the Financial Industry Regulatory Authority (FINRA). These arbitrations typically involve claims of unsuitability, churning, unauthorized trading and other allegations of broker misconduct. Finally, SRF has a burgeoning expungement practice, where it represents brokers seeking to have negative and harmful customer complaints removed from their industry records. The firm complements its core practice areas with an established commercial real estate and trusts and estates practice.
Visit SRF's LinkedIn page
Visit SRF's LinkedIn page
Latest posts by Sichenzia Ross Ference LLP (see all)
- Sichenzia Ross Ference LLP Announces Over 80 Capital Markets Transactions Valued Over $2 Billion at the Closing of 2021 - January 13, 2022
- Sichenzia Ross Ference LLP Adds Two Key Additions to its Corporate and Securities Law Team - January 11, 2022
- Sichenzia Ross Ference LLP Represents Aegis Capital Corp. in $9.8 Million Underwritten Offering of BiondVax Pharmaceuticals Ltd. - December 30, 2021
Sichenzia Ross Ference Kesner LLP Represents New Age Beverages Corp. in $4 Million Underwritten Public Offering
Press Release – New York, NY – April 12, 2018 – Sichenzia Ross Ference Kesner LLP announced today that it has represented New Age Beverages Corp. (NASDAQ: NBEV) in a public offering of 2,285,715 shares of its common stock at a price of $1.75 per share for gross proceeds to NBEV of $4,000,000. A.G.P/ Alliance Global Partners (Euro Pacific Capital) and Maxim Group L.L.C. acted as the Joint Book Running Managers for the offering. The Sichenzia Ross Ference Kesner LLP team was led by Partners Gregory Sichenzia, Marcelle Balcombe, and Counsel Jeff Cahlon.
Sichenzia Ross Ference LLP is a full service law firm with a nationally recognized corporate, securities and litigation practice that provides experienced representation in all matters involving the securities industry. In addition to handling routine to complex commercial matters, SRF’s renowned litigation department specializes in defending companies and individuals against all types of securities cases, including class action lawsuits, shareholder derivative actions, and matters involving allegations of fraud, misrepresentation or other securities violations. The litigation team has also brought defamation lawsuits against companies and individuals related to market manipulation. Additionally, it represents individuals and companies in investigations by the Securities and Exchange Commission (SEC) and other regulatory bodies. The litigation team has a robust practice representing brokers and broker-dealers in arbitrations before the Financial Industry Regulatory Authority (FINRA). These arbitrations typically involve claims of unsuitability, churning, unauthorized trading and other allegations of broker misconduct. Finally, SRF has a burgeoning expungement practice, where it represents brokers seeking to have negative and harmful customer complaints removed from their industry records. The firm complements its core practice areas with an established commercial real estate and trusts and estates practice.
Visit SRF's LinkedIn page
Visit SRF's LinkedIn page
Latest posts by Sichenzia Ross Ference LLP (see all)
- Sichenzia Ross Ference LLP Announces Over 80 Capital Markets Transactions Valued Over $2 Billion at the Closing of 2021 - January 13, 2022
- Sichenzia Ross Ference LLP Adds Two Key Additions to its Corporate and Securities Law Team - January 11, 2022
- Sichenzia Ross Ference LLP Represents Aegis Capital Corp. in $9.8 Million Underwritten Offering of BiondVax Pharmaceuticals Ltd. - December 30, 2021
Sichenzia Ross Ference Kesner LLP Represents Rodman & Renshaw, a Unit of H.C Wainwright, in a $10.5 Million Public Offering of Medical Transcript Billing, Corp.
Press Release – New York, NY – April 11, 2018 – Sichenzia Ross Ference Kesner LLP announced today that it has represented Rodman & Renshaw, a unit of H.C. Wainwright, as Exclusive Placement Agent and Boenning & Scattergood, Inc. as co-placement agent in a public offering of Series A Preferred stock for Medical Transcript Billing, Corp. (NASDAQ: MTBC).
