Securities Law Firm

Sichenzia Ross Ference Kesner LLP Represents Vuzix Corporation in $14.5 Million Registered Direct Offering.

Press Release – New York, NY – December 2, 2016 – Sichenzia Ross Ference Kesner LLP announced today that it has represented Vuzix Corporation (NASDAQ “VUZI”) in a Registered Direct public offering of 2 million registered shares of its common stock at a price of $7.25 per share for gross proceeds to Vuzix of $14,500,000. Chardan Capital Markets LLC acted as the exclusive Placement Agent for the offering. The Sichenzia Ross Ference Kesner LLP team was led by Partners Gregory Sichenzia, Thomas Rose, Marcelle Balcombe and Counsel Jeff Cahlon.

Founding Partner Marc J. Ross Quoted on Inc.com on First Marijuana-Related Listing on the NYSE

Press Release – New York, NY – December 6, 2016 – Sichenzia Ross Ference Kesner LLP founding partner Marc J. Ross, Esq was quoted in an Inc.com article titled “NYSE Lists First Cannabis-Related Company.” The article discusses the IPO and NYSE listing of Innovative Industrial Properties, Inc., which will conduct business as an umbrella partnership real estate investment trust. The company focuses on the acquisition, ownership and management of specialized industrial properties leased to experienced, state-licensed operators for their regulated medical-use cannabis facilities.

Sichenzia Ross Ference Kesner LLP Represents Oppenheimer & Co. and Feltl and Company in $13.5 Million PIPE for Midwest Energy Emissions Corp.

Press Release – New York, NY – November 18, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Oppenheimer & Co., as lead Placement Agent and Feltl and Company as Co-Placement Agent in a private placement offering of Common Stock ofMidwest Energy Emissions Corp. ME2C (OTCQB. “MEEC”). continue reading >>

Ten SRFK LLP Attorneys Named Super Lawyers & Rising Stars

Press Release — New York, NY — November 4, 2016 — Sichenzia Ross Ference Kesner LLP is pleased to announce that four partners have once again been named 2016 Super Lawyers. Additionally six other attorneys have been named 2016 Rising Stars.

Super Lawyers, a Thomson Reuters business, is a rating service of outstanding lawyers from more than 70 practice areas who have attained a high degree of peer recognition and professional achievement. Each year, no more than five percent of the lawyers in New York are selected by the research team at Super Lawyers to receive this honor.

The attorneys who have been selected for the 2016 honors are: continue reading >>

Sichenzia Ross Ference Kesner LLP Selected to ‘Best Law Firms’ by US News and World Report

Press Release — New York, NY — November 3, 2016 – Sichenzia Ross Ference Kesner LLP is pleased to announce that the firm has been selected in the 7^th Edition of Best Law Firms by US News & World Report for 2017 under the category of Corporate Law. In addition, Founding Partner, Gregory Sichenzia has also been listed in Best Lawyers under the category of Corporate Law since 2016.

Sichenzia Ross Ference Kesner LLP Congratulates TapImmune Inc. on NASDAQ Uplisting

New York, NY – November 3, 2016 – Sichenzia Ross Ference Kesner LLP announced today that the Firm has represented TapImmune Inc. (NASDAQ: TPIV), in the Company’s uplisting to the NASDAQ Capital Market. The Sichenzia Ross Ference Kesner LLP team was led by founding Partner Gregory Sichenzia and Associate Jay Yamamoto. The uplisting is effective for trading on November 8, 2016 and TapImmune’s common stock will trade under its existing stock symbol “TPIV.”

Sichenzia Ross Ference Kesner LLP Represents Joseph Gunnar, Feltl and Company and Fordham Financial Management in $8.6 Million Public Offering of Aytu Bioscience, Inc.

Press Release – New York, NY – November 2, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Joseph Gunnar & Co. and Feltl and Company as Joint Book -Running Managers and Fordham Financial Management, Inc. as Lead Manager in a firm commitment underwritten public offering of equity securities of Aytu BioScience, Inc.

Sichenzia Ross Ference Kesner LLP Represents Tonix Pharmaceuticals in $5.2 Million Public Offering

Press Release – New York, NY – November 1, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it represented Tonix Pharmaceuticals Holding Corp. (NASDAQ “TNXP”), a developer of next-generation medicines for common disorders of the central nervous system, continue reading >>

Sichenzia Ross Ference Kesner LLP Represents ToughBuilt Industries, Inc. in $6.1 Million Private Offering

Press Release – New York, NY – October 18, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented ToughBuilt Industries, Inc. (“ToughBuilt”) in a private placement of equity as well as debt securities. ToughBuilt is a private company that markets and distributes various home improvement and construction product lines for both do-it-yourself and professional markets under the TOUGHBUILT® brand name within the global multi-billion dollar per year tool market industry.

Sichenzia Ross Ference Kesner LLP Announces Change of Name

New York, New York October 17, 2016 — Sichenzia Ross Ference Kesner LLP, a leading securities and corporate law firm, is pleased to announce that Harvey Kesner has joined Gregory Sichenzia, Marc Ross and Michael Ference in renaming the firm “SRFK LLP.” The newly renamed law firm represents the continuation of the firm’s 18 year commitment to excellence through serving the needs of public and private companies, their financiers and the broker-dealer and financial services community. The firm, previously named Sichenzia Ross Friedman Ference LLP and founded by Gregory Sichenzia, Marc Ross and Michael Ference 18 years ago, first welcomed Harvey Kesner as a partner in 2009.

