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.
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新闻稿-纽约，纽约-2020年8月26日-Sichenzia Ross Ference LLP今天宣布，它代表商业化医疗设备公司Avinger，Inc.（纳斯达克股票代码：“ AVGR”），该公司销售第一个也是唯一的血管内图像引导技术，一种基于导管的诊断和治疗外周动脉疾病（PAD）患者的系统，以每股0.47美元的价格完成了11,063,830股普通股的承销公开发行。此次发行是根据先前向美国证券交易委员会（SEC）提交并宣布生效的货架注册声明进行的。
新闻稿–纽约，纽约– 2020年8月25日–今日的Sichenzia Ross Ference LLP
宣布代表罗斯银行资本合伙人有限公司（Roth Capital Partners，LLC）作为唯一账簿管理人，与湖街 代表资本市场有限责任公司，作为牵头经办人，参与其承销的2,350,000股 全球能源公司Centrus Energy Corp.（NYSE American：LEU）的普通股，为商业核电厂提供低浓铀（“ LEU”），价格为 每股10.00美元。
Sichenzia Ross Ference合伙人兼公司白领辩护负责人Andrew M. J. Bernstein将出席“大陪审团演讲并代表大陪审团的客户”。该演示文稿已获得纽约州律师协会（NYSBA）2020年审判学院虚拟会议系列的一部分，已获得继续法律教育（CLE）的认可。该计划将于2020年8月21日（星期五）下午2:00 – 4:00在线举行，还将有纽约县地方检察官办公室高级助理地方检察官Catherine A. Christian Esq主持。 ，特别受害者局。
新闻稿–纽约，纽约– 2020年8月6日– Sichenzia Ross Ference LLP今天宣布代表Aegis Capital Corp.作为独家账簿管理人，参与承销Avinger Inc.（NASDAQ：AVGR）15,789,474股普通股，这是一家商业阶段的医疗设备公司，以每股0.38美元的价格销售第一个也是唯一的基于血管内图像引导的导管系统，用于诊断和治疗外周动脉疾病（PAD）。此次发行是根据先前已提交给美国证券交易委员会（Securities and Exchange Commission）的表格S-3（第333-230124号）的注册声明进行的，该声明于2019年3月29日生效。
新闻稿–纽约，纽约– 2020年7月17日– Sichenzia Ross Ference LLP宣布其代表临床阶段免疫学公司INmune Bio Inc.（纳斯达克股票代码：INMB），该公司致力于开发利用患者先天免疫系统进行对抗的疗法发行了2,173,914股公司普通股，每股价格为10美元。在扣除承销折扣和其他发行费用之前，INMB的总收益为2174万美元，净收益估计为2000万美元。此次发行是根据表格S-3（文件号333-237368）的货架注册声明进行的，该声明已提交给美国证券交易委员会（“ SEC”），并于2020年4月2日生效。
Press Release – New York, NY – July 15, 2020 – Sichenzia Ross Ference LLP announced today that it represented H.C. Wainwright & Co., LLC, as sales agent in an At-The-Market Offering (“ATM”) of BioPath Holdings Inc (NASDAQ: “BPTH”) common stock for gross proceeds of approximately $7 million. The shares were registered on BPTH’s Registration Statement on Form S-3 (File No. 333-231537) filed with the Securities and Exchange Commission on May 16, 2019, and declared effective by the SEC on June 5, 2019, and the prospectus supplement relating to the ATM filed with the SEC on July 14, 2020.
