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Partner Ben Tan Recognized as Finance Monthly’s 2014 Deal Maker of the Year

Ben TanSichenzia Ross Friedman Ference LLP is pleased to announce that Partner Ben Tan has been selected as the 2014 Deal Maker of the Year for his representation of Hong Kong Takung Assets and Equity of Artworks Exchange in their  reverse merger with Cardigant Medical Inc.

Now in its fourth year, the Finance Monthly Deal Maker Awards have quickly gained a reputation as an industry standard for recognising excellence in corporate finance transactions and acknowledge and reward the individuals and firms involved – the bankers, venture capitalists, lawyers, accountants and professional advisors who initiate, structure and negotiate deals for growing organisations.

Visit here to learn more about the Hong Kong Takung reverse merger and to read about Mr. Tan’s award.

Sichenzia Ross Friedman Ference LLP Announces Three New Partners for 2015

New York, NY – (December 23, 2014) – Sichenzia Ross Friedman Ference LLP (“SRFF”), the nationally ranked leading securities and corporate law firm, is pleased to announce today that it has elected three new partners from its attorney ranks. The partnership promotions will be effective starting January 1, 2015.

We are pleased to welcome three outstanding partner additions for the upcoming new year.” said senior partner Gregory Sichenzia, “These attorneys represent some of the best legal talent in the field of securities and corporate law. Over the years, they have consistently demonstrated legal excellence and shown themselves as experts in a specialized and complex space. We are proud to call them our partners.”

Sichenzia Ross Friedman Ference LLP’s new partners will include:

Daniel Scott Furst: Mr. Furst joined the Firm in March 2010. His practice Scott Furstconcentrates on generalcommercial and securities litigation; including arbitration in state and federal courts before regulatory agencies and arbitration tribunals including the Securities and Exchange Commission, Financial Regulatory Authority, and the American Arbitration Association. Mr. Furst specializes in representing public and private companies, broker-dealers, registered representatives and investors.

Tara Guarneri-Ferrara: Ms. Guarneri-Ferrara focuses her practice in the areas of Tara Guarneri Ferrarasecurities, corporate finance law and mergers and acquisitions. Since her start at SRFF in February 2008, Ms. Guarneri-Ferrara has advised clients in connection with private placements, PIPE transactions, corporate documents and filings and M&A transactions. Ms. Ferrara was also recognized as a 2014 New York Metro Super Lawyers Rising Star.

Stephen A. Cohen: Mr. Cohen joined SRFF in April 2006. He specializes in representing Steve Cohen issuers and underwriters in corporate finance transactions, mergers and acquisitions and securities law matters. He advises clients on public and private offerings, direct transactions as well as on the formation of private equity hedge funds. Mr. Cohen additionally advises corporations and their boards on securities law compliance, corporate governance and assists them in their periodic reporting requirements. Mr. Cohen was also named by New York Metro Super Lawyers as a 2014 Rising Star.

About Sichenzia Ross Friedman Ference LLP
Sichenzia Ross Friedman Ference LLP is a corporate and securities law firm that provides experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters. SRFF’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. SRFF also advises institutional investors on transactions involving complex securities law considerations. SRFF’s practice includes the representation of clients located in the United States and throughout the world. To learn more about SRFF, visit www.srff.com, SRFF’s LinkedIn, Twitter: @SRFFLLP and Facebook pages.

 

Sichenzia Ross Friedman Ference LLP Advises Calpian Inc. on $8.3 Million Private Placement of Common Stock and Warrants

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May 27, 2014 (GLOBE NEWSWIRE) – New York-based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Calpian Inc. (OTCQB: CLPI), a global processing and mobile payments technology company, on a private placement offering of units in the aggregate amount of $8.3 million. Each unit consisted of one share of common stock and a warrant to purchase one fifth of one share of common stock, priced at $1.00 per unit. The warrants are exercisable at $1.25 per share. National Securities acted as the lead placement agent. The Sichenzia Ross  Friedman Ference LLP team was led by partner Darrin M. Ocasio and associate Jay Yamamoto.

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Partners Gregory Sichenzia and Thomas A. Rose Admitted to Supreme Court Bar

With Dean Supreme CourtSichenzia Ross Friedman Ference LLP Partners Gregory Sichenzia and Thomas A. Rose was admitted to the Supreme Court Bar on Tuesday, December 9, along with several other notable Benjamin N. Cardoza alumni. Admission to the United States Supreme Court is an honorable distinction for attorneys of good standing and who have been practicing for more than three years. Upon admission, Mr. Sichenzia and Mr. Rose are granted the exclusive ability to argue before the justices of the Supreme Court. Every attorney admitted to the Supreme Court must be sponsored by two attorneys who have been admitted to the Supreme Court Bar. Mr. Sichenzia and Mr. Ross are sponsored by Matthew Diller, the dean of the Benjamin N. Cardoza Law School and Michael Ference, a partner at Sichenzia Ross Friedman Ference LLP.

 

Gallery:

With Justice Scalia
Partners with Justice Scalia

 

Supreme Court

 

Solar3D Retains Sichenzia Ross Friedman Ference As SEC Counsel

Sichenzia Ross Friedman Ference LLP to Advise the Company on Securities Related Matters and for Potential Uplisting to a Senior Exchange

SANTA BARBARA, CA — (Marketwired) — 12/04/14 — Solar3D, Inc.(OTCQB: SLTD), a leading solar power company and the developer of a proprietary high efficiency solar cell, today announced that it has retained Sichenzia Ross Friedman Ference LLP (www.srff.com) to represent SLTD on general securities matters and a potential uplisting to a senior exchange.

Sichenzia Ross Friedman Ference LLP is the top ranked securities law firm as recognized by industry league tables. The firm’s services include but are not limited to providing oversight for stock exchange listing matters, initial and secondary public offerings, alternative public offerings, private investment  in public equity (PIPE) transactions, as well as mergers and acquisitions.

In early 2014, the company acquired SUNworks, a Sacramento-area solar design and installation firm. Last month, Solar3D agreed to acquire MD Energy, a California-based solar construction firm.

“We are thrilled to be working with Sichenzia Ross Friedman Ference,” said Jim Nelson, CEO of Solar3D. “Led by Gregory Sichenzia, this firm will act as our securities law partner and will play an important role as we continue to experience substantial growth and pursue new opportunities in the public equity space. The firm’s experience and track record as a strategic partner for growth companies seeking to achieve the next level of development will be very helpful, as Solar3D continues to pursue its aggressive plan for growth in 2015.”

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP 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. Sichenzia Ross also advises institutional investors on transactions involving complex securities law considerations.

To learn more, visit https://srfc.law.

About Solar3D, Inc.
Solar3D is a leading provider of solar power solutions and the developer of a proprietary high efficiency solar cell. The company’s
SUNworks division focuses on the design, installation and management of solar power systems for commercial, agricultural and residential customers. SUNworks is one of the fastest growing solar systems providers in California and has delivered hundreds of 2.5 kilowatt to 1-megawatt commercial systems and has the capability of providing systems as large as 25 megawatts. Solar3D’s technology division is developing a patent-pending 3-dimensional solar cell technology to maximize the conversion of sunlight into electricity. The Solar3D Cell collects sunlight from a wide angle and lets light bounce around in 3-dimensional microstructures on the solar cell surface. The Company’s mission is to further the widespread adoption of solar power by deploying affordable, state-of-the-art systems and developing breakthrough new solar technologies.

To learn more about Solar3D, visit our website at
http://www.Solar3D.com.

DelMar Pharmacueticals Retains Sichenzia Ross Friedman Ference as Their Designated Advisor for Disclosure on OTCQX Exchange

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Sichenzia Ross Friedman Ference LLP Serves as DelMar Pharmacueticals ‘ Designated Advisor for Disclosure on OTCQX Exchange

PRESS RELEASE – December 2, 2014 — Global Newswire

New York based securities and corporate law firm, Sichenzia Ross Friedman Ference LLP announced today that it has served DelMar Pharmaceuticals Inc. (OTCQX: DMPI), a clinical and commercial stage drug development company, as their Designated Advisor for Disclosure (“DAD”) on their listing on the OTCQX marketplace exchange.

About Sichenzia Ross Friedman Ference LLP
Sichenzia Ross Friedman Ference LLP is a corporate and securities law firm that provides experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters. SRFF’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. SRFF also advises institutional investors on transactions involving complex securities law considerations. SRFF’s practice includes the representation of clients located in the United States and throughout the world. To learn more about SRFF, visit www.srff.com, SRFF’s LinkedIn, Twitter: @SRFFLLP and Facebook pages.