Sichenzia Ross Ference Kesner LLP Represents ABT Holdings, Inc. in $5 Million Private Offering of Senior Secured Convertible Debentures

October 17, 2016 — New York, NY — Sichenzia Ross Ference Kesner LLP has represented ABT Holdings, Inc. (OTC.PK: ABOT), a diversified holding company engaged in investing, acquiring, developing, and growing various businesses, in a private offering of $5 Million of Senior Secured Convertible Debentures. continue reading >>

Sichenzia Ross Ference Kesner LLP Represents Laidlaw & Company (UK) Ltd. as Placement Agent for a $3 Million Private Placement

Press Release – New York, NY – October 17, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Ference Kesner LLP announced today that it has represented Laidlaw & Company (UK) Ltd. as the exclusive placement agent in a private placement of equity securities of FTE Networks, Inc. (OTCQX: FTNW), continue reading >>

Sichenzia Ross Friedman Ference LLP Represents 3DIcon Corporation in its Acquisition of Coretec Industries LLC

Press Release – New York, NY – October 10, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented 3DIcon Corporation (“3DIcon”) in its acquisition of Coretec Industries LLC (“Coretec”).

Sichenzia Ross Friedman Ference LLP Represents Network 1 Securities in $7.7 Million IPO and NASDAQ listing of ShineCo, Inc.

Press Release – New York, NY – September 30, 2016 – Sichenzia Ross Friedman Ference LLP announced today that it represented Network 1 Financial Securities, Inc. as underwriter in a $7.7 million best efforts Initial Public Offering of 1,713,190 shares of common stock of ShineCo, Inc. (Nasdaq TYHT) at a public offering price of $4.50 per share. Monarch Bay Securities participated as a selected dealer. Shineco is a producer and distributor of Chinese herbal medicines, organic agricultural produce and other health based plant products in China. The Sichenzia Ross Friedman Ference LLP team was led by Partners Marc Ross and Henry Nisser.

Sichenzia Ross Friedman Ference LLP Represents BioPharmX Corporation in $930,000 Registered Direct Offering

Press Release – New York, NY – September 29, 2016 – Sichenzia Ross Friedman Ference LLP announced today that it has represented BioPharmX Corporation (NYSE. MKT “ BPMX) in a Registered Direct public offering of 1,550,000 registered shares of its common stock at a price of $.60 per share and 1,240,000 unregistered warrants to purchase common stock at an exercise price of $.75 per share for gross proceeds to BPMX of $930,000. Rodman & Renshaw a Unit of H.C. Wainwright & Co., LLC acted as the exclusive Placement Agent for the offering. The Sichenzia Ross Friedman Ference LLP team was led by Partners Gregory Sichenzia, Marcelle Balcombe and Counsel Jeff Cahlon.

Partner Harvey Kesner Represents Towerstream Corporation in $4 Million Public Offering

Press Release – New York, NY – September 26, 2016 – Sichenzia Ross Friedman Ference LLP announced today that it has represented Towerstream Corporation (NASDAQ: TWER) in a firm commitment underwritten public offering of 2,962,963 shares of its common stock at a public offering price of $1.35 per share, for gross proceeds to Towerstream of $4,000,000. Laidlaw & Company (UK) Ltd. acted as the sole book running managing underwriter for the offering.

The Sichenzia Ross Friedman Ference LLP team was led by Partner Harvey Kesner, Avital Even-Shoshan and Evan Berger.

Sichenzia Ross Friedman Ference LLP Represents General Cannabis Corp. in $2.6 million Private Offering of Senior Secured Notes and Warrants

September 22, 2016 — New York, NY – Sichenzia Ross Friedman Ference LLP (“SRFF”) has represented General Cannabis Corp. (OTCQB: CANN), a leading cannabis industry company, focused on being the all-in-one resource for quality service providers in the regulated cannabis industry, in a private offering of $2.6 million of Senior Secured Promissory Notes and Common Stock Purchase Warrants.

The Sichenzia Ross Friedman Ference LLP team was led by Partners Arthur Marcus and Gregory Sichenzia. continue reading >>

Sichenzia Ross Friedman Ference LLP Represents SITO MOBILE, Ltd. in $11.5 Million Public Offering

Press Release – New York, NY – September 21, 2016 – Sichenzia Ross Friedman Ference LLP announced today that it has represented SITO Mobile, Ltd. (NASDAQ “SITO”) in a firm commitment underwritten public offering of 3,066,667 shares of its common stock, including exercise of the underwriter’s overallotment option, at a public offering price of $3.75 per share, for gross proceeds to SITO of $11,500,000. Cowen & Co. Inc. acted as the sole book running managing underwriter for the offering. The offering was led by several institutional investors. The Sichenzia Ross Friedman Ference LLP team was led by Partners Gregory Sichenzia, Marcelle Balcombe, Counsel Jeff Cahlon and Associate S. Ashley Jaber.

Sichenzia Ross Friedman Ference LLP is the Marquee Sponsor of the Aegis Capital Corp. 2016 Growth Conference in Las Vegas, Nevada

Press Release – New York, NY – September 16, 2016 – Sichenzia Ross Friedman Ference LLP is the Marquee Sponsor of the 2016 Aegis Growth Conference to be held at The Encore at Wynn Las Vegas September 20 through September 22, 2016. A memorable and exciting conference is anticipated with numerous public companies presenting their businesses to a large audience of attendees.

On September 22, 2016, founding partner, Michael H. Ference will be moderating a panel focusing on Small Cap Financing. The panel will be comprised of experts in the field including: continue reading >>

Sichenzia Ross Friedman Ference LLP Attorneys Achieve Complete Dismissal of Lawsuit

Press Release – September 13, 2016 – New York, NY – Sichenzia Ross Friedman Ference attorneys Mendy Piekarski and Marc Ross achieve a complete dismissal of a lawsuit seeking unwarranted finder’s fees and commissions. Plaintiff sought fees for purportedly making introductions that resulted in certain corporate acquisitions and financings.

Partner Gregory Sichenzia Writes “Today’s Tech-Savvy Kids Are Tomorrow’s Investors” for Huffington Post

New York, NY – September 7, 2016 – Partner Greg Sichenzia wrote an article for Huffington Post Business titled “Today’s Tech-Savvy Kids are Tomorrow’s Investors.” The article provides an overview of future projected investment behavior of Millennials, Generation Z and Generation Alpha, and provides tips on market segments that might appeal to these generations.