新闻稿–纽约州，纽约– 2020年7月15日– Sichenzia Ross Ference LLP今天宣布代表H.C.代表Wainwright＆Co.，LLC，担任BioPath Holdings Inc（NASDAQ：“ BPTH”）普通股的按市场发售（“ ATM”）的销售代理，总收益约为700万美元。这些股份已于BPTH于2019年5月16日提交给美国证券交易委员会的S-3表格的登记声明（文件编号333-231537）中登记，并于2019年6月5日由SEC宣布生效，以及招股说明书补充与2020年7月14日提交给SEC的ATM有关。
新闻稿-纽约，纽约-2020年6月26日-Sichenzia Ross Ference LLP今天宣布代表Aegis Capital Corp.作为独家簿记人进行承销的2000万股Avinger，Inc.（NASDAQ：AVGR）普通股每股0.27美元的价格，总收益约为540万美元。 Avinger是针对外周动脉疾病的创新疗法的领先开发商。
新闻稿–纽约州，纽约– 2020年6月24日-Sichenzia Ross Ference LLP今天宣布代表Hudson Capital Inc.（纳斯达克股票代码：HUSN），以每股0.85美元的价格，以370万美元的注册直接发行普通股。 。此次发行是根据F-3表格的注册声明（文件号333-233408）进行的，该声明先前已提交给美国证券交易委员会（Securities and Exchange Commission），并于2019年9月19日宣布生效。
新闻稿-纽约，纽约-2020年6月5日-Sichenzia Ross Ference LLP今天宣布代表Aegis Capital Corp.作为独家账簿管理人，承销Digital Ally，Inc.（NASDAQ：2,325,581股）的普通股视频安全公司DGLY），每股价格为2.15美元。承销商选择同时关闭由213,953股普通股组成的超额配股权，从而使本次发行的总收益达到约540万美元，其中扣除了承销折扣和其他发行费用。
Sichenzia Ross Ference的创始合伙人Marc J. Ross，Esq。将于2020年6月12日（星期五）下午3:00在Clear Law Institute举办网络研讨会课程，标题为“律师建议从事大麻相关业务的客户的道德考量”。该演讲获得了持续法律教育（CLE）的认可，将探讨与律师相关的道德问题和做法，为从事大麻相关业务的客户提供建议。
新闻稿–纽约州，纽约– 2020年6月5日– Sichenzia Ross Ference LLP今天宣布，代表Aegis Capital Corp.作为独家账簿管理人，进行3,090,909股Digital Ally，Inc.（NASDAQ： DGLY），视频安全公司。股票的发行价为每股1.65美元，总收益约为510万美元，减去承销折扣和其他发行费用。
Press Release – New York, NY – May 22, 2020 – Sichenzia Ross Ference LLP today announced that it represented ThinkEquity, a division of Fordham Financial Management, Inc., as sole book-running manager in a $5 million offering of Medigus Ltd. (Nasdaq: MDGS), an Israeli technology company developing minimally-invasive tools and direct visualization technology.
新闻稿-纽约，纽约-2020年5月22日-Sichenzia Ross Ference LLP今天宣布以500万美元对Medigus Ltd.进行的独家账簿管理人代表Fordham Financial Management，Inc.的子公司ThinkEquity（纳斯达克股票代码：MDGS），一家以色列技术公司，开发微创工具和直接可视化技术。 continue reading >>
COVID-19 is a harsh reminder that life is fragile and unpredictable. The pandemic has caused many people to acknowledge their mortality and to reevaluate their financial circumstances and life goals. In these rather difficult and uncertain times, the importance of being prepared for a worst-case scenario and having certain essential estate planning documents in place is, unfortunately, paramount. At a minimum, every client should establish (or update) the following in order to protect themselves, their loved ones, and their legacy:
新闻稿–纽约，纽约– 2020年4月30日– Sichenzia Ross Ference LLP今天宣布代表Aegis Capital Corp.作为独家簿记人，参与承销的12,600,000股Avinger，Inc.（NASDAQ：AVGR）普通股按每股0.25美元的价格计算，总收益约为315万美元。 Avinger是针对外周动脉疾病的创新疗法的领先开发商。
Sichenzia Ross Ference LLP团队由合伙人Darrin Ocasio，Gregory Sichenzia，Avital领导 佩尔曼（Perlman），巴雷特（Barrett DiPaolo）和潘恩恩（Yian Pan）律师。
如果您对本《经纪人-交易者法规警报》中解决的问题有任何疑问，如果您希望获得其中提及的任何材料的副本，或者您想继续收到《经纪人-交易者法规警报》，请不要犹豫。在（646）810-2185或sfurst@srf.law上致电或发送电子邮件至证券和商业诉讼及证券监管业务合伙人Daniel Scott Furst。[17]
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.
