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

cbc biotechnologies

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

eMagin

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

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

Takung

Press Release – New York, NY – November 17, 2015 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced that the Firm has represented Takung Art Co., a provider of an online platform for artists and creative professionals, in connection with a $1,580,000 private placement of the Company’s common stock priced at $1.58 per share.
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Sichenzia Ross Friedman Ference LLP Represents Oasmia Pharmaceutical AB on $9.5M IPO and U.S NASDAQ listing

oasmia

SRFF LLP Advises Fifth Swedish IPO on U.S. NASDAQ

October 28, 2015 – Press Release – New York, NY –Sichenzia Ross Friedman Ference LLP (“SRFF”) announced today the Firm has represented Oasmia Pharmaceutical AB (NASDAQ: OASM) (NASDAQ Stockholm: OSAM.ST), a Swedish biopharmaceutical company focused on developing innovative treatments within human and animal oncology, on the company’s U.S. underwritten public offering of American Depository Shares (ADSs) and warrants to purchase the company’s ADSs at an offering price of $4.06 per ADS. continue reading >>

Sichenzia Ross Friedman Ference LLP Represents Israeli Biotech Company Can-Fite Biopharma on $4.8M Registered Direct Offering of ADSs

can-fite biopharma

New York, NY – Press Release – October 15, 2015 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP (“SRFF”) announced today that the Firm has represented Can-Fite BioPharma Ltd. (NYSE MKT: CANF) (TASE:CFBI), an Israeli biotechnology company advancing a pipeline of proprietary small molecule drugs that addresses cancer and inflammatory diseases, on a registered direct offering with institutional investors where the Company issued 1,109,196 American Depository Shares (ADSs) at a purchase price of $4.35 per ADS. continue reading >>

Sichenzia Ross Friedman Ference LLP Represents ContraVir Pharmaceuticals, Inc. on $15 Million Public Offering of Common Stock and Warrants

contravir

Press Release – New York, NY – October 14, 2015 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP is pleased to announce that the Firm has represented ContraVir Pharmaceuticals, Inc. (NASDAQ: CTRV), a biopharmaceutical  company focused on the development and commercialization of targeted antiviral therapies, on an underwritten public offering of 5,000,000 shares of the Company’s common stock and warrants to purchase up to 3,000,000 shares of common stock at a combined public offering price of $3.00. continue reading >>

Sichenzia Ross Friedman Ference LLP Represents Rightscorp in $1.032M PIPE

rightscorp

October 9, 2015 – New York, NY – Press Release – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that the Firm has represented Rightscorp, Inc., a technology company that provides monetization services for holders of copyrighted intellectual property (OTCQB:RIHT) in a private placement offering where the Company sold to accredited investors 10,320,000 shares of common stock and warrants.
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Sichenzia Ross Friedman Ference LLP Represents Amarantus BioScience Holdings, Inc. in $5.5M Registered Direct Offering and Private Placement

amarantus bioscience

October 1, 2015 — New York, NY – Press Release – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP (“SRFF”) is pleased to announce that the Firm has represented Amarantus Bioscience Holdings, Inc. (OTCQX: AMBS), a biotechnology company developing therapeutic and diagnostic product candidates for orphan indications and neurology in a registered direct offering where Amarantus issued $2.75 million of newly designated Series H convertible preferred stock and warrants. continue reading >>

Sichenzia Ross Friedman Ference LLP Represents Israeli Company Can-Fite BioPharma on $9.0M Public Offering of ADSs

can-fite biopharma

New York, NY – Press Release – September 22, 2015 –Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that the Firm has represented Israeli biotechnology company, Can-Fite BioPharma (NYSE: CANF)(TASE: CFBI) on a public offering with institutional investors where Can-Fite received $9 million in gross proceeds. continue reading >>

Sichenzia Ross Friedman Ference LLP Advises Underwriter Aegis Capital on U.S. Initial Public Offering of Israeli Biopharmaceutical Company

biondvax pharmaceuticals

Represents first Israeli-American collaborative transaction between affiliated law firms SRFF LLP and DTKGC & Co.