Read the full article here

Sichenzia Ross Friedman Ference LLP Represents Rodman & Renshaw as Exclusive Placement Agent for a $5 Million Registered Direct Offering

Press Release – New York, NY – August 26, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Rodman & Renshaw, a unit of H.C. Wainwright& Co., LLC, as the exclusive placement agent for a registered direct offering of CEL-SCI Corporation (NYSE MKT: CVM), a pharmaceutical company that is focused on finding the best way to activate a patient’s immune response to fight cancer and infectious diseases (“CEL-SCI”).

Partner Harvey Kesner Represents Rant, Inc. in its Acquisition by Function(X), Inc. and RACX Inc.

New York, NY – August 29, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Rant, Inc. (“Rant”) in its acquisition by Function(X), Inc. (“Fn(X)”) and its wholly-owned subsidiary, RACX Inc. (“RACX”). RACX acquired Rant’s assets used in the operation of Rant’s Rant.com independent media network and related businesses.

Partner Harvey Kesner Represents MabVax Therapeutics Holdings, Inc. on NASDAQ Uplisting and $9.4 Million Public Offering

New York, NY – August 29, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP is pleased to announce that the firm has represented MabVax Therapeutics Holdings, Inc. (NASDAQ: MBVX), a clinical-stage oncology drug development company, on its successful uplisting to The Nasdaq Capital Market and a public offering of common stock and Series F Preferred Stock and warrants for a total of $9.4 million, including approximately $800,000 received from the underwriter in exercising the full amount of its over-allotment option.

Sichenzia Ross Friedman Ference LLP Congratulates Biomerica, Inc. on NASDAQ Uplisting

New York, NY – August 25, 2016 – Sichenzia Ross Friedman Ference LLP announced today that the Firm has represented Biomerica, Inc. (NASDAQ: BMRA), in the Company’s uplisting to the NASDAQ Capital Market. The Sichenzia Ross Friedman Ference LLP team was led by founding Partner Gregory Sichenzia and Associate Jay Yamamoto. The uplisting is effective for trading on August 26, 2016 and Biomerica’s common stock will trade under its existing stock symbol “BMRA.”

Sichenzia Ross Friedman Ference LLP Represents Aridis Pharmaceuticals in $15 Million Private Placement

PRESS RELEASE – New York, NY – August 25, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP is pleased to announce that the firm has represented Aridis Pharmaceuticals, Inc., a biopharmaceutical company applying proprietary technologies to produce novel therapies for infectious diseases, in a private placement of preferred stock and warrants resulting in total gross proceeds of $15,216,241. continue reading >>

SRFF Represents Medovex Corp. In $1.3 Million Private Placement

Press Release – New York, NY – August 23, 2016 – Securities and Corporate law firm Sichenzia Ross Friedman Ference is pleased to announce that the firm has represented Medovex Corp. (NASDAQ-MDVX), a medical products manufacturer in a private placement of units consisting of 1,083,333 shares of common stock and 541,667 warrants to purchase common stock at a fixed price of $1.20 per unit without a placement agent resulting in gross proceeds of $1,560,000. continue reading >>

Sichenzia Ross Friedman Ference LLP Ranked #2 in PrivateRaise’s Q2 2016 PIPE League Tables

Press Release – New York, NY – July 15, 2016 – Sichenzia Ross Friedman Ference LLP was ranked #2 issuer counsel in PrivateRaise’s Q2 PIPE league tables by the number of placements advised. The Firm was also ranked #6 placement agent counsel. PrivateRaise, a service of The Deal, ranks the top investment managers, placement agents, placement agent legal counsel, issuer legal counsel, and investor legal counsel by the total number of placements advised each quarter.

Sichenzia Ross Friedman Ference LLP Attorneys To Join Client DelMar Pharmaceuticals, Inc. at Nasdaq Opening Bell Ringing

Press Release – New York, NY – July 14, 2016 – Sichenzia Ross Friedman Ference LLP partners Gregory Sichenzia and David Manno and counsel Jeffrey Cahlon will join representatives of client DelMar Pharmaceuticals, Inc. (NASDAQ: DMPI), a clinical stage drug development company with a focus on the treatment of cancer, at the Nasdaq MarketSite in Times Square to ring the July 14 opening bell.
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Sichenzia Ross Friedman Ference LLP Represents Rodman & Renshaw as Exclusive Placement Agent for a $3.77 Registered Direct Offering

Press Release – New York, NY – July 11, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Rodman & Renshaw, a unit of H.C. Wainwright& Co., LLC, as the exclusive placement agent for a registered direct offering of EyeGate Pharmaceuticals, Inc. (NASDAQ: EYEG), a clinical-stage specialty pharmaceutical company that is focused on developing and commercializing therapeutics and drug delivery systems for treating diseases of the eye (“EyeGate”).

Sichenzia Ross Friedman Ference LLP Represents Vuzix Corporation in $6.6 Million Public Offering

Press Release – New York, NY – July 11, 2016 – Sichenzia Ross Friedman Ference LLP announced today that it has represented Vuzix Corporation in a firm commitment underwritten public offering of shares of common stock. The offering consisted of 1,150,000 shares of common stock, including continue reading >>

Sichenzia Ross Friedman Ference Congratulates DelMar Pharmaceuticals, Inc. on NASDAQ Uplisting

New York, NY – July 11, 2016 – Sichenzia Ross Friedman Ference LLP announced today that the Firm has represented DelMar Pharmaceuticals, Inc. (NASDAQ: DMPI), in the Company’s uplisting to the NASDAQ Capital Market. The Sichenzia Ross Friedman Ference LLP team was led by partners Gregory Sichenzia and David Manno.

