- About Us
- Our History
- Our Approach
- Our Mission
- Our Commitment to diversity
Sichenzia Ross Ference Kesner LLP (“SRFK”) provides experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters.
Our clients range from start-ups to established, listed companies. They include public and private corporations, partnerships, broker-dealers, investment banks, investment advisors, registered personnel, public and corporate customers and investors, and other entities. We also advise institutional investors on transactions involving complex securities laws. Our practice includes the representation of clients located in the United States and throughout the world.
Our areas of expertise include corporate finance, including initial and secondary public offerings, corporate and commercial transactions, mergers and acquisitions, securities litigation and arbitration, administrative practice before regulatory agencies, and broker-dealer regulation. In addition, we are experts at listing companies on both the NASDAQ and New York Stock Exchange and provide guidance to Boards of Directors and corporate managers who now operate in an increasingly complex and changing landscape of securities rules, litigation risks, regulatory oversight and investor scrutiny.
The founding vision of Sichenzia Ross Ference Kesner LLP in 1998 was to create a new boutique securities law firm that departed from the standard "mega-firm" approaches and, instead, focused on delivering efficient, personalized services of the highest quality to businesses of all sizes and individuals. We currently have 39 attorneys devoted to serving the corporate, securities, litigation, arbitration, tax and other needs of public and private companies, their financiers and the broker-dealer and financial services community. The firm represents the collective talents of a broad group of attorneys with exceptional skills under a single roof who are able to serve a dynamic client roster.
Our founding partners – Gregory Sichenzia, Marc Ross and Michael Ference - were soon joined by like-minded colleagues also seeking an alternative to the large law firm environment. Darrin Ocasio joined in 1999 as a law clerk and was promoted to the partnership in 2005. Tom Rose, a former Staff attorney at the Securities and Exchange Commission, joined us in 2000. Benjamin Tan joined us in 2008 to run our Asia Practice Group. Harvey Kesner, former head of the Business and Securities Regulation Practice Group at Haynes and Boone, LLP, joined us in 2009 and became a named partner in 2016. Jay Kaplowitz and Arthur Marcus, shareholders of the leading boutique firm Gersten Savage LLP, joined us in 2012.
In 2015 we formed an alliance with Israel’s Doron, Tikotzky, Kantor, Gutman, Cederboum & Co., a leading Israeli law firm, to better serve our Israeli clients. This partnership is an expansion of our existing Israeli Practice Group which currently has a dedicated team of Hebrew-speaking attorneys.
This year, Sichenzia Ross Ference Kesner LLP commemorates its 18th anniversary. From a firm comprised of three young attorneys to one that is consistently ranked at the top of national league table rankings for issuer, investor and placement agent legal counsel, we have evolved from our humble roots but remain committed to continuing the high standards that we established for ourselves 18 years ago.
At SRFK, we understand that continuing developments in the securities markets and legal landscape require the attention of attorneys with the skill and experience to be proactive rather than reactive. We stay informed of these developments and the effect that these changes have on our clients’ businesses. Our approach to dealing with this myriad of considerations is to work directly with regulatory authorities and industry experts to structure practical solutions to these new developments and emerging issues.
SRFK is pleased to deliver top-tier law firm quality services at hourly billing rates that are significantly lower than “big firm” billing rates. We have also distinguished ourselves as an industry leader with regard to alternative fee arrangements, including fixed-fee retainers for certain corporate and securities matters. Combined with internal teamwork, the alternative arrangement assures that SRFK’s wide-ranging resources are cost-effective to the full advantage of its clients.
Credibility and visibility are two important qualities we bring to our clients. We have an extensive network of strategic relationships across a multitude of industries that we make available to all our clients. For example, as one of the pre-eminent firms in the country in corporate financing transactions, our credibility in the industry opens doors and creates more visibility for our clients in the eyes of the financial community. SRFK’S ability to create these opportunities provides its clients with the capability to achieve the growth and success they envision.
Focused advocacy and passionate representation – two phrases that describe the approach to practicing law at SRFK. We assist our clients with achieving their objectives by providing effective business and legal counseling. Our mission is to help our clients reach their goals in an expeditious, cost-effective and informed manner.
We provide our clients with the personalized focus and attention that is required to fully understand their needs and objectives. Our attorneys do more than just provide legal advice to our clients – we are business advisors, coaches and mentors. At SRFK, we are zealous advocates whose singular purpose is to provide results for our clients. This focus and passion is integral to our clients’ business success as well as to our success.
SRFK’s view of diversity includes a variety of experiences, backgrounds, viewpoints and perspectives in addition to race, religion, national origin, gender and sexual orientation. We recruit and develop a range of talent because we believe diversity broadens the capacity of our team and strengthens the quality of our services.