Gregory Sichenzia, a founding member of Sichenzia Ross Ference Carmel LLP in May 1998, counsels public and private companies in all securities laws matters, from complex financing transactions and listings on various stock exchanges through everyday regulatory requirements. He has also been responsible for structuring innovative merger and acquisition transactions. Throughout his career he has represented many companies and investment banks in initial public offerings of securities, and has represented numerous public companies in private equity financing transactions (PIPEs) and the resulting resale registration statements associated with these financings.
Gregory Sichenzia, a member of the firm since its inception in 1998, is a corporate and securities attorney who specializes in corporate finance and transactional matters. Mr. Sichenzia’s practice focuses on representing publicly traded companies and FINRA member investment banks as underwriters and placement agents in various financing transactions including initial public offerings, follow-on public offerings, shelf takedowns and registered direct offerings. Mr. Sichenzia was an early pioneer in the development of PIPES transactions, (private investment in public equity), and was recognized as the industry leader for such transactions for over a decade. Mr. Sichenzia also represents public and private companies in other private financings utilizing various exemptions such as Regulation D, Regulation S, Regulation A and 144A. Mr. Sichenzia also represents target companies and investment banks in SPAC and De-SPAC transactions as well as traditional M & A transactions. In addition to transactional work Mr. Sichenzia also advises companies on general securities (34 act compliance) and corporate matters as well as NASDAQ and NYSE compliance and investigations before regulatory bodies.
Mr. Sichenzia has represented hundreds of public companies and completed over 1,000 private and public transactions totaling several billion dollars. The firm regularly represents over 100 public companies, multiple investment banks, private equity funds and financial institutions.
Mr. Sichenzia’s clients include public companies focused in various disciplines from bio-tech to hi-tech and consumer goods and was one of the first attorneys to bring a cannabis rented company public in the United States. His clients are worldwide from countries such as China, India, Korea, France, Israel, Canada, and others.
Mr. Sichenzia began his career in 1987. With the Firm Finley Kumble Wagner Hiene Underberg Manley Meyerson and Casey and worked in the corporate department of other large and mid-sized law firms. Prior to founding SRF he was a partner at Singer Frumento Sichenzia.
Mr. Sichenzia received his Juris doctor from the Benjamin Cardozo School of Law in 1987 where he was an editor of the Arts and Entertainment Law Journal. He received his undergraduate degree in economic and political science from the American University in Washington D.C. in 1984. He is admitted to practice law in the state of New York and Southern District of NY Federal Court and was admitted to practice before the United States Supreme Court in 2014.
Mr. Sichenzia is a regular contributor to such media outlets as Law 360, Wall Street Journal and other financial and legal publications and has been a frequent guest on CNBC and for Fox Business News.
- What is an IPO?, Forbes (August 2023)
- Reverse Mergers Get Another Look As SPACs Decline, Law360 (September 2022)
- 5 Lessons From the Rise and Fall of SPACs, Forbs (April 2021)
- SEC Settles with Elon Musk: Legal Experts React, Business Insider (September 2018)
- How Some Law Firms Are Affected By the Government Shutdown, ABA Journal (2019)
- CNBC Appearance (April 2016)
- Higher Rates Drive Companies to Public Markets, The Huffington Post (December 2015)
- The Age of the Household Brand IPO: Why Are So Many Established Companies Going Public, The Huffington Post (August 2015)
- Marijuana Investments: Massive Growth or Massive Bubble, The Huffington Post (July 2015)
- Lawline CLE Course: Investing in Publicly Traded Companies in the Legal Cannabis Industry
Awards & Recognitions
Mr. Sichenzia graduated from American University with a B.A. degree in 1984 and the Benjamin N. Cardozo School of Law in 1987, where he was a Notes and Comments Editor of the Cardozo Arts & Entertainment Law Journal.
Mr. Sichenzia was admitted to the New York State Bar in 1988 and the U.S. District Court for the Southern and Eastern Districts of New York in 1992.
Office: New York
Phone: (212) 930-9700
Direct: (212) 398-1207
Fax: (212) 930-9725