新闻稿-纽约州-2020年4月23日-Sichenzia Ross Ference LLP今天宣布代表AGP / Alliance Global Partners作为Safe-T Group Ltd.（NASDAQ）的承销公开发行的唯一账簿管理人。 ，TASE：SFET），这是针对本地和混合云环境的安全访问解决方案的提供商。公司提供的证券包括（i）858,600单位，每单位包括一股代表40股普通股的美国存托凭证（“ ADS”）和一份购买一股ADS的认股权证（“认股权证”），以及（ii）6,777,500预售单位，每个单位包括一份预购权证，用于购买一份美国存托凭证和一份权证。发行价格为每单位1.10美元和每笔预资助单位1.099美元。
新闻稿-纽约，纽约-2020年3月26日-Sichenzia Ross Ference LLP今天宣布代表Aegis Capital Corp.作为唯一的账簿管理人，发行630,500股Cel-Sci Corporation（NYSE American）的普通股：CVM），一家生物技术公司。该股票以每股12.22美元的价格发行，总收益约为770万美元，其中包括承销折扣和其他发行费用。
新闻稿-纽约，纽约-2020年3月4日-Sichenzia Ross Ference LLP今天宣布代表云通信平台公司Pareteum Corporation（NASDAQ：TEUM），与某些投资者签订了认购协议，以购买公司以每股100,000美元的价格购买了8％的C系列可赎回优先股，总收益为3,750,000美元
Sichenzia Ross Ference LLP团队由合伙人Darrin Ocasio和Avital Perlman以及合伙人Grant Levine领导。
新闻稿-纽约，纽约-2020年3月4日-Sichenzia Ross Ference LLP今天宣布代表Aegis Capital Corp.作为独家账簿管理人承销Digital Ally，Inc.（NASDAQ：2,521,740股）的普通股DGLY），视频安全公司。该股票以每股1.15美元的价格发行，总收益约为290万美元，其中包括承销折扣和其他发行费用
纽约州纽约市-2020年3月3日-Sichenzia Ross Ference LLP今天祝贺Beyond Air Inc.（纳斯达克股票代码：XAIR）在纳斯达克MarketSite敲响收盘钟的里程碑。 SRF的创始合伙人Gregory Sichenzia在2020年3月2日的钟声仪式上加入了Beyond Air。
Press Release – New York, NY – February 28, 2020 – Sichenzia Ross Ference LLP announced today that it represented Alliance Global Partners as lead placement agent in a registered direct offering of 1,351,350 Class A ordinary shares of Aptorum Group Limited (Nasdaq: “APM”), a biopharmaceutical company. The offering price was $7.40 per share for gross proceeds of $10 million.
新闻稿–纽约，纽约– 2020年2月28日– Sichenzia Ross Ference LLP今天宣布，其代表Alliance Global Partners作为主要配售代理，参与Aptorum Group Limited（Nasdaq：“ APM”）1,351,350股A类普通股的注册直接发行。 ），一家生物制药公司。发行价格为每股7.40美元，总收益为1000万美元。
新闻稿-纽约州，纽约-2020年2月19日-Sichenzia Ross Ference LLP今天宣布，代表Aegis Capital Corp.作为独家簿记人参与200,000股8％发行的Medalist Diversified累积可赎回优先股的承销房地产投资信托基金REIT，Inc.（纳斯达克股票代码：MDRR），专门从事增值商业房地产的收购，所有权和管理。这些股票以每股23.00美元的发行价出售，总收益为460万美元，并开始在纳斯达克资本市场上交易，股票代码为“ MDRRP”。
新闻稿-纽约州，纽约-2020年2月4日-Sichenzia Ross Ference LLP今天宣布代表Aegis Capital Corp.作为独家簿记人，参与后续发行Avinger，Inc.（NASDAQ）6,428,572股普通股：AVGR），领先的外周动脉疾病治疗方法开发商，发行价为每股0.70美元，总收益为450万美元。根据Avinger在表格S-1上的有效注册声明（注册号333-235902）发售和出售股票。
新闻稿-纽约，纽约-2020年1月31日-Sichenzia Ross Ference LLP今天宣布以AGP / Alliance Global Partners的独家配售代理身份，以220万美元的普通股以每股0.63美元的价格收购Cocrystal Pharma，Inc.（纳斯达克股票代码：COCP），这是一家开发抗病毒治疗剂的临床生物技术公司。根据Cocrystal在表格S-3上的有效注册声明（注册号333-220632）进行买卖。
Press Release – New York, NY – January 6, 2020 – Sichenzia Ross Ference LLP announced its participation as a sponsor of the 32nd Annual ROTH Conference. The conference is being held on March 15-17, 2020 at The Ritz-Carlton Laguna Niguel in Dana Point, California.
