Thomas A. Rose

Co-Managing Partner

Introduction

Thomas A. Rose joined Sichenzia Ross Ference Carmel LLP in 2000 and currently serves as a
partner in the Corporate and Securities group, as well as co-managing partner of the Firm. He
concentrates his practice in the areas of Securities Law, Corporate Finance, Mergers and
Acquisitions and General Corporate Law. Mr. Rose represents public and private companies,
underwriters and investment funds in a broad range of federal and state securities laws and
investment and capital-raising transactions, including public offerings, PIPEs, private equity,
debt and venture capital transactions. Mr. Rose has also worked with many clients in connection
with stock exchange listing and compliance matters.

Experience

Mr. Rose's experience is diverse, and includes substantial expertise with complex securities law
issues, financing and capital raising transactions, including private placements, initial public
offerings, secondary offerings, PIPEs and equity and debt restructuring, as well as hedge fund
formations. He negotiates and drafts stock and asset purchase agreements, joint venture
agreements, and other capital and venture investments. His experience includes the
representation of clients in a variety of industries including technology, biotechnology,
pharmaceuticals, manufacturing, marketing and advertising, hospitality and the food and
beverage industry. Mr. Rose represents clients in all stages of business development from start-
ups to well established companies, and with matters including formation, partnerships and
agreements, joint ventures, capital and venture investments and debt and equity financings. 

Mr. Rose is a former staff attorney with the Securities and Exchange Commission, where he
specialized in Corporate Finance. He subsequently worked for prominent National law firms.

thomas rose headshot

Education

 Mr. Rose received his Juris Doctor degree from the Benjamin N. Cardozo School of Law in 1986 and a B.S. in Finance from New York University in 1983.