Blacksands Petroleum Announces Private Placement of $1.0 Million

Sichenzia Ross Friedman Ference LLP Represents Blacksands Petroleum on a Private Placement of $1.0 Million of Series C Convertible Preferred Stock

New York, NY – – (Global Newswire – November 3, 2014) – New York-based securities law firm Sichenzia Ross Friedman Ference LLP announced that it represented Blacksands Petroleum, Inc. (OTCQB: BSPE), an oil and gas exploration and production company, in a PIPE transaction with an accredited investor, whereby Blacksands sold 1,000,000 shares of Series C Convertible Preferred Stock, at a purchase price of $1.00 per share. The aggregate value of the offering was $1,000,000.

The Sichenzia Ross Friedman Ference LLP team was led by Partner Marc J. Ross, Partner James M. Turner and Associate Sharon A. Carroll.

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP is a corporate and securities law firm that provides experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters. SRFF’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. SRFF also advises institutional investors on transactions involving complex securities law considerations. SRFF’s practice includes the representation of clients located in the United States and throughout the world. To learn more about SRFF, visit www.srff.com, SRFF’s LinkedIn, Twitter: @SRFFLLP and Facebook pages.

HongKong Takung & Equity of Artworks Exchange Announces Reverse Merger With Cardigant Medical

Sichenzia Ross Friedman Ference LLP Advises HongKong Takung Assets and Equity of Artworks Exchange Co. Ltd., on a Reverse Merger with Cardigant Medical Inc.

Press Release – October 28, 2014 (Global Newswire) – New York-based securities law firm, Sichenzia Ross Friedman Ference LLP, announced that it has represented HongKong Takung Assets and Equity of Artworks Exchange Co.,Ltd. (“Takung”), a Hong Kong-based online platform for artists, art dealers and art investors to trade valuable artwork, in a reverse merger with U.S. company, Cardigant Medical, Inc. (“Cardigant”). The reverse merger was completed on October 20, 2014.

Pursuant to the reverse merger, Cardigant l acquired all the issued and outstanding capital stock of Takung and in exchange, Takung shareholders acquired 209,976,000 restricted shares of Cardigant’s common stock. Simultaneous with the reverse merger, all the remaining assets and operations of Cardigant were spun-off.

As a result of the reverse merger, Takung is now the sole wholly-owned operational subsidiary of Cardigant Takung management has taken over management of Cardigant.

“The successful completion of the merger represents a major milestone for Takung, positioning the company for growth and access to the capital market,” said Benjamin Tan, Partner who led the Sichenzia Ross Friedman Ference LLP team. “It is our honor and privilege to be instrumental in the reverse merger and wish Takung all the very best.”

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP is a corporate and securities law firm that provides experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters. SRFF’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. SRFF also advises institutional investors on transactions involving complex securities law considerations. SRFF’s practice includes the representation of clients located in the United States and throughout the world. To learn more about SRFF, visit www.srff.com, SRFF’s LinkedIn, Twitter: @SRFFLLP and Facebook page.

Sichenzia Ross Friedman Ference LLP Again Ranked As #1 PIPE Issuer Law Firm for 2014

New York, NY – (October 9, 2014) – Sichenzia Ross Friedman Ference LLP led the national PIPE league tables in the first three quarters of 2014 by ranking #1 as the most active issuer counsel in the industry-standard DealFlow Report and in PlacementTracker’s PIPE Market League Tables. Since 2004, when the firm was initially ranked as the #1 PIPE U.S. law firm, Sichenzia Ross has consistently maintained its position at the top of the national rankings. Additionally, Sichenzia Ross ranked as the fourth most active investor counsel and the seventh most active placement agent counsel for the first nine months of 2014.The DealFlow Report ranking reflects the strong position that Sichenzia Ross has been able to maintain in the market over the past year. In the first three quarters of 2014, the firm has represented 33 issuers in transactions totaling over $253 million.Additionally, Sichenzia Ross was ranked 1st in 2014 for issuer counsel transactions by Placement Tracker, a project of Sagient Research. According to Sagient, in the first three quarters of 2014, Sichenzia Ross has advised issuers on 23 transactions amounting to over $141 million.


*PIPEs Rankings are measured by the number of placements advised according to The DealFlow Report. Rankings include only PIPE transactions that have a value of at least $1.0 million. Visit the Sagient Research’s PlacementTracker’s League Tables to learn more about the PIPE Industry Tables.
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Sichenzia Ross in the news: “Three things that could go wrong with Alibaba IPO” (CNBC)

Three things that could go wrong with Alibaba IPO

 

There are any number of reasons to find Alibaba alluring: a global footprint, scads of cash and ownership that has its eyes focused firmly on future growth. That doesn’t mean, though, that the glittery initial public offering, which prices Thursday evening, is all gold. Indeed, there are at least three potential drawbacks investors should consider before banging at the door Friday to get a piece of what very likely will be the largest IPO ever.

1. It plays in China, but will it play in the U.S., too?

China-based Alibaba’s sales over the past year totaled nearly $300 billion, which dwarfs U.S. competitors like Amazon and eBay. But there’s still that nagging worry over whether it will connect with U.S. consumers, who in the past have been less than willing to buy into Chinese retailers of any sort.

“We think it’s going to be challenging for them to gain a lot of traction, at least directly, with Western and particularly U.S. consumers,” Scott Kessler, equity analyst at S&P Capital IQ, said in an interview. Indeed, there is a long and unpleasant history for Chinese companies in the West, whether it’s with consumers or investors. Publicly traded Chinese stocks gained just 7.9 percent from 1993 to 2013, a time when U.S. stocks returned 555 percent, according to calculations recently reported by The Associated Press.

“Just because the Western world is largely untapped for (Alibaba), suddenly there seems to be this massive potential,” Kessler added. “While that may be the case in some respects, we think it’s been very difficult for Chinese companies to make major inroads with Western and specifically U.S. consumers.”

2. And then there’s that whole China thing

Because of a long history of financial curiosities, Chinese companies carry their own special cloak of mystery. For Alibaba, it’s a little different, but still enough to give pause. No one is challenging the company’s riveting sales or profit figures, but there is some concern about the way Alibaba is headquartered in China but incorporated in the Cayman Islands. It’s certainly not the first company to do that—China prevents foreign ownership of company assets—but there are still some unique challenges.

For one, investors won’t own common shares, they’ll actually be buying American depositary receipts. FinancialWeb does a nice job of explaining the potential issues here:

One of the disadvantages of investing in an ADR is a lack of information. There is not as much information available about many foreign companies as there tends to be about domestic companies. This can increase your risk as an investor.Another disadvantage of investing in an ADR is that you have to worry about political conditions in the country where the company is located. This can add another layer of risk for you to be concerned with.

“Political conditions” in China obviously can be tenuous, but hopes are that Alibaba can overcome any China-related stigma.

“This may signify a born-again trust in Chinese companies, at least in the big bulge-bracket scale,” said Gregory Sichenzia, an IPO and securities lawyer with Sichenzia Ross Friedman Ference in New York. “What we’re hoping to see is that Alibaba does restore some confidence in investing in Chinese companies.

3. Of course, there’s been just a little bit of … HYPE!!!!

Yes, if you haven’t seen the headlines, Wall Street’s a little excited over this one, and we know these things don’t always end well. They don’t always begin so well, either.

In fact, Alibaba itself is highly conscious of the 2012 Facebook debacle, arguably the host-hyped IPO ever. The social network’s market debut was a disaster: Nasdaq failed to get trading off on time, underwriter Morgan Stanley priced the shares at the top of the expected range then had to scramble just to get the stock to break even on the opening day, and investors dumped Facebook shares for months after.

“The price seems to be creeping up every day,” Sichenzia said. “It’s getting expensive even as we speak, before it trades, which scares me a little bit. There is a lot of hype here. There is going to be a little bit of a bubble.” Alibaba took the unconventional step of listing a big tech company on the New York Stock Exchange instead of the Nasdaq. For that reason, and the Cayman Islands issue, Alibaba will not be included in most major indexes and thus most big exchange-traded funds, potentially limiting its liquidity.

Securities lawyer Andrew Stoltmann warned investors to consider all the potential pitfalls.”Investors should steer clear of the Alibaba IPO despite the breathtaking pitches of near-certain riches by their financial advisers and stockbrokers,” he said. “Thousands of investors have been burned and scammed by believing the hype when it comes to Chinese companies. Alibaba might be the next one to lure unsuspecting investors into large losses.”

CNBC Interviews Sichenzia Ross Partner Gregory Sichenzia: “Alibaba won’t pull page from Facebook IPO, but is it safe?”