New York, NY – May 15, 2015 – New York based securities and corporate law firm Sichenzia Ross Friedman Ference LLP (“SRFF”) announced today that the Firm has represented the underwriter Aegis Capital Corp. on the U.S. initial public offering of BiondVax Pharmaceuticals Ltd (NASDAQ: BVXV), continue reading >>

Sichenzia Ross Friedman Ference LLP Advises Citius Pharmaceuticals, LLC on $270,000 PIPE Financing

citius pharma

New York, NY — March 26, 2015 — Global Newswire — New York based securities law firm Sichenzia Ross Friedman Ference LLP announced that the Firm represented Citius Pharmaceuticals, LLC (OTCQB: CTXR), a specialty pharmaceutical company dedicated to the development and commercialization of therapeutic products for large and growing markets, in connection with a $270,000 PIPE transaction. continue reading >>

Sichenzia Ross Friedman Ference LLP Advises Solar3D on $12.5M Public Offering of Units and Uplisting to the NASDAQ Capital Market

solar 3d

March 6, 2015 – New York, NY – (Global Newswire) – Sichenzia Ross Friedman Ference LLP announced today that the Firm has represented Solar3D, Inc. (NASDAQ: SLTD), a provider of solar power solutions and the developer of a proprietary high efficiency solar cell, on a public offering of 3,000,000 units. continue reading >>

Sichenzia Ross Friedman Ference LLP Represents Sole-Book Running Manager in $3.0M Public Offering for CollabRX

collab rx

Sichenzia Ross Friedman Ference LLP Advises Aegis Capital Corp. on $3.0 Million Public Offering of CollabRX, Inc.

New York, NY – February 26, 2015 — (GLOBE NEWSWIRE) — New York- based securities law firm Sichenzia Ross Friedman Ference LLP announced that it has represented Aegis Capital Corp. as the sole book-running manager of a $3 million public offering for CollabRX, Inc. (NASDAQ: CLRX), a provider of cloud-based expert systems designed to inform healthcare decision-making. continue reading >>

Sichenzia Ross Friedman Ference LLP Advises Aegis Capital Corp. as Sole Book-Running Manager on $5.52M Public Offering of CollabRX, Inc.

collab rx

NY, New York – February 25, 2015 – Global Newswire—Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that the Firm has represented Aegis Capital Corp. as the sole book-running manager in a $5,520,000 public offering for CollabRX, Inc. (NASDAQ: CLRX),  a provider of cloud-based expert systems for selecting clinical treatments. continue reading >>

Sichenzia Ross Friedman Ference LLP Represents Laidlaw & Company (UK) Ltd. on a $20.0 Million Public Offering of Actinium Pharmaceuticals, Inc.

actinium pharmaceuticals

February 12, 2015 – New York, NY – (Global Newswire) – New York based securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Laidlaw & Company (UK) Ltd. as the sole book-running manager in an underwritten public offering for Actinium Pharmaceuticals, Inc. (NYSE MKT: ATNM), a biopharmaceutical company developing innovative targeted immunotheraputics for the treatment of advanced cancers. continue reading >>

Sichenzia Ross Friedman Ference LLP Advises Trovagene Inc. on a $23.0M Public Offering

trovagene

New York, NY – February 11, 2015 – (Global Newswire) – New York based securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that the Firm has represented Trovagene, Inc. (NASDAQ: TROV), a developer of cell-free molecular diagnostics, in an underwritten public offering of 5,111,110 shares of the company’s common stock. continue reading >>

Sichenzia Ross Friedman Ference LLP Represents Tonix Pharmaceuticals in $28.7M Public Offering

tonix pharmaceuticals

New York, NY – February 10, 2015 – (Global Newswire) – New York-based securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that the firm represented Tonix Pharmaceuticals Holding Corp., a clinical-stage pharmaceutical company, in an underwritten public offering of 4,900,000 shares of common stock at a price of $5.85 per share. continue reading >>

Full Swing Golf Announces Endorsement Deal with Tiger Woods

full swing golf

Sichenzia Ross Friedman Ference LLP Represents Full Swing Golf, Inc. in an Endorsement Deal with Tiger Woods

New York, NY – January 23, 2015 – New York based securities and corporate law firm Sichenzia Ross Friedman Ference LLP (“SRFF”) is pleased to announce that the Firm has represented San Diego-based golf simulator producer Full Swing Golf, Inc., a privately held company, in an endorsement agreement with golf icon Tiger Woods. continue reading >>

Vuzix Corp. Announces $24.8M Investment from Intel

vuzix

Sichenzia Ross Friedman Ference LLP Represents Vuzix Corp. in $24.8M Investment From Intel

NEW YORK, NY –( January 5, 2015) –New York based securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that the Firm represented Vuzix® Corporation (OTCQB: VUZI) (“Vuzix” or the “Company”), a leading supplier of video eyewear and smart glasses products, in an investment transaction whereby Intel Corporation made a $24.8 million investment in Vuzix. Intel’s investment will be used for general working capital and will contribute to the acceleration of the introduction of Vuzix’s next generation wearable display products into the consumer market.