Sichenzia Ross Ference Kesner LLP Represents AYTU Bioscience, Inc., in $12 Million Public Offering
Press Release – New York, NY – March 6, 2018 – Sichenzia Ross Ference Kesner LLP announced today that it has represented AYTU Bioscience, Inc. (NASDAQ: AYTU) in a $12 million public offering of Class A Units, comprising common stock and warrants and Class B Units comprising Series B Preferred Stock and Warrants. A total of 19,520,000 Class A Units were sold at a price of $0.45 per unit and 3,216 Class B Units were sold at a price of $1,000 per unit. The warrants are exercisable at a price of $0.54 per share for a term of 5 years. Joseph Gunnar & Co. acted as the Sole Book Running Managing Underwriter and Fordham Financial Management, Inc. acted as the Lead Managing Underwriter.
Sichenzia Ross Ference Kesner LLP Represents MoneyOnMobile, Inc., in a $5 Million Private Placement
Press Release – New York, NY – February 12, 2018 – Sichenzia Ross Ference Kesner LLP announced today that it represented MoneyOnMobile, Inc. (“MOMT”), a global mobile payments technology and processing company, in a private placement offering with accredited investors in which MOMT received $4,998,000 in consideration for the issuance of 1,666 shares of Series H Preferred Stock and a five year warrant to purchase 3,332,000 shares of common stock at an exercise price of $0.50 per share.
Sichenzia Ross Ference Kesner LLP Represents MoneyOnMobile, Inc., in $7.6 Million of Private Placements
Press Release – New York, NY – February 8, 2018 – Sichenzia Ross Ference Kesner LLP announced today that it represented MoneyOnMobile, Inc. (“MOMT”), a global mobile payments technology and processing company, in a private placement offering with accredited investors where MOMT sold an aggregate of 5,567 shares of Series F Preferred Stock.
Sichenzia Ross Ference Kesner LLP Represents Roth Capital Partners and Brookline Securities in a $5.5 Million Public Offering of QBIO Med.
Press Release – New York, NY – February 1, 2018 – Sichenzia Ross Ference Kesner LLP announced today that it has represented Roth Capital Partners LLC as lead Placement Agent and CIM/Brookline Securities, as Co-Lead Placement Agent in a public offering of Common Stock and Warrants Series for QBIO Med, Inc. (OTC.QBIO). QBIO is a biotechnology acceleration and development company focused on acquiring and in-licensing life science therapeutics products.
Sichenzia Ross Ference Kesner LLP Represents Vuzix Corporation in $30 Million Above-Market Registered Direct Offering
Press Release – New York, NY – January 26, 2016 – Sichenzia Ross Ference Kesner LLP announced today that it has represented Vuzix Corporation (NASDAQ “VUZI”) in a Registered Direct public offering of 3,000,000 million registered shares of its common stock at a price of $10.00 per share and 1,200,000 1 year common stock purchase warrants with an exercise price of $10.00 per share for gross proceeds to Vuzix of $30,000,000. 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, and Counsel Jeff Cahlon. continue reading >>
Sichenzia Ross Ference Kesner LLP Represents Biotricity Inc. in $2.5 Million Registered Direct Offering
Press Release – New York, NY – December 22, 2017 – Sichenzia Ross Ference Kesner LLP announced today that it has represented Biotricity Inc. (OTCQB:BTCY”) in a Registered Direct public offering of 450,164 registered shares of its common stock at a price of $5.50 per share for aggregate proceeds of approximately $2.5 million.
The Sichenzia Ross Ference Kesner LLP team was led by Partners Gregory Sichenzia and David Manno.
Sichenzia Ross Ference LLP is a full service law firm with a nationally recognized corporate, securities and litigation practice that provides experienced representation in all matters involving the securities industry. In addition to handling routine to complex commercial matters, SRF’s renowned litigation department specializes in defending companies and individuals against all types of securities cases, including class action lawsuits, shareholder derivative actions, and matters involving allegations of fraud, misrepresentation or other securities violations. The litigation team has also brought defamation lawsuits against companies and individuals related to market manipulation. Additionally, it represents individuals and companies in investigations by the Securities and Exchange Commission (SEC) and other regulatory bodies. The litigation team has a robust practice representing brokers and broker-dealers in arbitrations before the Financial Industry Regulatory Authority (FINRA). These arbitrations typically involve claims of unsuitability, churning, unauthorized trading and other allegations of broker misconduct. Finally, SRF has a burgeoning expungement practice, where it represents brokers seeking to have negative and harmful customer complaints removed from their industry records. The firm complements its core practice areas with an established commercial real estate and trusts and estates practice.