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September 16, 2014
: CNBC interviewed Sichenzia Ross Friedman Ference LLP’s senior partner Gregory Sichenzia regarding possible legal implications of Alibaba’s upcoming initial public offering on the New York Stock Exchange. CNBC asked how Alibaba’s corporate domicile in the Cayman Islands could potentially affect investors; to which Sichenzia answered “If things go bad, the claim is against the Cayman company,” he said. “For an investor, it could be very frustrating to enforce your rights.” Visit here to read the rest of the article.

SRFF Ranked Number One PIPE Issuer Law Firm for the Second Quarter of 2014

New York, NY (July 17, 2014 ) – Sichenzia Ross Friedman Ference has again been ranked the number one PIPE issuer law firm in the nation for the second financial quarter of 2014 (April, May and June of 2014), as ranked by the industry-standard DEAL FLOW REPORT* . Since 2004, when the firm was initially ranked as the #1 PIPE law firm nationwide, Sichenzia Ross has completed approximately 500 such transactions valued at more than $3.0 billion, making it the #1 overall ranked firm for the period. The DEAL FLOW REPORT ranking reflects the strong position that Sichenzia Ross has been able to maintain in the market over the past sixteen years.

* PIPEs Rankings are measured by the number of placements advised according to The PIPEs Report and Privateraise.com. The rankings include only PIPE transactions that have a value of at least $1.0 million. For more information about PIPE rankings, go to www.privateraise.com.

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Sichenzia Ross Friedman Ference LLP Advises Aegis Capital Corp. on $1.8 million Public Offering of CollabRX, Inc.

collabNEW YORK, June 19, 2014 (GLOBE NEWSWIRE) — New York- based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Aegis Capital Corp. as the sole underwriter in a $1.8 million public offering for CollabRX, Inc. (NASDAQ: CLRX), a provider of cloud-based expert systems designed to inform healthcare decision-making. The underwriting was pursuant to a prospectus supplement to an effective S-3 registration statement. The offering consisted of 913,500 shares of common stock valued at $2.00 per share. The Sichenzia Ross Friedman Ference LLP team was led by partners Gregory Sichenzia, Marcelle Balcombe and associate Jeff Cahlon.

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Jeffrey J. Fessler named 2014 New York SmartCEO Attorney of the Year

JFessler_LinkedInNEW YORK, June 24, 2014 (GLOBE NEWSWIRE) — New York SmartCEO Magazine, in conjunction with Citibank, has named Sichenzia Ross partner, Jeffrey J. Fessler the New York 2014 Attorney of the Year.

The ESQ awards program was established to recognize the top attorneys who have made an outstanding impact on privately held companies. Fessler was chosen out of more than twenty finalists nominated regionally for the prestigious award. “SmartCEO’s dedication to the entrepreneurial and business community is impressive. I am grateful for their recognition and this is a great honor” Fessler said.

According to SmartCEO, an independent committee of local business leaders selected Fessler after reviewing submissions sent in from the entire New York region. All of the award finalists were celebrated at a ceremony in June and will be profiled in the July/August issue of SmartCEO Magazine. Watch this event video to learn more about the award and Mr. Fessler.

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP is a corporate and securities law firm that provides experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters. SRFF’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. SRFF also advises institutional investors on transactions involving complex securities law considerations. SRFF’s practice includes the representation of clients located in the United States and throughout the world. To learn more, visit www.srff.com

About SmartCEO

SmartCEO is an exclusive community of CEOs and business executives, highly regarded mentors and well-respected thought leaders whose experiences benefit their organizations and the communities in which they serve. SmartCEO’s mission is to educate and inspire the business community through the pages of its award-winning magazine, connections at C-level events and access to valuable online resources. To learn more, visit www.smartceo.com

Partners Gregory Sichenzia, Tom Rose and Associate Jay Yamamoto attend the NASDAQ Opening Bell with Fusion Telecommunications International Inc.

NEW YORK, June 9, 2014–Senior partners Gregory Sichenzia, Tom Rose, associate Jay Yamamoto and Fusion Telecommunications International Inc. (NASDAQ: FSNN) celebrated Fusion’s inaugural trading day by ringing the Monday morning opening bell of the NASDAQ stock exchange. The NASDAQ stock market is the second largest stock exchange in the world by market capitalization. To learn more, watch the event video here

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16th Anniversary of Sichenzia Ross Friedman Ference LLP – A History of Unwavering Excellence

We are proud to announce that today marks the 16th anniversary of the founding of Sichenzia Ross Friedman Ference LLP. SRFF was founded in 1998, and all of its original founding partners are with the firm today. This commitment is echoed by the stability of our attorneys and our long-term relationships with our clients—some of which have been with SRFF since our inception. We are grateful for such deep-rooted client partnerships and for our enduring relationships with the New York City community and our supporters.

Sichenzia Ross Friedman Ference LLP Again Ranked Number One PIPE Issuer Law Firm for 2014

Firm Has Been the Nation’s Leader in PIPEs Transactions Since 2004

Also Ranked Among the Leaders as Investor and Placement Agent Counsel

New York, NY (April 24, 2014 ) – Sichenzia Ross Friedman Ference LLP (SRFF) has again been ranked the number one PIPE issuer law firm in the nation for YTD 2014, as ranked by the industry-standard DEAL FLOW REPORT. continue reading >>

Sichenzia Ross Friedman Ference LLP Advises Scilex Pharmaceutical, Inc. on $5 Million Private Placement Transaction

NEW YORK, March 20, 2014 – New York- based securities law firm, Sichenzia Ross Friedman Ference LLP, acted as counsel to Malvern Pa.-based Scilex Pharmaceuticals, Inc. a company engaged in transdermal delivery systems with its recently completed private placement of units consisting of common stock and warrants. The Company raised an aggregate of $5.0 Million. Aegis Capital Corp. acted as the placement agent the offering. The Sichenzia Ross Friedman Ference LLP team was led by Jeffrey Fessler and Marcelle Balcombe

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP are corporate and securities lawyers that provide experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters. SRFF’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. SRFF also advises institutional investors on transactions involving complex securities law considerations. SRFF’s practice includes the representation of clients located in the United States and throughout the world.

Sichenzia Ross Friedman Ference LLP Advises Can-FiteBioPharma Ltd. on $5 Million PIPE Transaction

NEW YORK, March 11, 2014 – New York- based securities law firm, Sichenzia Ross Friedman Ference LLP, acted as counsel to Israel based Can-Fite BioPharma Ltd. (TASE CFBI and CANF NYSE MKT) an advanced clinical stage drug development company with its recently completed private placement of American Depository Receipts (“ADR’s”) each of which consist of two Ordinary Shares. The Company raised approximately $5 Million. Roth Capital Partners acted as the placement agent the offering. The Sichenzia Ross Friedman Ference LLP team was led by Gregory Sichenzia and Gary Emmanuel.

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP are corporate and securities lawyers that provide experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters. SRFF’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. SRFF also advises institutional investors on transactions involving complex securities law considerations. SRFF’s practice includes the representation of clients located in the United States and throughout the world.

Sichenzia Ross Friedman Ference LLP Advises Aegis Capital Corp. on $10 million Secondary Public Offering and NASDAQ Listing of SMPT, Inc.

NEW YORK, February 5, 2014 (GLOBE NEWSWIRE) — New York- based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Aegis Capital Corp. as sole underwriter in a $10.0 million secondary public offering and NASDAQ listing for SMPT, Inc.(“SMPT. NASDAQ”). The underwriting was pursuant to a to an effective S-1 registration statement. The offering consisted of 1,600,000 shares at an offering price of $.6.25 per share. The Sichenzia Ross team was led by partners Gregory Sichenzia and Marcelle Balcombe.

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Sichenzia Ross advises Del Mar Asset Management Ltd. on $5 million purchase of Common Stock of Patent Properties, Inc. from Walker Digital LLC.

NEW YORK, January 24, 2014 – New York- based securities law firm, Sichenzia Ross Friedman Ference LLP, acted as counsel to New York, New York-based Del Mar Asset Management Ltd. in the purchase of $5 million of Common Stock of Patent Properties, Inc. (PPRO. OTCQB), an intellectual property company that develops and commercializes a unique portfolio of assets, from Walker Digital LLC. Broadband Capital Management LLC., acted as the placement agent the offering. The Sichenzia Ross team was led by Gregory Sichenzia and Jay Yamamoto.

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP are corporate and securities lawyers that provide experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters. SRFF’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. SRFF also advises institutional investors on transactions involving complex securities law considerations. SRFF’s practice includes the representation of clients located in the United States and throughout the world.