Partner Harvey Kesner Represents Towerstream Corporation on $1.25 Private Placement

Press Release – New York, NY – July 11, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP is pleased to announce that the firm has represented Towerstream Corporation (NASDAQ: TWER), a leading fixed-wireless fiber alternative company, on a private placement of 892,857 shares of Series B Preferred Stock and five year warrants to purchase 223,214 shares of common stock. Each preferred share is convertible into 0.5 shares of common stock and the warrants have an exercise price of $3.00.
continue reading >>

Partner Harvey Kesner Represents Towerstream Corporation on $2.28 Million Registered Direct Offering

Press Release – New York, NY – July 1, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP is pleased to announce that the firm has represented Towerstream Corporation (NASDAQ: TWER), a leading fixed-wireless fiber alternative company, on a registered direct offering of 15,000,000 shares of the Company’s common stock at a public offering price per share of $0.152 per share without an underwriter or placement agent. Each purchaser also received a five year warrant exercisable at $0.25 per share for each share of common stock purchased.

Partner Harvey Kesner Represents Chromadex Corporation on $5.25 Million Registered Direct Offering

Press Release – New York, NY – July 1, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP is pleased to announce that the firm has represented Chromadex Corporation (NASDAQ: CDXC), an innovator of proprietary health, wellness, and nutritional ingredients that creates science-based solutions for dietary supplement, food and beverage, skin care, sports nutrition, and pharmaceutical products, on a registered direct offering of 1,117,022 shares of the Company’s common stock at a public offering price per share of $4.70 without an underwriter or placement agent.

Sichenzia Ross Friedman Ference LLP Appoints Jeff Cahlon Counsel

New York, NY – (June 30, 2016) – Sichenzia Ross Friedman Ference LLP, the nationally ranked leading securities and corporate law firm, is pleased to announce today that it has promoted Jeffrey Cahlon to counsel from associate.

Mr. Cahlon joined the firm in 2007. His practice focuses on representing issuers, underwriters and investors in corporate financing transactions, including public and private equity and debt securities offerings, mergers and acquisitions, Exchange Act and Securities Act reporting and compliance, and general corporate and securities law.

“We are pleased to promote Jeff,” said founding partner Gregory Sichenzia. “Over the past nine years with us he has consistently demonstrated legal excellence and shown himself as an expert in a specialized and complex space.”

Mr. Cahlon’s full biography is available here: http://srfkllp.com/jeffrey-cahlon/

Partner Harvey Kesner Worked with Other Counsel to Successfully Petition for Removal of Defamatory Web Postings

Press Release – New York, NY – July 1, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP is pleased to announce that partner Harvey Kesner and associate Cass Sanford, together with other counsel, successfully petitioned for removal of defamatory web postings from Google and Ripoff Report. continue reading >>

Partners Marc J. Ross and James M. Turner Represent Tonix Pharmaceuticals in $10 Million Public Offering of Common Stock

Press Release – New York, NY – June 23, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP is pleased to announce that the firm has represented Tonix Pharmaceuticals Holding Corp. (NASDAQ: TNXP), a developer of next-generation medicines for common disorders of the central nervous system, continue reading >>

Sichenzia Ross Friedman Ference LLP Represents Joseph Gunnar in $2.1 Million Public Offering of Intellicheck Mobilisa, Inc.

Press Release – New York, NY – June 21, 2016 – Nationally recognized securities and corporate law firm, Sichenzia Ross Friedman Ference LLP, announced today that it has represented Joseph Gunnar & Co. LLC as sole book-running manager in a firm commitment underwritten public offering of shares and warrants of Intellicheck Mobilisa, Inc.

Partner Gregory Sichenzia Quoted in Los Angeles Times article on Uber’s Entry into Leveraged Loan Market

New York, NY – June 16, 2016 – Partner Greg Sichenzia was quoted in a Los Angeles Times article titled “Uber reportedly seeks to raise up to $2 billion in the leveraged loan market”. The article discusses Uber’s engagement of Morgan Stanley and Barclays to sell a leveraged loan of $1 billion to $2 billion to institutional investors. Leveraged loans are similar to junk bonds in that they are deemed high risk, but return higher yields. Greg shared his views on the expected interest rates of the leveraged loans.

Read the full article here.

Partner Gregory Sichenzia Writes “3 Fundraising Options to Consider During a Tepid IPO Market” for Huffington Post

June 13, 2016 – Partner Greg Sichenzia wrote an article for Huffington Post Business titled “3 Fund Raising Options to Consider During a Tepid IPO Market.” The article describes three types of financing activities private companies that want to raise funds to list on a national exchange can consider as an alternative to the traditional underwritten IPO: private investments in public equity, or PIPEs, reverse mergers, and partnerships with existing corporations.

Read the full article here.

Partner Gregory Sichenzia Quoted in a Los Angeles Times article on Microsoft’s Purchase of LinkedIn

New York, NY – June 13, 2016 – Partner Greg Sichenzia was quoted in a Los Angeles Times article titled “Microsoft to buy networking site LinkedIn for $26.2 billion.” The article discussed Microsoft Corp.’s announcement today that it would acquire LinkedIn in a $26.2 billion all cash transaction that is expected to close this year. Greg said that the acquisition is a “big and bold step” for Microsoft and a “great deal for LinkedIn,” making Microsoft a more socially relevant company and providing LinkedIn with new capital to grow.

Read the full article here.

Partners Richard A. Friedman and Stephen A. Cohen Represent Laidlaw & Company (UK) Ltd. and Roth Capital Partners, LLC as Joint Book Running Managers of PhaseRx, Inc.’s $18.5M IPO

Press Release – New York, NY – May 23, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Laidlaw & Company (UK) Ltd. and Roth Capital Partners, LLC as Joint Book-Running Managers of the initial public offering of PhaseRx, Inc. (NASDAQ: PZRX).