For over 50 years Mr. Birnbaum has been the trusted counsel for individuals and fiduciaries involved in complex estates and sophisticated estate planning. He has been selected and has served with distinction as a trustee and executor. He has also guided clients in their charitable activities and family foundations, and lectured on trusts and estates to professional associations and the general public.
新闻稿-纽约州，纽约-2019年12月30日-Sichenzia Ross Ference LLP今天宣布代表Aegis Capital Corp.作为独家账簿管理人，参与CEL-SCI Corporation（NYSE）606,395股普通股的后续发行美国：CVM），一家三期癌症免疫疗法公司，发行价为每股9.07美元，总收益为550万美元。根据包销协议的条款，Aegis被授予45天期权，可以购买最多90,959股CEL-SCI普通股，以支付超额配股。
Sichenzia Ross Ference LLP团队由合伙人Darrin Ocasio，Avital Perlman和Marcelle Balcombe以及合伙人Grant Levine和Jacob Jacobman领导
新闻稿-纽约州，纽约-2019年12月6日-Sichenzia Ross Ference LLP今天宣布代表Relmada Therapeutics，Inc.（纳斯达克股票代码：RLMD）（一家开发抑郁症和中枢神经系统疾病疗法的临床阶段公司）成功完成以每股30.00美元的价格承销300万股Relmada普通股的公开发售。
新闻稿-纽约州，纽约-2019年12月2日-Sichenzia Ross Ference LLP代表H-Cyte的律师与FWHC，LLC进行了600万美元的私募，价格超过了市场价格。 H-Cyte是创新医疗技术产品和服务（包括LungCYTE和Lung Health Institute）的所有者和运营商。 H-Cyte打算利用这笔资金来推进其针对慢性肺疾病（如COPD）的行业领先的药物开发。 SRF团队由合伙人Arthur Marcus领导。
新闻稿-纽约州，纽约-2019年11月5日-Sichenzia Ross Ference LLP今天宣布代表AGP / Alliance Global Partners作为独家存续业务经理处理美国存托股票（ADS）的承销公开发行和Safe-T认股权证Group Ltd.是针对本地和混合云环境（纳斯达克，TASE：SFET）的安全访问解决方案的提供商。
新闻稿-2019年9月12日-纽约，纽约-辛西娅·罗斯·弗伦斯（Sichenzia Ross Ference LLP）创始合伙人马克。 J.罗斯（Esq。）于2019年9月18日星期三，为Clear Law Institute举办了网络研讨会课程，名为“将娱乐和/或医用大麻使用合法化的州法律与联邦管制物质法之间的相互作用”。经认证的“ CLE”，讨论了使娱乐性和/或医用大麻用途合法化的州和联邦法律之间的相互影响。
新闻稿-2019年9月12日-纽约，纽约-辛西娅·罗斯·弗伦斯（Sichenzia Ross Ference LLP）创始合伙人马克。 J.罗斯（Esq。）在NECANN于2019年9月15日在大西洋城的A.C.会议中心举行的《新泽西大麻公约》上发表演讲。本演讲介绍了“蓬勃发展的商机”，并涵盖了从银行，税收，CBD和道德问题在内的各种问题。为期两天的研讨会将把大麻产业聚集在一起，以进行学习，共享，联系和业务建设
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.
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.
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.
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.
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.
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.
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