Sichenzia Ross Friedman Ference LLP Advises Fusion Telecommunications International, Inc. on $22.5 Million PIPE Transaction

NEW YORK, January 24, 2014 – New York- based securities law firm, Sichenzia Ross Friedman Ference LLP, acted as counsel to New York, New York-based Fusion Telecommunications International, Inc., (FSNN. OTCQB) an emerging leader in cloud services in connection with its recently completed private placement of units consisting of common stock and warrants. The Company raised an aggregate of $22.5 Million,. Aegis Capital Corp. acted as the placement agent the offering. The Sichenzia Ross team was led by Gregory Sichenzia and Thomas Rose.

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP are corporate and securities lawyers that provide experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters. SRFF’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. SRFF also advises institutional investors on transactions involving complex securities law considerations. SRFF’s practice includes the representation of clients located in the United States and throughout the world.

Sichenzia Ross Friedman Ference LLP Advises Aegis Capital Corp. on $4.0 million Secondary Public Offering of Intellicheck Mobilisa, Inc.

NEW YORK, January 8, 2014 (GLOBE NEWSWIRE) — New York- based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Aegis Capital Corp. as sole underwriter in a $4.0 million secondary public offering for Intellicheck Mobilisa (“IDN” NYSE MKT. The underwriting was pursuant to a prospectus supplement to an effective S-3 registration statement. The offering consisted of 8,947,000 shares including the underwriter’s overallotment option at an offering price of $.45 per share. The Sichenzia Ross team was led by partners Gregory Sichenzia and Marcelle Balcombe.

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212-930-9700

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Sichenzia Ross Friedman Ference LLP Advises Vuzix Corporation on $8.05 Million Public Offering

NEW YORK, August 6, 2013 – New York- based securities law firm, Sichenzia Ross Friedman Ference LLP, acted as counsel to Rochester, New York-based Vuzix Corporation., a leading supplier of video eyewear products in the consumer, commercial and entertainment markets, in connection with its recently completed underwritten public offering of common stock and warrants. The Company raised an aggregate of $8.05 Million, inclusive of the over-allotment option. Aegis Capital Corp. acted as the sole underwriter in the offering. The Sichenzia Ross team was led by Gregory Sichenzia, Tara Guarneri-Ferrara and Jeff Cahlon.

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP are corporate and securities lawyers that provide experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters. SRFF’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. SRFF also advises institutional investors on transactions involving complex securities law considerations. SRFF’s practice includes the representation of clients located in the United States and throughout the world.

Sichenzia Ross Friedman Ference LLP Advises J.P. Turner & Company, L.L.C on $4.0 million Secondary Public Offering for Authentidate Holding Corp.

NEW YORK, June 12, 2013 (GLOBE NEWSWIRE) — New York- based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented J.P. Turner & Company as sole underwriter in a $4.0 million secondary public offering for Authentidate Holding Corp. (“ADAT” NASDAQ). continue reading >>

Sichenzia Ross Friedman Ference LLP Advises Rightscorp Inc. on Reverse Merger and $1.0M Financing

NEW YORK, October 30, 2013 (GLOBE NEWSWIRE) — New York- based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Rightscorp Inc. (OTC QB: RIHT), a software company that monitors the global Peer-to-Peer file sharing networks for illegally downloaded digital media, in a reverse merger and $1.0 million private placement financing. continue reading >>

Sichenzia Ross Friedman Ference LLP Advises Synergy Pharmaceuticals, Inc. on $90 Million Public Offering

New York based securities law firm, Sichenzia Ross Friedman Ference LLP, acted as counsel to New York-based Synergy Pharmaceuticals, Inc., a biopharmaceutical company focused primarily on the development of drugs to treat gastrointestinal disorders, in connection with its recently completed underwritten public offering of common stock. The Company raised an aggregate of $90 Million, inclusive of the over-allotment option. Credit Suisse, Citigroup and Canaccord Genuityacted as the joint book running managers in the offering.

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP are corporate and securities lawyers that provide experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters. SRFF’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. SRFF also advises institutional investors on transactions involving complex securities law considerations. SRFF’s practice includes the representation of clients located in the United States and throughout the world.

Sichenzia Ross Friedman Ference LLP Advises Synergy Pharmaceuticals, Inc. on $103 Million Public Offering.

New York based securities law firm, Sichenzia Ross Friedman Ference LLP, acted as counsel to New York-based Synergy Pharmaceuticals, Inc., a biopharmaceutical company focused primarily on the development of drugs to treat gastrointestinal disorders, in connection with its recently completed underwritten public offering of common stock. The Company raised an aggregate of $103 Million, inclusive of the over-allotment option. Credit Suisse, Citigroup and Canaccord Genuityacted as the joint book running managers in the offering.

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP are corporate and securities lawyers that provide experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters. SRFF’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. SRFF also advises institutional investors on transactions involving complex securities law considerations. SRFF’s practice includes the representation of clients located in the United States and throughout the world.

Sichenzia Ross Friedman Ference LLP To Sponsor the 25th Annual Roth OC Conference from March 17th – 20th in Dana Point, CA

New York, NY (March 13, 2013) – Sichenzia Ross Friedman Ference LLP (SRFF) today announced its participation as a Silver Sponsor for the 25th Annual Roth OC Conference to be held at the Ritz Carlton in Dana Point, California from March 17th – 20th. This conference is hosted by Roth Capital Partners, an investment banking firm, headquartered in Newport Beach, CA, dedicated to the small-cap public market. continue reading >>

5 Reasons Why Equity-Based Crowdfunding Under the JOBS Act Won’t Work

There’s so much hype surrounding crowdfunding and for good reason. Stories like the one of Ouya, a game console developer that raised $950,000 in just 8 hours on Kickstarter capture our imaginations. In 2012 alone, over 2 million people pledged approximately $319 million on Kickstarter while global crowdfunding is predicted to grow to $6 billion in 2013.

So far so good. But existing crowdfunding models are based on donation and reward based models where backers donate money to projects with no prospect of enjoying the upside of a successfully funded crowdfunding project. That’s where equity-based crowdfunding comes in. Rather than donate money in a crowdfunded business, backers, or more precisely, investors, invest money in the business and in return receive shares or other similar equity interests in the business with the prospect of sharing in the upside. It sounds simple but raising money from investors in this way requires compliance with the securities laws which until the enactment of the JOBS Act last April were ill-equipped to accommodate this kind of money-raising.

With the passing of the JOBS Act, equity-based crowdfunding will become legal once the SEC issues its crowdfunding rules (which we are still waiting for) to fill in the gaps left by Congress. Nevertheless, regardless of the make-up of the SEC’s rules, equity-based crowdfunding under its current formulation in the JOBS Act, is not a viable model. Here’s five reasons why:

1. There are limits on the amounts that can be raised

What if a crowdfunding offering were to enjoy the kind of success that Ouya experienced? After raising almost $1 million in its first 8 days, Ouya went on to raise a further $7.5 million in less than a month. Under the JOBS Act however, companies conducting equity-based crowdfunding are limited to raising just $1 million in a twelve-month period. This may sound like a lot of money to a mom and pop type business but if you are like Ouya that requires large expenditures on R&D or are otherwise capital intensive, $1 million will not go very far.

2. How do you manage 100s or 1000s of investors?

Crowdfunding is premised on large numbers of investors investing small amounts of money. Managing 100s or even 1000s of investors is going to present real challenges for equity-based crowdfunded companies. Corporate formalities such as holding shareholder meetings and maintaining up-to-date shareholder records have the potential to become administrative nightmares. And how does one handle the $100 investors who think that their stake in the company entitles them to weekly update calls with the CEO? Is it realistic to expect a startup to dedicate disproportionate amounts of time to investor relations when time could be better spent building the business?

3. Costs of compliance will be disproportionately high

Unlike donation-based crowdfunding, certain legal requirements must be met in order to comply with the rules that govern equity-based crowdfunding. The underlying rationale of the equity-based crowdfunding rules is the prevention of fraud. To that end, among other things, companies will be required to prepare disclosure documents detailing the terms of the offering, the risks involved and information about the company and management. In addition, companies will have to provide financial statements that in some cases will need to be audited. The time and cost of hiring professionals to prepare these documents is likely to be in the thousands or even tens of thousands of dollars not to mention other costs such as fees of the crowdfunding platform that will host the offering.