Partners Marc Ross and James Turner Represent Taglich Brothers, Inc. in a $1.355 Million Private Placement

Press Release – New York, NY – May 19, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it represented Taglich Brothers, Inc. continue reading >>

Sichenzia Ross Friedman Ference LLP Represents Axiom Capital Management, Inc. In $1.2 Million Public Offering of iSign Solutions Inc.

Press Release – New York, NY – May 19, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Axiom Capital Management, Inc. as the underwriter in a firm commitment underwritten public offering of equity securities of iSign Solutions Inc. continue reading >>

Partner Greg Sichenzia to Participate in Panel on Uplisting to a National Exchange at the Marcum MicroCap Conference

Press Release – New York, NY – May 19, 2016 – Founding partner Greg Sichenzia will participate in a panel on uplisting to a national exchange at the 2016 Marcum MicroCap Conference in New York City on June 1, 2016 at 9AM. The panel will address what every company needs to know before, during and after an uplisting. The panel moderator will be Andrew Hall of Nasdaq and the other panelists will include Dave Donohoe of ROTH Capital Partners and Ramnarain Jaigobind of Joseph Gunnar & Co. LLC.
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Sichenzia Ross Friedman Ference LLP Represents Joseph Gunnar and Fordham Financial Management in $7.5 Million Public Offering of Aytu Bioscience, Inc.

Press Release – New York, NY – May 9, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Joseph Gunnar & Co. LLC as sole book-running manager and Fordham Financial Management, Inc. as lead manager in a firm commitment underwritten public offering of equity securities of Aytu BioScience, Inc.

Partner Harvey Kesner Joins Client ChromaDex Corp. at NASDAQ Opening Bell Ceremony

Press Release – New York, NY – May 9, 2016 – Sichenzia Ross Friedman Ference LLP partner Harvey Kesner joined representatives of client ChromaDex Corp. including Frank L. Jaksch, Chief Executive Officer, Tom Varvaro, Chief Financial Officer, and Troy Rhonemus, Chief Operating Officer, at the NASDAQ MarketSite in Times Square to ring the May 6 opening bell. Also present at the opening ceremony was former Chromadex employee Jordan Kesner, Masters in Biotechnology and currently a Ph.D. candidate in Systems Biology at Columbia University.

Partner Jeffrey Fessler Represents Synergy Pharmaceuticals Inc. on $89.8 Million Registered Direct Offering of Common Stock

Press Release – New York, NY – May 6, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP is pleased to announce that the Firm has represented Synergy Pharmaceuticals Inc. (NASDAQ: SGYP), a biopharmaceutical company focused on the development and commercialization of novel gastrointestinal (GI) therapies, on a registered direct offering of 29,948,334 shares of the Company’s common stock at a public offering price per share of $3.00 without an underwriter or placement agent.

Sichenzia Ross Friedman Ference LLP Represents DelMar Pharmaceuticals, Inc. in $7.5 Million Sale of Series B Preferred Shares

Press Release – New York, NY – May 5, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that the firm represented DelMar Pharmaceuticals, Inc. in connection with the sale of $7,500,000 of its Series B Preferred Shares. DelMar Pharmaceuticals, Inc. was founded to develop and commercialize new cancer therapies in indications where patients are failing or have become intolerable to modern targeted or biologic treatments.

Marc J. Ross, Esq. Speaks at Greenhouse Venture’s Cannabis Conference

Founding partner Marc Ross will be speaking at the Innovation in the Cannabis Industry: Technology, Medical & Investment conference on April 30th, where he will discuss Cannabis Investment Trends.

Please click here for more information on this event, and pass it along to anyone you think might be interested.

If you have any questions, please contact Marc at mross@srfkllp.com or (212) 398 – 5541.

Firm Participates in TechDay

April 20, 2016 – Tomorrow, Thursday April 21, 2016, Sichenzia Ross Friedman Ference LLP will be participating in TechDay, the largest startup event in the U.S. The firm will have a booth showcasing its Legal Services for Entrepreneurs practice group. The top venture capital firms, accelerators and over 550 tech companies are expected to participate. TechDay is open to the public and free to attend – come to learn about our services and to watch live demos or Shark Tank open casting calls.

Firm Ranked #4 and #5 in PrivateRaise’s Q1 PIPE League Tables

April 19, 2016 – Sichenzia Ross Friedman Ference LLP was ranked #4 placement agent counsel and #5 issuer counsel in PrivateRaise’s Q1 PIPE league tables. PrivateRaise, a service of The Deal, ranks the top investment managers, placement agents, placement agent legal counsel, issuer legal counsel, and investor legal counsel by the total number of placements advised each quarter.

Partner Gregory Sichenzia Quoted on IPO Activity

New York, NY – April 12, 2016 – Partner Greg Sichenzia was quoted in a Law360 article titled “Dormant IPO Market Could Pick Up Speed In 2nd Quarter”. The article discussed the recent uptick in IPO activity in the second quarter, but notes that concerns about valuations have postponed several IPOs this year. Greg noted that small to midsize biotech companies still face difficulties in obtaining IPO funding, forcing some to consider reverse mergers and other alternative routes to public markets.

Read the full article here.

Partner Harvey Kesner and SRFF Support South Florida After-School All-Stars

New York, NY – April 11, 2016 – Partner Harvey Kesner and Sichenzia Ross Friedman Ference LLP supported the All-In for All-Stars (“ASAS”) silent auction and poker tournament held on April 9, 2016 in Miami Beach, Florida. All proceeds benefited Arnold Schwarzenegger’s After-School All-Stars program that continue reading >>

Partner Gregory Sichenzia Appears on CNBC to Discuss Impact of New Fiduciary Rule on Broker-Dealers

Press Release – New York, NY– April 7, 2016 – Founding partner Gregory Sichenzia appeared on CNBC’s Closing Bell on April 6 where he debated the benefits and drawbacks of the new fiduciary rule announced that day by the Department of Labor. Greg noted that this new standard is likely to lead to substantial regulatory costs for small broker dealers and may not result in better products or targeted advice. A core part of the rule says that if advisers offering retirement advice want to continue receiving commissions and other types of compensation for selling specific products, they and their clients need to sign a “best interest contract” in which the adviser pledges to put the client’s interests first. That is stricter than the current standard, which only provides they need to offer “suitable” recommendations.