Visit SRF's LinkedIn page
Visit SRF's LinkedIn page
Latest posts by Sichenzia Ross Ference LLP (see all)
- Sichenzia Ross Ference LLP Announces Over 80 Capital Markets Transactions Valued Over $2 Billion at the Closing of 2021 - January 13, 2022
- Sichenzia Ross Ference LLP Adds Two Key Additions to its Corporate and Securities Law Team - January 11, 2022
- Sichenzia Ross Ference LLP Represents Aegis Capital Corp. in $9.8 Million Underwritten Offering of BiondVax Pharmaceuticals Ltd. - December 30, 2021
Sichenzia Ross Ference Kesner LLP Represents Vuzix Corporation in $12.5 Million Registered Direct Offering
Press Release – New York, NY – December 18, 2017 – Sichenzia Ross Ference Kesner LLP announced today that it has represented Vuzix Corporation (NASDAQ “VUZI”) in a Registered Direct public offering of 2,066,116 million registered shares of its common stock at a price of $6.05 per share and 1,033,058 3-year common stock purchase warrants with an exercise price of $7.00 per share for gross proceeds to Vuzix of $12,500,000.
Sichenzia Ross Ference Kesner LLP Represents Rodman & Renshaw, a unit of H.C Wainwright, in a $3.9 Million Public Offering of Medical Transcript Billing, Corp.
Press Release – New York, NY – December 11, 2017 – Sichenzia Ross Ference Kesner LLP announced today that it has represented Rodman & Renshaw, a unit of H.C. Wainwright, as Exclusive Placement Agent and Boenning & Scattergood, Inc. as co-placement agent in a public offering of Series A Preferred stock for Medical Transcript Billing, Corp. (MTBC.NASDAQ).
Sichenzia Ross Ference Kesner LLP Represents Pareteum Corporation in $6.58 Million Registered Direct Offering and Concurrent Private Placement
Press Release – New York, NY – December 6, 2017 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it represented Pareteum Corporation (NYSE American: “TEUM”), a leading international provider of mobile networking software and services to the Mobile Network and Internet of Things markets, in a registered direct offering and private placement offering of 7,151,146 shares of common stock and restricted five-year warrants to purchase up to 7,151,146 shares of common stock exercisable at $1.09 per warrant.
Sichenzia Ross Ference Kesner LLP Represents Aegis Capital Corp. in $2.7 Million Registered Direct Offering
Press Release – New York, NY – November 17, 2017 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Aegis Capital Corp. as sole placement agent in the registered direct offering of preferred stock and warrants of Precipio, Inc.
Sichenzia Ross Ference Kesner LLP Represents Pareteum Corporation in $12.0 Million Firm Commitment Public Offering
Press Release – New York, NY – November 9, 2017 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it represented Pareteum Corporation (NYSE American: “TEUM”), a leading international provider of mobile networking software and services to the Mobile Network and Internet of Things markets, in a firm commitment underwritten offering of 9,009,478 shares of common stock, 4,034 shares of preferred stock (each of which shares is an equivalent of 920 shares of common stock), and five-year warrants to purchase up to 7,478,228 shares of common stock exercisable at $1.05 per warrant.
Sichenzia Ross Ference Kesner LLP Represents Joseph Gunnar and Fordham Financial Management in $6.75 Million Registered Direct Offering of Common Stock of Ampio Pharmaceuticals, Inc.
Press Release – New York, NY – October 18, 2017 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Joseph Gunnar & Co. as Lead Placement Agent and Fordham Financial Management Co-Placement Agent in a $6.75 million Registered Direct Public Offering of Common Stock of Ampio Pharmaceuticals, Inc. (“NYSE.AMPE”).
Sichenzia Ross Ference Kesner LLP Represents Pareteum Corporation in $1.56 Million Shelf Take Down
Press Release – New York, NY – October 12, 2017 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Pareteum Corporation (“Pareteum”), a rapidly growing mobile Cloud Communications Platform company, in connection with its shelf take down of 1,495,000 shares of its common stock. Gross proceeds to Pareteum from this offering are $1,569,750 before deducting placement agent’s commissions and other expenses. Dawson James Securities acted as placement agent for the offering.
The Sichenzia Ross Ference Kesner LLP team was led by Partner Darrin M. Ocasio, Counselors Jeffrey Cahlon, and Cheryll J. Calaguio and Associate Evan Berger.