4 Crowdfunding will create significant legal exposure for companies and their management

If a company undertakes the task of drafting the disclosure documents themselves to save on costs, the likely byproduct of which is sloppy drafting, then there is an increased risk of getting sued for having misled investors. This risk is compounded threefold. First, by the JOBS Act itself that makes available an investor-friendly remedy against a company and its management for material misstatements and omissions. Second, by virtue of the fact that less sophisticated investors have less capacity to lose money and therefore a greater incentive to sue or at least threaten to sue. And third, statistically 25% of startups will fail within the first year resulting in a greater likelihood of disgruntled investors.

5. Who will want to invest in a company that has been crowdfunded?

Raising capital for a company is usually not a one-off event. Once the crowdfunding option has been exhausted and a company seeks traditional means of raising capital, will sophisticated investors such as VCs and angel investors really want to put their money into a crowdfunded company that is burdened with the types of problems discussed above?

In short, donation-based crowdfunding works in part because the access created by online crowdfunding platforms such as Kickstarter to large pools of potential backers is unimpeded from both a technological and legal standpoint. However standing in between a company and large pools of potential investors in equity-based crowdfunding are burdensome regulatory requirements which while having the noble aim of protecting investors from fraud ultimately will have the effect of impeding access to capital. If Ouya were to have launched an equity-based crowdfunding money raise, its doubtful that we’d be seeing their first delivery of consoles this March.

The information in this article is of a general nature and should not be relied upon as legal advice.

 

Follow Gary Emmanuel on Twitter: www.twitter.com/securitiesattny

Hurricane Sandy Update

To all our clients and friends,

As of this morning, November 5, 2012, many of us at Sichenzia Ross Friedman Ference LLP (“SRFF”) are returning to the office and available to resume assisting with your legal and business needs. We apologize for any inconvenience or delay in services that you may have experienced. Power was out at both our offices and our remote disaster recovery backup location. Fortunately, our systems all worked the way they were supposed to, and some of us were able to provide services throughout last week while working remotely.

We now have our phone and backup internet access restored, but our primary internet access is still out due to a Verizon substation being out of commission. Again, we apologize if this causes any delays in communications or services to you, and assure each of you that we are working tirelessly to restore full and uninterrupted services.

In addition, we all experienced varying degrees of outages and/or losses of property at our homes. In some cases, our homes still do not have power or heat, and our children still do not have school. Fortunately, however, all of us at SRFF are safe and sound. Of course, we are the lucky ones. We are working on a plan to assist those in the tri-state area that are far less fortunate than us, many of whom have lost their homes and are still without power, heat or water. We sincerely hope that each of you, including your families and friends, who were affected by Hurricane Sandy, are safe, sound and have sustained minimal damages.

We wish to thank all of you who have reached out to us over the last few days to offer your support. We are deeply appreciative.

We also look forward to speaking with each of you shortly and getting back to what we know and do best – providing our clients with a personalized focus and helping them to reach their goals in an expeditious, cost-effective and informed manner.

Sincerely,

Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP Advises Ladenburg Thalmann & Co. Inc. on $1 Million Secondary Public Offering for Arca Biopharma, Inc.

NEW YORK, August 2, 2012 (GLOBE NEWSWIRE) — New York- based securities law firm Sichenzia Ross Friedman Ference LLP announced that it has represented Ladenburg Thalmann & Co. Inc., as sole Placement Agent in a $1 million secondary public offering for Arca Biopharma, Inc. (“ARCA” NASDAQ). continue reading >>

Sichenzia Ross Friedman Ference LLP Advises Aegis Capital Corp on $17.5 million Secondary Public Offering for Ampio Pharmaceuticals, Inc.

NEW YORK, July 12, 2012 (GLOBE NEWSWIRE) — New York- based securities law firm, Sichenzia Ross Friedman Ference LLP announced that it has represented Aegis Capital Corp and Fordham Financial Management, Inc.as co- managing underwriters in a $17.5 million secondary public offering for Ampio Pharmaceuticals, Inc. (“AMPE” NASDAQ). continue reading >>

Sichenzia Ross Friedman Ference LLP Launches New Website

NEW YORK, June 20, 2012 (GLOBE NEWSWIRE) — Sichenzia Ross Friedman Ference LLP (SRFF) (www.srff.com), a law firm that provides experienced and professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters, today announced that it has launched a new website and other social media outlets as part of its new Get Connected platform, which is intended to help enable corporate professionals, investors and the public to have elevated discussions and get questions answered regarding the securities markets and developments and new rule proposals in securities laws. SRFF selected Equisolve to host and manage their corporate website. As the securities industry continues to evolve and more investors directly participate in the financial markets, the media has focused primarily on the financial markets and how they are regulated. As a leader in securities law, SRFF is stepping forward to help clearly articulate how new regulations may impact the world around us and to directly address questions on these topics.

SRFF’s Get Connected platform is designed to make it easier for its clients as well as the general public to access the brain-trust of one of the top securities firms in the nation regarding different aspects of the most current securities laws and financial markets issues. With a newly designed Website, as well as Twitter feed, Facebook and LinkedIn profile, SRFF is ready to help everyone understand and navigate a little more clearly and effortlessly the securities markets and the world of securities laws.

SRFF invites everyone to fan, like, connect, link and tweet and become members of their sites and pages with the Get Connected platform. SRFF welcomes you to sign up at www.srff.com/alerts to receive the most up to date client alerts. SRFF plans to post messages that help clients and the public become aware of new securities regulations, updates on proceedings and comprehensive information pertaining to securities practice. The firm will also announce other events they participate in including bell ringings and conferences that SRFF attends and sponsors.

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP (www.srff.com) are corporate and securities lawyers that are headquartered in New York City and offer a full range of financial and business legal service. SRFF specializes in advising business entities on all securities matters including public offerings, private investment in public entities (PIPEs) deals and international reverse merger transactions. SRFF is also nationally recognized as a leading firm for representation of broker-dealers and securities industry professionals in SEC and FINRA enforcement proceedings as well as securities litigation and arbitration. The Firm is a recognized leader in PIPEs transactions for publicly traded companies and has completed over 400 deals to date, totaling over $2.5 billion since 2001. SRFF maintains dedicated international corporate practice groups and is acknowledged for legal excellence, sectoral expertise and a strong commitment to innovation and client service. In 2012, SRFF added a sports and entertainment law practice group.

About Equisolve

Founded in 2006 and serving more than 200 clients, Equisolve is the leading provider of website and mobile solutions to public companies. Equisolve transforms the online presence of a public company into a powerful tool to attract and retain investors and drive sales. Our proprietary CMS platform uniquely combines the management of the corporate website, IR website, mobile investor relations apps, and social media, allowing Equisolve to cost-effectively manage, market and measure a successful online presence from IR effectiveness through sales. With 26 server locations in 12 countries, Equisolve’s world-class infrastructure provides a fast, reliable and secure platform to meet the needs of any company. For more information visit www.equisolve.com

Sichenzia Ross Friedman Ference LLP Advises Trovagene, Inc. on $10.58 Million Public Offering

New York based securities law firm, Sichenzia Ross Friedman Ference LLP, acted as counsel to San Diego-based Trovagene, Inc., a development stage molecular diagnostic company that focuses on the development and marketing of urine-based nucleic acid tests for patient/disease screening and monitoring, in connection with its recently completed underwritten public offering of common stock. The Company raised an aggregate of $10.58 Million, inclusive of the over-allotment option. Aegis Capital Corp. acted as the representative of the underwriters in the offering.

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP are corporate and securities lawyers that provide experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters. SRFF’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. SRFF also advises institutional investors on transactions involving complex securities law considerations. SRFF’s practice includes the representation of clients located in the United States and throughout the world.

Sichenzia Ross Friedman Ference LLP Advises Synergy Pharmaceuticals Inc. on $51.75 Million Public Offering

New York based securities law firm, Sichenzia Ross Friedman Ference LLP, acted as counsel to New York-based Synergy Pharmaceuticals Inc., a biopharmaceutical company focused primarily on the development of drugs to treat gastrointestinal disorders and diseases, in connection with its recently completed underwritten public offering of common stock pursuant to Synergy’s shelf registration statement. The Company raised an aggregate of $51.75 million, inclusive of the over-allotment option. Aegis Capital Corp. acted as the representative of the underwriters in the offering.

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP are corporate and securities lawyers that provide experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters. SRFF’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. SRFF also advises institutional investors on transactions involving complex securities law considerations. SRFF’s practice includes the representation of clients located in the United States and throughout the world.

Sichenzia Ross Friedman Ference LLP Recognized as Number One PIPE Issuer Law Firm for 2011

Firm Has Been the Nation’s Leader in PIPEs Transactions Since 2004

New York, NY (January 18, 2012) – Sichenzia Ross Friedman Ference LLP (SRFF) has again earned the title of leading PIPE issuer law firm in the nation, as ranked by the industry-standard PIPEs Report and Placement Tracker. 2011 marked the 8th consecutive year the firm has ranked #1. The Firm was also among the leaders in the representation of both Investors and Placement Agents, by the number of deals advised.