To view the video, click here.

Sichenzia Ross Friedman Ference LLP Represents Citius Pharmaceuticals Inc. in connection with its acquisition of LM Biosciences, Inc.

Press Release – New York, NY – March 8, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Citius in its acquisition of LM Biosciences, Inc. (“LMB”). LMB is a late-stage specialty pharmaceutical company focused on the development and commercialization of critical care products with a concentration of anti-infective drugs. continue reading >>

Partner Marc Ross to Discuss Investing in the Legal Marijuana Sector at the Growth Capital Expo

Press Release – New York, NY – April 6, 2016 – Founding partner Marc Ross will participate in a panel on the conflicting and ever-changing state of marijuana laws at the federal and state levels at the 2016 Growth Capital Expo on May 3-5 at Caesars Palace in Las Vegas. The panel will address the current state of affairs, the impact of the evolving state regulatory regimes governing medical and recreational use, and the future of the market’s federal status in the near and long term.

More than 15 hours of presentations and discussion panels are scheduled over the three days of the Expo, an event bringing together emerging growth company executives, investors and finance specialists. Other topics addressed will include the Reg A+ “mini-IPO” process, microcap shareholder activism and cybersecurity issues.

Visit here to learn more.

Partner Gregory Sichenzia Writes “Jumpstarting the IPO Market: Economic Factors to Watch in 2016” for Huffington Post

April 5, 2016 – Partner Greg Sichenzia wrote an article for Huffington Post Business titled “Jumpstarting the IPO Market: Economic Factors to Watch in 2016.” The article discusses recent macro and micro economic trends that may spark an uptick in IPO activity. These include an increase in public filings since January, greater stability in the global markets, cost cutting efforts by pre-IPO companies and opportunities for investors to enter the market near the bottom.

Read the full article here.

Partner Jeffrey Fessler Represents ContraVir Pharmaceuticals, Inc. on $7.0 Million Public Offering of Common Stock and Warrants

Press Release – New York, NY – April 5, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP is pleased to announce that the Firm has represented ContraVir Pharmaceuticals, Inc. (NASDAQ: CTRV), a biopharmaceutical company focused on continue reading >>

Partner Michael Ference Inducted Into the Bergen Catholic High School Hall of Fame

Press Release – New York, NY – March 30, 2016 – Sichenzia Ross Friedman Ference LLP is proud to announce that founding partner Michael Ference, Co-head of the firm’s litigation practice, was inducted into the hall of fame of his alma mater Bergen Catholic High School in Oradell, New Jersey during its annual hall of fame induction ceremony on March 20, 2016. Mr. Ference was honored for his achievements while a student at Bergen Catholic as well as for his personal and professional accomplishments thereafter.

Partners Richard Friedman and Harvey Kesner Sponsored Charity Tennis Tournament at Roth Conference

March 23, 2016 – Partners Richard Friedman and Harvey Kesner sponsored a tennis round robin tournament on March 13, 2016 at the ROTH Capital Partners 28th Annual Conference held in Orange County, California. continue reading >>

Partner Jeff Fessler Joins Client ContraVir Pharmaceuticals, Inc. at NASDAQ Opening Bell Ringing

Press Release – New York, NY – March 22, 2016 – Sichenzia Ross Friedman Ference LLP partner Jeff Fessler joined representatives of client ContraVir Pharmaceuticals, Inc., a biopharmaceutical company focused on the development and commercialization of targeted antiviral therapies, at the NASDAQ MarketSite in Times Square to ring the March 21 closing bell. continue reading >>

Sichenzia Ross Friedman Ference LLP Announces the Addition of Jeffrey R. Burke

Sichenzia Ross Friedman Ference LLP (“SRFF”) announced today that Jeffrey R. Burke, previously a partner in the securities litigation and regulatory enforcement practice of Winston & Strawn LLP has joined the securities litigation and regulatory practice of SRFF as a partner in its New York office. continue reading >>

Partner Gregory Sichenzia Quoted in U.S. News & World Report

March 14, 2016 – Partner Greg Sichenzia was interviewed for an article in U.S. News & World Report l titled “What to Expect for IPOs in 2016.” The article discusses the current status of the IPO market and predictions for future deal flow.

Read the full article here.

Sichenzia Ross Friedman Ference LLP Represents H.C. Wainwright & Co., LLC and Joseph Gunnar & Co., LLC as Joint Book Running Managers for $6.0 Public Offering and Uplisting to Nasdaq

Press Release – New York, NY – March 8, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented H.C. Wainwright & Co., LLC and Joseph Gunnar & Co. as joint book running managers in a firm commitment underwritten public offering of equity securities of LabStyle Innovations Corp.

Sichenzia Ross Friedman Ference LLP Represents Viatar CTC Solutions Inc. in a $4.2 Million Private Placement

Press Release – New York, NY – March 3, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Viatar CTC Solutions Inc., a medical technology company focused on the treatment of patients with metastatic cancer, in a private placement of $4.2 million of Series B Preferred Stock. continue reading >>

Partner Gregory Sichenzia Quoted in The Deal

March 2, 2016 – Partner Greg Sichenzia was interviewed for an article in The Deal titled “Credit Market Volatility Versus the Model.” The article discusses the effect of the market’s recent volatility on investment activity.

Read the full article here.