Sichenzia Ross Ference LLP is a full service law firm with a nationally recognized corporate, securities and litigation practice that provides experienced representation in all matters involving the securities industry. In addition to handling routine to complex commercial matters, SRF’s renowned litigation department specializes in defending companies and individuals against all types of securities cases, including class action lawsuits, shareholder derivative actions, and matters involving allegations of fraud, misrepresentation or other securities violations. The litigation team has also brought defamation lawsuits against companies and individuals related to market manipulation. Additionally, it represents individuals and companies in investigations by the Securities and Exchange Commission (SEC) and other regulatory bodies. The litigation team has a robust practice representing brokers and broker-dealers in arbitrations before the Financial Industry Regulatory Authority (FINRA). These arbitrations typically involve claims of unsuitability, churning, unauthorized trading and other allegations of broker misconduct. Finally, SRF has a burgeoning expungement practice, where it represents brokers seeking to have negative and harmful customer complaints removed from their industry records. The firm complements its core practice areas with an established commercial real estate and trusts and estates practice.
Visit SRF's LinkedIn page
Visit SRF's LinkedIn page
Latest posts by Sichenzia Ross Ference LLP (see all)
- Sichenzia Ross Ference LLP Announces Over 80 Capital Markets Transactions Valued Over $2 Billion at the Closing of 2021 - January 13, 2022
- Sichenzia Ross Ference LLP Adds Two Key Additions to its Corporate and Securities Law Team - January 11, 2022
- Sichenzia Ross Ference LLP Represents Aegis Capital Corp. in $9.8 Million Underwritten Offering of BiondVax Pharmaceuticals Ltd. - December 30, 2021
Sichenzia Ross Ference Kesner LLP Represents Rodman & Renshaw a unit of H.C Wainwright in a $6.0 Million Public Offering of Medical Transcript Billing, Corp.
Press Release – New York, NY – September 28, 2017 – Sichenzia Ross Ference Kesner LLP announced today that it has represented Rodman & Renshaw, a unit of H.C. Wainwright, as Exclusive Placement Agent and Boenning & Scattergood, Inc. as co-placement agent in a public offering of Series A Preferred stock for Medical Transcript Billing, Corp. (MTBC.NASDAQ).
Sichenzia Ross Ference Kesner LLP Real Estate Group Represents One Wall Partners in a $63 Million, 16-Building, Portfolio Acquisition
Press Release – New York, NY – September 20, 2017 – The real estate practice group of SRFK announced today that it recently closed on a $63 million, 16 building, multi-family, portfolio acquisition for One Wall Partners. One Wall Partners is a vertically integrated real estate investment firm that specializes in the acquisition, development and management of transit-oriented workforce housing. The Sichenzia Ross Ference Kesner LLP team was led by partner Anthony Ficara, counsel Michael Wickersham and associate Laura Kim.
Sichenzia Ross Ference Kesner LLP Represents Joseph Gunnar & Co., LLC in $10 Million Public Offering of American Depository Shares of BiondVax Pharmaceuticals Ltd. (Israel)
Press Release – New York, NY – September 19, 2017 – Sichenzia Ross Ference Kesner LLP announced today that it has represented Joseph Gunnar & Co., LLC. as sole book running manager in the underwritten public offering of American Depository Shares (ADS’s) of BiondVax Pharmaceuticals, Ltd. (NASDAQ: BVXV, TASE BVXV), a clinical stage biopharmaceutical company focused on developing a universal flu vaccine. The public offering consisted of 1,500,000 ADS’s and the full overallotment of 166,667 additional ADS’s at a public offering price of $6.00 per ADS for gross proceeds of $10 million. The Sichenzia Ross Ference Kesner LLP team was led by partners Gregory Sichenzia and Avital Perlman, Counsel Jeffrey Cahlon and Associate Evan Berger.
Sichenzia Ross Ference Kesner LLP Represents Aegis Capital Corp. in $6 Million Public Offering of Units of Precipio, Inc.
Press Release – New York, NY – August 23rd, 2017 – Sichenzia Ross Ference Kesner LLP announced today that it has represented Aegis Capital Corp. as sole book running manager in the underwritten public offering of Units of Precipio, Inc. (NASDAQ: PRPO). Each Unit is comprised of 1 share of Series B Preferred Stock which is convertible into 400 shares of common stock at a price of $2.50 per share and one warrant to purchase 400 shares of common stock at $3.00 per share. Precipio provides diagnostic information to physicians and there patients worldwide. The Sichenzia Ross Ference Kesner LLP team was led by partner Tom Rose and counsel Jeff Cahlon.