The PIPES Report ranking reflects the strong growth SRFF has continued to demonstrate over the past year. In 2011, the firm represented 40 issuers in transactions totaling $177.48 million for an average of $5.1 million per transaction. Since 2004 when the firm was initially ranked as the #1 PIPE law firm nationwide, the Firm has completed approximately 400 such transactions valued at more than $2.5 billion.

In addition to the PIPEs Report’s top standing, SRFF was also ranked 1st in 2011 for issuer counsel transactions by PlacementTracker, a project of Sagient Research. According to Sagient, SRFF’s PIPE transactions overall reached $144 Million with a total of 37 transactions in 2011. Sagient’s rankings also indicate that SRFF has now completed over $2 Billion in PIPEs transactions for its clients.

About Sichenzia Ross Friedman Ference LLP.

Sichenzia Ross Friedman Ference LLP is headquartered in New York City and offers a full range of financial and business legal service. SRFF specializes in advising business entities on all securities matters including public offerings, private investment in public entities (PIPEs) deals and international reverse merger transactions. SRFF is also nationally recognized as a leading firm for representation of broker-dealers and securities industry professionals in SEC and FINRA enforcement proceedings as well as securities litigation and arbitration. The Firm is a recognized leader in PIPEs transactions for publicly traded companies and has completed over 400 deals to date, totaling over $2.5 billion since 2001. SRFF maintains dedicated international corporate practice groups and is acknowledged for legal excellence, sectoral expertise and a strong commitment to innovation and client service.

For more information, visit www.srff.com.

For interview and media requests, contact Richard Friedman at 212-930-9700.

* PIPEs Rankings are measured by the number of placements advised according to The PIPEs Report and Privateraise.com . The rankings include only PIPE transactions that have a value of at least $1.0 million. For more information about PIPE rankings, go to www.privateraise.com .

Sichenzia Ross Friedman Ference LLP Advises Fordham Financial on $9.4 million Registered Direct Offering for Ampio Pharmaceuticals.

NEW YORK, December 27, 2011 — New York-based securities law firm, Sichenzia Ross Friedman Ference LLP, announced that it has represented Fordham Financial Management, Inc., as lead placement Agent in a $9.4 million registered direct offering for Ampio Pharmaceuticals, Inc. (NASDAQ: “AMPE”). The offering was placed off an effective S-3 Registration Statement. Summer Street Research Partners and Emerging Growth Equities, Ltd. acted as co- placement agents for the offering. The offering consisted of 2,220,235 shares of common stock at an offering price of $4.25 per share.

“We are pleased for the opportunity to represent Fordham Financial and the other placement agent’s in their support of Ampio,” said Gregory Sichenzia, founding partner of the firm. “This marks the third public offering for a publicly traded pharmaceutical company SRFF has advised on this month.” Earlier, the firm had represented Synergy Pharmaceuticals, Inc. (NASDAQ: “SGYP”) in a $15 million underwritten public offering by Aegis Capital Corp. and Early Bird Capital, Inc., and had represented the underwriter on a $6 million public offering for Novelos Therapeutics, Inc. (“NVLT.OB”).

“Our legal representation in 3 public offerings in one month in the same market sector is significant because it shows promise for additional financings for health care companies in 2012” commented Jeff Fessler, a partner at SRFF.

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP is headquartered in New York City and offers a full range of financial and business legal service. SRFF specializes in advising business entities on all securities matters including public offerings, private investment in public entities (PIPEs) deals and international reverse merger transactions. SRFF is also nationally recognized as a leading firm for representation of broker-dealers and securities industry professionals in SEC and FINRA enforcement proceedings as well as securities litigation and arbitration. The Firm is a recognized leader in PIPEs transactions for publicly traded companies and has completed over 400 deals to date, totaling over $2.5 billion since 2001. SRFF maintains dedicated international corporate practice groups and is acknowledged for legal excellence, sectoral expertise and a strong commitment to innovation and client service.

Sichenzia Ross Friedman Ference LLP Recognized as America’s Number One PIPE Issuer Law Firm for 2010

Firm Has Been the Nation’s Leader in PIPEs Transactions Since 2004

New York, NY (February 3, 2011) – Sichenzia Ross Friedman Ference LLP (SRFF) has again earned the title of leading PIPE issuer law firm in the nation, as ranked by the industry-standard PIPEs Report and Placement Tracker. This top position is not new to SRFF, as the close of 2010 marked the 7th consecutive year the firm has ranked #1. The Firm was also the 6th leading firm, by the number of deals advised, in the representation of Placement Agents.
The PIPES Report ranking reflects the strong growth SRFF has continued to demonstrate over the past year. In 2010, the firm represented 34 issuers in transactions totaling $174.4 million for an average of $5.1 million per transaction. Since 2004 when the firm was initially ranked as the #1 PIPE law firm nationwide, the Firm has completed approximately 350 such transactions valued at more than $2 billion. In the category of Placement Agent representation, the Firm was credited with having represented Placement Agents on 8 transactions totaling $197.7 million for an average of $24.7 million per transaction.
While the 2010 totals are still less than the 62 PIPEs transactions the Firm completed in 2007 or the 70 transactions recorded in 2006, it is an impressive accomplishment and marks a definite rebound from the lows of 2008. “Over the past year, we have seen companies engage in an increasing amount of public and registered direct offerings, especially among Chinese issuers, as investors demand for these companies, as well as transactions that provide more liquidity, has risen. This increase in these other forms of financing offset the decrease in PIPEs activity for the year.
In addition to the PIPEs Report’s top standing, SRFF was also ranked 1st in 2010 for issuer counsel transactions by PlacementTracker, a project of Sagient Research. According to Sagient, SRFF’s PIPE transactions overall reached $143 Million with a total of 27 transactions in 2010. Sagient’s rankings also indicate that SRFF has now completed over $2 Billion in PIPEs transactions for its clients.

“We view this recognition both as a symbol of our firm’s achievement and as evidence of our status as the premier law firm for corporate finance transactions,” Sichenzia concluded. “As the economy continues to recover and the types of financing available to companies evolves, including the expansion of the PIPEs market to larger companies as well as the availability of public and registered direct offerings to emerging and growing companies, we anticipate that 2011 will provide us with further opportunities to assist businesses in their capital-raising activities.”

Sichenzia Ross Friedman Ference LLP (SRFF) is headquartered in New York and offers a full range of financial and business legal services. SRFF specializes in advising corporations on all securities matters including public offerings, private investment in public entities (PIPEs) deals and international reverse merger transactions. The Firm is a recognized leader in PIPEs transactions for publicly traded companies and has completed over 350 deals to date, totaling over $2.0 billion since 2001. SRFF maintains dedicated Asian and Israeli corporate practice groups and is acknowledged for legal excellence, sectoral expertise and a strong commitment to innovation and client service. For more information, visit www.srff.com. For interview and media requests, contact Richard Friedman at 212-930-9700.

* PIPEs Rankings are measured by the number of placements advised according to The PIPEs Report and Privateraise.com. The rankings include only PIPE transactions that have a value of at least $1.0 million. For more information about PIPE rankings, go to www.privateraise.com.

SRFF Clients To Ring The Opening Bell At NYSE And NASDAQ On The Same Day

Cereplast and China Education Alliance To Open the Market at NASDAQ and NYSE, Respectively, on August 26, 2010

Sichenzia Ross Friedman Ference LLP (SRFF), a leading securities law firm headquartered in New York specializing in corporate and securities law, announced today that two of its clients will ring the opening bell on the same day, August 26, at NYSE and NASDAQ in celebration of their respective listings. SRFF represented both Cereplast, Inc. (NASDAQ: CERP) and China Education Alliance, Inc. (NYSE: CEU) throughout the exchange listing process.

SRFF specializes in advising corporations on all securities matters including public offerings (IPOs and secondary offerings), mergers and acquisitions, corporate finance, private investment in public entities (PIPEs) deals, and international reverse merger transactions. The Firm’s Corporate and Securities practice assists clients in navigating the complex U.S. regulatory landscape and advises them on federal and state securities laws during the exchange listing process.

“We are honored to have our clients opening the NYSE and NASDAQ, on August 26, to celebrate their listings. This reflects SRFF’s commitment to helping companies gain access to the U.S. capital markets by guiding them through the listing process,” said Gregory Sichenzia, founding partner of SRFF. It also further demonstrates our expertise in serving the unique needs of small and mid cap issuers.”