Sichenzia Ross Friedman Ference LLP Represents Laidlaw & Company (UK) Ltd. as Placement Agent for a $6.9 Million Private Placement

Press Release – New York, NY – February 26, 2016 – Nationally recognized securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that it has represented Laidlaw & Company (UK) Ltd. as the exclusive placement agent in a private placement of equity securities of Pershing Gold Corporation (NASDAQ: PGLC), a mining company (the “Company”). In connection with the offering, the Company accepted subscriptions for the sale of approximately $6.9 million in gross proceeds of 2,120,882 Units, with each Unit comprised of 1 share of Common Stock and a 30 month warrant to acquire 0.5 of a share of Common Stock at an exercise price of $5.06, at a price of $3.25 per Unit.

Sichenzia Ross Friedman Ference LLP Represents Amarantus BioScience Holdings, Inc. in a $3 Million Registered Direct Offering

February 24, 2016 – New York, NY – Press Release – Sichenzia Ross Friedman Ference LLP announced today that the Firm represented Amarantus BioScience Holdings, Inc. in a $3 million offering of the Company’s Series H Convertible Preferred Stock and Warrants to purchase common stock.

Partners Richard Friedman and Harvey Kesner Sponsor Tennis Round Robin at Roth Conference

February 24, 2016 – Partners Richard Friedman and Harvey Kesner will be sponsoring a tennis round robin tournament at the ROTH Capital Partners 28th Annual Conference held in Orange County, California. Join CAF athletes at the Monarch Beach Tennis Club on Sunday, March 13 from 1:00 to 3:00 pm for a round robin doubles tennis draw. Richard and Harvey will be playing and will match all donations of $100 or more. All proceeds will go to the Challenged Athletes Foundation.

Partner Gregory Sichenzia Discusses “Investing in a Down Market” for the Huffington Post

February 22, 2016 – Partner Greg Sichenzia wrote an article for Huffpost Business titled “Investing in a Down Market: Learnings From Warren Buffet and Other High Profile Investors.” The article provides an overview of current macroeconomic conditions and offers insights on investment opportunities and pitfalls in weak market conditions.

Read the full article here.

Partner Gregory Sichenzia Quoted on Biotech IPOs

February 22, 2016 – Partner Greg Sichenzia was quoted in a Law360 article titled “More Biotech IPOs Likely To Rely On Insiders Amid Slump.” The article discussed that more biotech companies are relying on support from inside investors to close deals due to weaker demand in the broader market. Greg noted that insider participation can be key to obtaining venture capital support.

Read the full article here.

Blog Post – Founding Partner Marc Ross Shares “Regulation A+: Funding The Start-up”

Overview

Start-ups looking to raise no more than $50 million now have the ability to do so by a Regulation A+ offering. The recent amendments to Regulation A, which is Regulation A+, under the Securities Act of 1933, as amended (the “Securities Act”), allow companies to increase the amount of capital that they can raise in a Regulation A offering from $5 million to $50 million over a 12-month period. continue reading >>

Firm Sponsors National Investment Banking Association (NIBA) Conference

NEW YORK, NY – February 9, 2016 – New York City based securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced that it is proudly sponsoring the National Investment Banking Association (NIBA) Conference February 10th and 11th at the Margaritaville Hotel in Hollywood, Florida. Featured at the event will be two clients of the firm, EcoArk, Inc. and Green PolkaDot Box, Inc. (OTC:GPDB)

Bankruptcy Chair Ralph E. Preite Successively Guides Lundy’s Through Chapter 11 Bankruptcy Protecting All Assets

Partner Ralph E. Preite, Esq. successively guided Lundy’s Management Corp. through Chapter 11 bankruptcy reorganization to protect Lundy’s $20 million net lease for development of historic landmark waterfront real estate in Sheepshead Bay, Brooklyn, NY.

Partner Gregory Sichenzia Quoted on Alternatives to IPOs and Follow-On Deals

February 5, 2016 – Partner Greg Sichenzia was quoted in a Law360 article titled “Cold IPO Market Forces Companies To Get More Creative.” The article discussed that the weak market for initial public offerings and follow-on deals has companies scrambling for alternatives to meet their capital needs. Viable options for them to choose from exist, albeit none as ideal as a robust public market. Greg discussed the pros and cons of reverse mergers and Nasdaq’s and NYSE’s one-year “seasoning period” through which most companies must first trade over the counter while filing audited financial statements with the SEC.

Read the full article here.

Partner Arthur Marcus Judges at Startupalooza’s PITCH 2016 Competition

New York, NY – January 29, 2016 – Arthur Marcus, a partner in the firm’s corporate law group, acted as a judge in Startupalooza’s PITCH 2016 Competition on January 27, 2016. continue reading >>

Firm Again Ranked as #12 in Nation for Public Offerings

New York, NY – January 28, 2016 – For the second year in a row, Sichenzia Ross Friedman Ference LLP ranked as the #12 most active by the number of registration statements filed under the Securities Act of 1933, as amended, and the Securities Exchange Act of 1934, as amended. continue reading >>

SRFF Litigation Attorney Ross Carmel Wins $1.5 Million in Damages

Press Release – New York, NY – January 27, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that litigation attorney Ross D. Carmel successfully represented a client in a business dispute. continue reading >>

Partner Marc Ross Shares “Cannabis Banking Problems Continue: U.S. District Court Shoots Down Cannabis Banking Rights”

It took “ten courageous citizens” recognizing the difficulty in obtaining banking services for marijuana-related businesses to form the Fourth Corner Credit Union in March 2014. continue reading >>

Partner Harvey Kesner Represents MabVax Therapeutics Holdings, Inc. in a Debt Facility for up to $10,000,000

Press Release – New York, NY – January 21, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that the firm represented MabVax Therapeutics Holdings, Inc. continue reading >>

Partner Harvey Kesner Represents Investors in Restructuring of Beacher’s Madhouse and Terminating Lease With MGM Grand Las Vegas Hotel & Casino

