Securities Law

Sichenzia Ross Ference Carmel LLP’s Corporate and Securities Department is comprised of over 45 attorneys. Our attorneys form a core of experts that help serve the unique needs of small and mid-cap issuers. Our attorneys expertise includes advising both public and emerging growth private companies in a broad range of transactions through all stages of development and capital raising activities, including start-up financing, initial public offerings (IPOs), alternative public offerings (APOs), special purpose acquisition company (SPAC) offerings, private investment in public equity (PIPE) transactions, as well as mergers and acquisitions. In addition, we advise placement agents, underwriters and investors in connection with financing transactions.

We assist our clients with structuring sophisticated transactions and agreements. We take a pro-active role and believe that quarterbacking a deal is the key to its success. This Practice Group has the experience to identify the important issues, which enables us to anticipate problems before they arise and devise solutions. We represent entities at many stages of development and capital raising activities in a wide field of industries, including biotechnology, healthcare, telecommunications, energy and technology.

Sichenzia Ross Ference Carmel LLP is a recognized leader in the PIPE market. We handle stock purchase programs, issuer and third party tender offers and registered exchange offers. Our attorneys consistently represent issuers of securities, placement agents, underwriters, selling stockholders, officers and directors as well as private equity funds, venture capital firms and institutional investors.

Further, we regularly counsel clients on purchases and sales of equity and debt securities in negotiated transactions, private placements and registered public offerings. We assist clients in their compliance with ongoing periodic public reporting and disclosure obligations, as well as with their proxy and shareholder meeting and voting requirements. We are recognized as industry leaders with respect to being involved in and keeping abreast of changes in U.S. regulations as well as changes in the market, as we help our clients navigate this complex and constantly changing landscape.