A live webcast of Frederic Scheer, CEO and Chairman of Cereplast, Inc. ringing the NASDAQ Opening Bell will be available at 9:29 a.m. ET on August 26, 2010 at http://www.nasdaq.com/about/marketsitetowervideo.asx.

A live webcast of Xiqun Yu, Founder, Chairman and CEO of China Education Alliance, Inc. ringing the NYSE Opening Bell will be available at 9:29 a.m. ET on August 26, 2010 at http://www.nyse.com/events/1282559150180.html.

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP (SRFF) is headquartered in New York and offers a full range of financial and business legal services. SRFF specializes in advising corporations on all securities matters including public offerings, private investment in public entities (PIPEs) deals and international reverse merger transactions. The Firm is a recognized leader in PIPEs transactions for publicly traded companies and has completed over 300 deals to date, totaling approximately $1.5 billion since 2001. SRFF maintains dedicated Asian and Israeli corporate practice groups and is acknowledged for legal excellence, sectoral expertise and a strong commitment to innovation and client service. For more information, visit www.srff.com.

For media inquiries, please contact:
Bari Trontz
Trontz Public Relations
212-293-9051
bari@trontzpr.com

Sichenzia Ross Friedman Ference LLP’s Israel Practice Group Is Engaged by Israeli Investment Company to Form U.S. Based Equity Fund

Sichenzia Ross Friedman Ference LLP (“SRFF”), a New York based corporate and securities law firm with a growing Israel Practice Group, has been engaged by an Israeli group to form a U.S. based investment fund, named Bright Opportunities Fund (the “Fund”). SRFF has been engaged to establish and advise the Fund, and to assist with the Fund’s primary purpose of future investments in Israeli companies becoming public in the U.S.

SRFF’s Israel Practice Group, which was established in 2008, includes Marc J. Ross, a founding partner of SRFF, and Jonathan R. Shechter, an Israeli associate. By including attorneys fluent in Hebrew and raised in Israel, the Israel Practice Group is uniquely able to assist Israeli companies become public in the U.S., and to augment the Israeli clientele of SRFF in cross-border financing transactions, organic direct public offerings, as well as mergers and acquisitions.

According to Marc Ross, “We have seen a marked increase in activity from Israeli companies wanting to take advantage of the U.S. markets, as the U.S. markets have recovered, and we are very excited to have this opportunity to work with the Fund and bring more promising Israeli companies to the U.S. markets.”

“We have seen some remarkable companies emerge from Israel over the past few months, and are pleased with their decision to engage us as their legal counsel in the U.S.,” remarked Jonathan Shechter. “Our Israeli practice is committed to assisting these companies overcome all boundaries to reaching the U.S. market.”

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP provides experienced professional representation in all matters involving the securities industry as well as general corporate and litigation matters. The Firm’s areas of expertise include corporate and commercial transactions, securities litigation, arbitration, administrative practice before regulatory agencies, mergers and acquisitions and broker-dealer regulation. The Firm also has a nationally ranked PIPEs practice, which has been ranked number #1 as the most active PIPE issuer law firm from 2004 through the present, and also has a specialized Asian and Israeli practice groups. For more information about the firm, visit www.srff.com.

Marc J. Ross Is Selected One of the Top Ten Lawyers by Chartis Insurance.

New York, NY (October 6, 2009) – Marc J. Ross, a founding member of Sichenzia Ross Friedman Ference LLP, was named one of the Top Ten Lawyers by Chartis Insurances (Chartis). Chartis is a global insurance leader, with a 90-year history, which serves more than 40 million clients in over 160 countries and jurisdictions.

Through its Errors and Omissions policies, Chartis insures many of America’s brokerage firms as well as persons associated with those firms. Each year, Chartis honors ten lawyers who, in the view of its claims organizations, provide excellent legal service to the Chartis member companies and its insureds. This year it selected Marc J. Ross as one of those ten top lawyers.

Marc Ross, along with the other nine recipients of this distinguished award, will be honored in conjunction with the Annual Meeting of the Defense Research Institute (DRI) to be held on October 7, 2009 in Chicago, IL. DRI is the international organization of attorneys defending the interests of business and individuals in civil litigation.

About Marc J. Ross

Marc Ross regularly represents clients across the country appearing in both federal and state courts from routine lawsuits to highly complex federal securities cases, including high-profile multi-district class actions. Marc Ross also regularly represents clients in arbitration proceedings before the Financial Industry Regulatory Authority (FINRA) and other agencies, like the American Arbitration Association (AAA), and guides clients through the arduous process of civil regulatory and possibly criminal investigations, whether the client is the subject of an investigation by a self-regulatory organization (e.g., FINRA), a state agency (e.g., the NY Attorney General’s Office), or a federal agency (e.g., the SEC or the US Attorneys’ Office).

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP provides experienced professional representation in all matters involving the securities industry as well as general corporate and litigation matters. The Firm’s areas of expertise include corporate and commercial transactions, securities litigation, arbitration, administrative practice before regulatory agencies, mergers and acquisitions and broker-dealer regulation. The Firm also has a nationally ranked PIPEs practice, which has been ranked number 1 as the most active PIPE issuer law firm from 2004 through the present, and also has specialized Asian and Israeli practice groups. For more information about the firm, visit www.srff.com.

Sichenzia Ross Friedman Ference LLP Achieves Milestone Of 300th PIPE Transaction

Sichenzia Ross Friedman Ference LLP announced today that it has reached a milestone in its PIPEs practice, having advised on their 300th PIPE transaction of over $1 million as issuer’s counsel. PIPE transaction information and numbers are calculated and recorded by Private Raise, a subsidiary of Deal Flow Media (www.dealflow.com).

SRFF, which is ranked number 1 of 946 law firms surveyed in this category, has been ranked as the most active PIPE issuer law firm from 2004 through 2008, and is currently ranked as the most active PIPE issuer law firm year-to-date in 2009 with 26 such transactions completed thus far. Since 2004, the Firm has been credited with 300 such transactions, which have resulted in aggregate gross proceeds of approximately $1.5 billion with an average transaction size of approximately $4.75 million. For the last six years, SRFF has been in the forefront of the PIPEs market and has served as an advocate for small- and mid-sized public companies seeking the financing required to help them grow and expand their business.

“The market has certainly changed over the last year, and while other strategies including secondary public offerings and underwritten registered direct offerings present alternatives to PIPEs, we still believe this traditional type of financing will be an integral resource for small public companies,” said Richard Friedman, Managing Partner of Sichenzia Ross Friedman Ference LLP. “We are proud that we have been instrumental in this marketplace for nearly six consecutive years and our 300th PIPE transaction milestone is a testament to our commitment to helping public companies secure financing.”

Private investment in public equity (PIPE) transactions involve the selling of restricted securities of publicly traded companies, generally in the form of either common stock, preferred stock or convertible securities to private investors.

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP (SRFF) has led the nation in representing public companies in private financing transactions since 2004. The New York-based firm has completed over 300 such transactions totaling approximately 1.5 billion dollars. The Firm has also represented many domestic and international companies in Reverse Merger transactions. The firm’s clients 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. SRFF also maintains specialized Asian and Israeli corporate practice groups. For more information, visit www.srff.com.

For interview and media requests, contact:

Bari Trontz
Trontz PR
212-293-9051 (office)
917-442-8500 (mobile)
bari@trontzpr.com

Sichenzia Ross Friedman Ference LLP Represents Rodman & Renshaw in Public Offering of Skystar Bio-Pharmaceutical

NEW YORK, NEW YORK—July 7, 2009—Sichenzia Ross Friedman Ference LLP, a leading securities law firm specializing in micro, small and mid-cap public companies, today announced their successful representation of Rodman & Renshaw, LLC in an underwritten public offering of Skystar Bio Pharmaceutical Co., Ltd. (NASDAQ:SKBI). The offering consists of 1,400,000 shares of common stock at a price of $12.98 per share and an over-allotment option of an additional 210,000 shares. The total offering amount was 20,897,000. The offering closed today, July 7, 2009. This offering “demonstrates the ability for investment bankers and investors to uncover inherent value in China-based companies whose market capitalization has been undervalued in this economic climate,” said Gregory Sichenzia, Principal at Sichenzia Ross Friedman Ference. “This transaction represents a new financing model for small and mid-cap companies to gain access to and leverage US capital markets. We believe this innovative model enables companies with diminished share prices and strong earnings to recapitalize, list on senior exchanges and ultimately raise capital.” Skystar is a China-based developer and distributor of veterinary healthcare and medical care products. The Company has four product lines (veterinary medicines, micro-organisms, vaccines and feed additives), approximately 170 products, and over 40 new products in the developmental stage. Skystar has formed strategic sales distribution networks covering 29 provinces throughout the China region. Rodman & Renshaw, LLC, a subsidiary of Rodman & Renshaw Capital Group, Inc.(NASDAQ:RODM) served as sole book-running manager for the offering.