Press Release – New York, NY – January 21, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that the firm has represented the investors in Beacher’s Madhouse, the world famous nightclub (the “Company”), in connection with a $2,500,000 restructuring of the Company’s capital structure and terminating the Company’s lease with the MGM Grand Las Vegas Hotel & Casino. continue reading >>

Partner Gregory Sichenzia Quoted on the Impact of Market Volatility on Biotech Issuers

January 19, 2016 – Partner Greg Sichenzia, whose clients include Swedish and Israeli biotech companies, was quoted in a Law360 article titled “Market Volatility Cools Attys’ Hopes For ‘JPMorgan Bounce’.” continue reading >>

The Deal Names Firm #1 Issuer Legal Counsel for Q4 and Quotes Partner Greg Sichenzia on Market Activity

January 18, 2016 – Sichenzia Ross Friedman Ference LLP was ranked #1 issuer counsel and #5 placement agent counsel in PrivateRaise’s Q4 PIPE league tables. continue reading >>

Founding Partner Marc J. Ross, Esq. Comments on the Launch of New York’s Medical Marijuana Program

Sichenzia Ross Friedman Ference founding partner Marc J. Ross, Esq. was recently asked to contribute insight for Marijuana Investor News’ article, “New York State Begins Medical Marijuana Sales.” This article discusses the limitations of our marijuana program as well as the expectations of the program in the future.

Please read the article here.

Partner Henry Nisser Featured by Swedish-American Chamber of Commerce after representing Oasmia Pharmaceutical AB

Press Release – New York, NY – January 14, 2016 – Sichenzia Ross Friedman Ference LLP is pleased to announce that Partner Henry Nisser was featured by the Swedish-American Chamber of Commerce, Inc. continue reading >>

Sichenzia Ross Friedman Ference LLP Again Ranks #1 as PIPE Issuer Law Firm for 2015

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

Also Ranked as Leading Investor and Placement Agent Counsel

Partner Harvey Kesner Represents Rant Inc. in Note and Warrant Financing

Press Release – New York, NY – January 14, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that the firm has represented Rant Inc. continue reading >>

Partner Gregory Sichenzia Interviewed on the Drop in Reverse Mergers For the PIPEs Report and TheStreet.com

January 12, 2016 – This week, Sichenzia Ross Friedman Ference LLP Partner Gregory Sichenzia was quoted in a PIPEs Report and TheStreet.com article titled “Reverse Mergers Dwindle in Favor of Other Offerings”. The article discussed the decline in reverse merger transactions in 2015 and the expected popularity of Regulation A+ offerings and self-underwritten offerings in 2016. Read the full article here.

Partner Marc Ross Announced as a Keynote Speaker at the Viridian Cannabis Investor Conference in NYC

New York, NY – January 12, 2016 – Sichenzia Ross Friedman Ference LLP partner Marc J. Ross will be a keynote speaker at the Viridian Cannabis Investor Conference on January 13, 2016 in New York City. continue reading >>

Sichenzia Ross Friedman Ference LLP Attorneys Join Client Oasmia Pharmaceutical AB at NASDAQ Opening Bell Ringing

Press Release – New York, NY – January 11, 2016 – Sichenzia Ross Friedman Ference LLP partners Gregory Sichenzia, Thomas Rose, Henry Nisser and Tara Guarneri-Ferrara and counsel Peter DiChiara joined representatives of client Oasmia Pharmaceutical AB, a developer of a new generation of drugs within human and veterinary oncology, at the NASDAQ MarketSite in Times Square to ring the January 11 opening bell. continue reading >>

Partner Harvey Kesner Represents Orbital Tracking Corp. in Preferred Stock and Note Financings

Press Release – New York, NY – January 7, 2016 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that the firm has represented Orbital Tracking Corp., a provider of satellite based tracking services and mobile voice and data communications, in two private placements for a total of $1,100,000. continue reading >>

Partner Marc Ross Represents Israeli Medical Marijuana Company OWC Pharmaceutical Research Corp. in Financing

Press Release – New York, NY – December 30, 2015 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that the firm has represented OWC Pharmaceutical Research Corp. continue reading >>

Partner Gregory Sichenzia Shares Why Higher Rates Drive Companies to Equity Markets, for Huffington Post

This week, Sichenzia Ross Friedman Ference LLP Partner Gregory Sichenzia discussed why higher rates drive companies to equity markets in his Huffington Post blog series. continue reading >>

Partner Marc Ross Provides Marijuana Investor Magazine With Legal Analysis on Marijuana at the Supreme Court

Sichenzia Ross Friedman Ference founding partner Marc Ross was recently featured in Marijuana Investor News’ article, providing legal analysis on marijuana at the Supreme Court. To read the entire article, please click here.

Partners Darrin Ocasio and Arthur Marcus Represent CBC Biotechnologies Inc. in Series A Preferred Stock Venture Financing

Press Release – New York, NY – December 24, 2015 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced that the firm has represented CBC Biotechnologies Inc., a commercial solutions provider of cannabinoid based products with applications in the fields of pharmaceuticals, nutraceuticals and cosmetics/skin care, in connection with a $2,000,000 Series A venture financing with Tuatara Capital Fund I, L.P.
continue reading >>

Partner Richard Friedman Represents eMagin Corporation in $6M Registered Direct Offering

Press Release – New York, NY – December 23, 2015 – Securities and corporate law firm Sichenzia Ross Friedman Ference LLP announced today that the firm has represented eMagin Corporation (NYSE MKT: EMAN) (the “Company”), the leader in the development, design and manufacture of Active Matrix OLED microdisplays for high resolution imaging products, in connection with its $6,000,000 registered direct offering. continue reading >>

Partner Marc Ross Comments on What Marijuana Industry Leaders Really Want for Christmas

Sichenzia Ross Friedman Ference founding partner Marc Ross was recently featured in Marijuana Investor News’ article, “What Marijuana Industry Leaders Really Want For Christmas,” where he discussed the future of the marijuana industry and the changes that will likely ensue over time. Please read the article here.

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