Sichenzia Ross Ference Kesner LLP Represents Joseph Gunnar and Fordham Financial Management in $11.8 PIPE financing of Aytu Bioscience, Inc.
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. as lead placement agent and Fordham Financial Management, Inc. co-placement agent in a private placement offering of equity securities of Aytu BioScience, Inc. (OTC Market “AYTU”).
Sichenzia Ross Ference Kesner LLP Represents Vuzix Corporation in $8.6 Million Registered Direct Offering
Press Release – New York, NY – August 14, 2016 – Sichenzia Ross Ference Kesner LLP announced today that it has represented Vuzix Corporation (NASDAQ “VUZI”) in a Registered Direct public offering of 1.5 million registered shares of its common stock at a price of $5.75 per share for gross proceeds to Vuzix of $8,625,000.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, and Counsel Jeff Cahlon.
Sichenzia Ross Ference Kesner LLP Represents JetSmarter Inc. in Institutional Investment from Clearlake Capital Group and Leucadia National Corporation
Press Release — August 10, 2017 — New York, NY — Sichenzia Ross Ference Kesner LLP represented JetSmarter Inc., an innovative technology company and market leader in the premium private-flight-sharing economy, in an institutional capital raise. The investment was anchored by lead sponsor, Clearlake Capital Group, L.P. and included participation from Leucadia National Corporation and existing investors. Jefferies LLC acted as the exclusive placement agent to JetSmarter Inc. in connection with the financing.
Sichenzia Ross Ference Kesner Represents Shared Labs, Inc. in $2.5 Million Private Offering
Press Release – August 3, 2017, –– New York, NY –– Sichenzia Ross Ference Kesner LLP (“SRFK”) announced today that the Firm has represented Shared Labs, Inc., in a PIPE offering with selected accredited Investors.
Sichenzia Ross Ference Kesner Represents Pollex, Inc., in $2.25 Million Private Placement Offering
Press Release – August 3, 2017, – New York, NY – Sichenzia Ross Ference Kesner LLP (“SRFK”) announced today that the Firm has represented Pollex, Inc. (OTC: PLLX), a Nevada corporation in a PIPE offering with selected accredited Investors.
Sichenzia Ross Ference Kesner LLP Represents CloudCommerce, Inc., in Acquisition of Parscale Creative, Inc.
Press Release – New York, NY – August 2, 2017 – Sichenzia Ross Ference Kesner LLP announced today that it has represented CloudCommerce, Inc., a global provider of cloud-driven e-commerce and mobile commerce solutions, in its acquisition of Parscale Creative, Inc., a company engaged in the digital marketing business, through a forward triangular merger with Parscale Digital, Inc., a newly formed wholly owned subsidiary of CloudCommerce, Inc.
Sichenzia Ross Ference Kesner LLP Represents China Internet Nationwide Financial Services Inc. on $20 Million Public Offering
Press Release – New York, NY – July 31, 2017 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented China Internet Nationwide Financial Services Inc. (NASDAQ: CIFS), a provider of financial advisory services to the underserved small-to-medium sized enterprises in China, in an initial public offering of 2,023,146 ordinary shares for a total of $20,231,460 at $10.00 per share. The shares are expected to begin trading on the NASDAQ Global Market on August 8, 2017 under the symbol “CIFS.”
Sichenzia Ross Ference Kesner LLP Represents Rodman & Renshaw a unit of H.C Wainwright in a $7.4 Million Public Offering of Medical Transcript Billing, Corp.
Press Release – New York, NY – June 23, 2017 – Sichenzia Ross Ference Kesner LLP announced today that it has represented Rodman & Renshaw, a unit of H.C. Wainwright, as Exclusive Placement Agent and Boenning & Scattergood, Inc. as co-placement agent in a public offering of Series A Preferred stock for Medical Transcription Billing, Corp. (MTBC.NASDAQ). MTBC is a principal provider of proprietary, cloud-based electronic health records, practice management, and mHealth solutions.
Medical Marijuana Dispensary Business Project 1493, LLC Announces Share Exchange Agreement with Public Entity & Simultaneous $3.3 Million PIPE Financing
Press Release – June 15, 2017 –– New York, NY – Sichenzia Ross Ference Kesner LLP (“SRFK”) announced today that the Firm has represented Project 1493, LLC in a share exchange agreement with Green Spirit Industries Inc. (GSRX: OTC).