About Sichenzia Ross Friedman Ference LLP

Sichenzia Ross Friedman Ference LLP (SRFF) has led the nation in representing public companies in private financing transactions since 2004. The New York based firm has completed over 250 such transactions totaling over 1 billion dollars. The Firm has also represented many companies and underwriters in public offerings of securities. The firm’s clients 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. SRFF also maintains specialized Asian and Israeli corporate practice groups. For more information visit, www.srff.com.

For media inquiries please contact:
Bari Trontz
Trontz PR
212-293-9051 (office)
917-442-8500 (mobile)
bari@trontzpr.com

Sichenzia Ross Friedman Ference LLP’s Client, Universal Travel Group, Lists on NYSE Amex Following Reverse Split

Sichenzia Ross Friedman Ference LLP’s Client, Universal Travel Group, Lists on NYSE Amex Following Reverse Split
NEW YORK, June 1, 2009 (GLOBE NEWSWIRE) — New York- based securities law firm, Sichenzia Ross Friedman Ference LLP congratulates its client, Universal Travel Group on its first day of trading on the NYSE Amex. China-based Universal Travel Group opened for trading on NYSE Amex under the ticker symbol “UTA” on May 28, 2009. Universal Travel Group is the fifth company to list on the NYSE Amex market in 2009, and the third Chinese company to list on NYSE Amex year-to-date. continue reading >>

Sichenzia Ross Friedman Ference LLP Announces the Formation of Its Israel Practice Group

NEW YORK, Dec. 12, 2008 (GLOBE NEWSWIRE) — Sichenzia Ross Friedman Ference LLP (SRFF) is pleased to announce the formation of its Israel Practice Group. SRFF is currently a leading law firm in the United States representing Israeli companies in PIPE financing transactions as well as organic direct public offerings. The SRFF Israel Practice Group is comprised of partners of the firm as well as attorneys who are fluent in both Hebrew and English.
SRFF has been the number one law firm in the United States for the past five consecutive years in terms of the number of issuers represented in PIPE transactions, as ranked both by Private Raise and Saigent Research publishers of Placement Tracker.

“We have seen a lot of exciting and promising companies emerge recently from Israel along with substantial interest by Americans to do business with these companies,” said Marc Ross, founding partner of SRFF. “We are excited to have designated a select group of attorneys, those with close ties to Israel, to help develop our Israeli practice and focus their attention on helping Israeli companies raise money and obtain listing on U.S. Exchanges.”
Marc Ross, along with Jonathan Shechter, an Israeli national, will be spearheading the Israel Practice Group. Remarking on the opportunity, Jonathan Shechter stated, “Having grown up in Israel, I realize that Israel’s culture and the mentality of its citizens is unique, which plays in to the approach and business development of Israeli companies.”
This group is not only experienced in the Israeli markets, but also recognizes the needs of Israeli companies and is focused on expanding the synergy between Israeli and American interests.

Sichenzia Ross Friedman Ference LLP Ranked Number One as Legal Counsel to Public Companies for Three Consecutive Years

NEW YORK, April 9, 2007 (GLOBE NEWSWIRE) — Sichenzia Ross Friedman Ference LLP (www.srff.com) is once again ranked the most active PIPE issuer law firm year-to-date in 2007, making it No. 1 for the 36th consecutive month. This comes on the heels of the firm’s ranking as the most active PIPE issuer law firm in both 2005 and 2006. As of March 31, the firm has been credited with representing 13 issuers in over $120 million of PIPEs transactions, averaging $9.24 million per transaction. For the same period last year the firm represented 19 issuers in over $73 million of PIPEs transactions, averaging $4.0 million per transaction. While the actual number of transactions is fewer, the total dollars advised has increased by over 50%. While the average transaction size has increased Almost 250%.

“We continue to see strong growth in the PIPEs market in part because larger companies are seeking financing in this area,” said Gregory Sichenzia founding Partner of Sichenzia Ross Friedman Ference LLP. “Additionally, we have been able to clarify the issues that the SEC has raised concerning these financings and do not view them as an impediment to the future of the PIPEs market. Our firm has capitalized on the trend towards larger PIPE deals by increasing our average deal size by more than 250%. Still, even with the larger PIPE deals, our firm remains dedicated to helping micro-cap companies raise the funding they need and we continue to provide clients of all sizes with the high level of service they have come to expect of us.”

SRFF’s increase in PIPEs transactions is representative of an industry that continues to demonstrate explosive growth. Upwards of $12.5 billion has been raised through March 31 of this year, more than 50% more than the $9 billion raised at this point in 2006 (according to the PIPEs Report).

“I believe that the market sector will continue to grow as more mainstream companies seek financing through PIPEs,” said Sichenzia. “This is not just for small- and mid-cap companies anymore. In fact, much of the current growth in the PIPEs industry stems from large-cap companies who are increasingly turning to PIPEs for financing.”

Sichenzia Ross Friedman Ference LLP (SRFF) provides experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters. SRFF’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. SRFF also advises institutional investors on transactions involving complex securities law considerations. The firm’s practice includes the representation of clients located in the United States and throughout the world, including Argentina, Austria, Australia, Canada, China, Germany, Hungary, Israel, Korea, Malaysia, Mexico, Switzerland and the United Kingdom. For more information, visit www.srff.com. For interview and media requests, contact Avalanche Strategic Communications at 201-488-0049.

* PIPEs Rankings are measured by the number of placements advised according to The PIPEs Report and Privateraise.com. The rankings include only PIPE transactions that have a value of at least $1.0 million. For more information about PIPE rankings, go to www.privateraise.com.

Richard Friedman to Moderate Panel on Regulatory Issues Relating to PIPE Financing Transactions

David Lynn of the SEC to Join Panel for Discussion of Registration Statements in Accordance With Rule 415

NEW YORK, Jan. 11, 2007 (GLOBE NEWSWIRE) — Richard Friedman, founding member of Sichenzia Ross Friedman Ference LLP (SRFF), will present and moderate a panel discussion on “Registration Statements: Regulatory Landmines in PIPE Transactions” on January 26 at the 6th Annual Summit on PIPEs in New York. This panel will assess the latest developments in the SEC’s application and interpretation of regulations when reviewing registration statements covering the proposed resale on a secondary basis of PIPE financings in connection with Rule 415, and will discuss the impact of the SEC’s evolving position on this rule.

“The SEC’s current position that the investors in certain PIPE financings may be deemed affiliates of the Company and that the resale registration statements are really primary offerings which are not permitted by Rule 415 has had a chilling effect on PIPE financings,” explains Friedman. “Approximately 52 percent of the companies utilizing PIPE financing have a market capitalization of under $50 million. It is these companies that are primarily being hurt by this position, as they are left with little or no ability to raise much needed capital, and, as a result, may be forced out of business.”

Mr. Friedman recently met with senior SEC officials in an effort to clarify their evolving position on the use of resale registration statements in connection with PIPE financings.

“We are pleased that David Lynn, Esq., Chief Counsel of the Division of Corporation Finance of the Securities and Exchange Commission, has agreed to join this forum to discuss the SEC’s position on Rule 415 with practitioners for the first time,” said Friedman.

In addition to a discussion about the potential changes to Rule 415, Mr. Friedman and the panel will address hot-button topics including:

— How EITF-0019 has affected micro-cap companies
— Other current SEC regulatory issues affecting small public companies’ ability to secure financing and/or go public in the current economic climate
— What funds are doing in response to the emerging and evolving regulatory issues

Appearing on the panel with Friedman and Lynn are David Skrilloff, Head of Investments of Vision Capital Advisors, Richard Smithline, Chairman & CEO of CentreCourt Asset Management, and Peter Stefanou, a Partner of Russell Bedford Stefanou Mirchandani.

As a founding member and the managing partner of Sichenzia Ross Friedman Ference LLP (SRFF), Mr. Friedman counsels public and private companies in a wide range of Corporate and Securities Law matters. He represents clients in a wide variety of corporate transactions, including mergers and acquisitions, secured and unsecured private equity financing transactions (PIPE’s), joint ventures, employment and shareholder agreements, as well as with the formation of private equity hedge funds. He also represents publicly held companies with their 1934 Act reporting obligations, and with NASDAQ, AMEX and other exchange listing and compliance matters.

For more information on the firm, visit www.srff.com. For interview requests, call at 201-488-0049.

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