Intel purchased 49,626 shares of Vuzix’s Series A Preferred Stock, convertible into 4,962,600 shares of the Company’s common stock at an initial conversion price of $5.00 per share. The shares issuable on conversion of the Series A Preferred Stock represent approximately 30% of Vuzix’s outstanding stock.

The Sichenzia Ross Friedman Ference LLP team was led by Partners Gregory Sichenzia, Thomas A. Rose, Tara Guarneri Ferrara and Associate Jeffrey Cahlon.

About Sichenzia Ross Friedman Ference LLP
Sichenzia Ross Friedman Ference LLP is a securities and corporate law firm that provides experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters. The firm’s clients range from start-ups to established, listed companies; they include private and public corporations, partnerships, broker-dealers, bank-affiliated broker-dealers, investment advisors, registered personnel, public and corporate customers and investors, partnerships and other entities. The firm also advises institutional investors on transactions involving complex securities law considerations and its practice includes the representation of clients located in the United States and throughout the world. To learn more about Sichenzia Ross Friedman Ference LLP, visit www.srff.com, SRFF’s LinkedIn and SRFF’s Twitter: @SRFFLLP.

 

PlasmaTech Announces $14.0 M Public Offering and NASDAQ Listing

plasmatech biopharmaceuticals

New York, NY – December 24, 2014 – Press Release: New York based securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that the Firm  represented H.C. Wainwright & Co. and Aegis Capital Corp. as underwriters in PlasmaTech Biopharmaceuticals, Inc.’s public offering of 3,500,000 shares of common stock and 3,500,000 warrants. The gross proceeds from the offering were $14,035,000 and the offering price was $4.00 per share and $.01 per warrant. The warrants have a per share exercise price of $5.00 and are exercisable immediately.  PlasmaTech common stock and warrants began trading on the NASDAQ Capital Market (effective December 19, 2014) under the symbols “PTBI” and “PTBIW” respectively.

PlasmaTech Biopharmaceuticals, Inc. is a biopharmaceutical company focused on advanced targeted treatments for critical patient care. The Sichenzia Ross Friedman Ference LLP team was led by Partners Jeffrey J. Fessler and Marcelle Balcombe.

Sichenzia Ross Ference LLP

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.

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SBI Investments Announces $6.5 Million Private Placement

sbi investments

Sichenzia Ross Friedman Ference LLP Represents SBI Investments in $6.5M Private Placement

New York, NY (Global Newswire – Dec. 23, 2014) New York-based securities law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented SBI Investments LLC, a private investment firm whose primary focus is to provide creative and alternative funding solutions to global micro-, small- and mid-cap publicly-traded companies, in a private placement of LLC membership interests valued at $6,525,000.

The Sichenzia Ross Friedman Ference LLP team was led by Partner Darrin Ocasio and Associate Marc Adesso.

 

Sichenzia Ross Ference LLP

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

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Can-Fite Biopharma Ltd. Announces $8.0 M At-The-Market Registered Direct Offering

can-fite biopharma

Sichenzia Ross Friedman Ference LLP Advises Can-Fite Biopharma Ltd. On A $8.0 M At-The-Market Registered Direct Offering

New York, NY – (Global Newswire) – 12/20/2014 – New York based securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Israeli biopharmaceutical company, Can-Fite Biopharma Ltd. (TASE: CFBI; NYSE MKT: CANF) on an at-the-market registered direct offering of for gross proceeds of $8,000,000. The Sichenzia Ross Friedman Ference LLP team was led by Partner Gregory Sichenzia, Associates Gary Emmanuel and Avital Even-Shoshan. H.C. Wainwright & Co., LLC acted as the Placement Agent in the offering.

Sichenzia Ross Ference LLP

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

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Sichenzia Ross Friedman Ference LLP Attorneys Achieve Complete Dismissal of Lawsuit

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

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

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

Read the full article here

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

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

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Sichenzia Ross Friedman Ference LLP 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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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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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.

Visit here to learn more.

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

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

Read the full article here.

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

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

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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 >>

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