Sichenzia Ross Ference Kesner LLP Represents XTL Biopharmaceuticals Ltd. in $2.5 Million Registered Direct Offering
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 Represents Immuron Limited on $6.1M IPO and NASDAQ listing
Press Release — New York, NY — June 14, 2017 — Sichenzia Ross Ference Kesner LLP (“SRFK”) announced today the Firm has represented Immuron Limited (NASDAQ: IMRN) (ASX : IMC), a clinical-stage biopharmaceutical company focused on NASH and OTC products, on the company’s U.S. underwritten public offering of American Depository Shares (ADSs) and warrants to purchase the company’s ADSs at a combined offering price of $10.00.
Sichenzia Ross Ference Kesner LLP Represents Joseph Gunnar, and Fordham Financial Management in $6.6 Registered Direct offering of Ampio Pharmaceuticals, Inc.
Press Release – New York, NY – June 8, 2017 – Nationally recognized securities and corporate law firm, Sichenzia Ross Ference Kesner LLP, announced today that it has represented Joseph Gunnar & Co. as Lead Placement agent and Fordham Financial Management as Co-Placement Agent in a $6.6 million Registered Direct public offering of equity securities of Ampio Pharmaceuticals, Inc.(“NYSE MKT.AMPE”).
Sichenzia Ross Ference Kesner LLP Represents Joseph Gunnar & Co. and Brookline Capital Markets in a $13.25 PIPE for MRI Interventions, Inc.
Press Release – New York, NY – May 26, 2017 – Sichenzia Ross Ference Kesner LLP announced today that it has represented Joseph Gunnar & Co., LLC, as lead Placement Agent and Brookline Capital Markets, a division of CIM Securities, LLC, as co-Placement Agent in a $13.25 Million PIPE transaction for MRI Interventions, Inc. (OTCQB: MRIC) a medical device company that is creating innovative platforms for performing the next generation of minimally invasive surgical procedures in the brain.
Sichenzia Ross Ference Kesner LLP Represents Tonix Pharmaceuticals Holding Corp. in $8 Million Shelf Take Down
Press Release – New York, NY – April 8, 2017 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Tonix Pharmaceuticals Holding Corp. (“Tonix”), a company that is developing innovative pharmaceutical products to address public health challenges, in connection with its underwritten public offering of 1,800,000 shares of its common stock at an offering price of $4.45 per share of common stock.
Sichenzia Ross Ference Kesner LLP Represents XTL Biopharmaceuticals Ltd., in a $2.8 Million Private Placement of ADSs.
Press Release – New York, NY – March 22, 2017 – Sichenzia Ross Ference Kesner LLP announced today that it has represented XTL Biopharmaceuticals Ltd. (“XTLB. NASDAQ”), an Israeli biopharmaceutical company engaged in the acquisition and development of pharmaceutical drugs for the treatment of lupus and other autoimmune diseases, in a private placement offering with existing investors where XTLB issued 1,400,000 American Depository Shares (ADSs) at a purchase price of $2.00 per ADS.
Sichenzia Ross Ference Kesner LLP Represents Rodman & Renshaw a unit of H.C Wainwright in $3.85 Million Public Offering of Innovus Pharmaceuticals, Inc.
Press Release – New York, NY – March 21, 2017 – Sichenzia Ross Ference Kesner LLP announced today that it has represented Rodman & Renshaw a unit of H.C. Wainwright as Exclusive Placement Agent in the public offering of common stock and Warrants of Innovus Pharmaceuticals, Inc. (“INNV.OTC).
Sichenzia Ross Ference Kesner LLP Represents Pareteum Corporation in $3.5 Million Public Offering
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.
Sichenzia Ross Ference Kesner LLP Represents Brekford Corporation in the sale of its Vehicle Services Business
Press Release – New York, NY – March 7, 2017 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Brekford Corporation (“Brekford”) in the sale of 80.1% of its vehicle service business.
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.
Sichenzia Ross Ference Kesner LLP Represents Aegis Capital Corp. and Laidlaw & Company (UK) Ltd. in $4.8 Million Public Offering
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.
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.
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”).
Sichenzia Ross Ference Kesner LLP Represents Vycor Medical Inc. in an Internet Portal-based Private Placement
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.
