Marc J. Ross
Marc J. Ross is a founding partner of Sichenzia Ross Ference LLP. Mr. Ross represents clients (public and private companies, brokerage firms, registered representatives, high net-worth individuals, and hedge funds) throughout the United States, North America, Asia, Europe and Israel. Mr. Ross advises clients on securities, corporate, regulatory and litigation/arbitration matters.
In the securities and corporate area, Mr. Ross advises companies, mainly small to mid-cap public companies, with their 1934 Act reporting requirements as well as their NASDAQ, AMEX and NYSE and other exchange listing and compliance matters. He also assists companies wanting to go public, whether through a reverse merger, initial public offering, or company offering, and advises clients on a wide range of investment and capital raising transactions, including private investments in public equity transactions (PIPEs), initial public offerings (IPOs), registered direct offerings (RDs), and shelf offerings.
In the litigation and regulatory area, Mr. Ross represents clients in commercial/securities litigation and arbitration matters nationwide from routine lawsuits to complex cases, including multi-district litigation, class and derivative actions, injunctive actions, and arbitration proceedings conducted through FINRA, the AAA, and JAMS. Mr. Ross also counsels clients through the arduous and often frustrating process of civil regulatory and possibly criminal investigations, whether the client is the subject of an investigation by a self-regulatory organization, a state agency, or a federal agency. In particular, he regularly appears before the SEC, FINRA, and state securities agencies in connections with investigations, including responding to FINRA 8210 requests, appearing for On-The-Record examinations, preparing “Wells” submissions, negotiating Acceptance, Waiver & Consent agreements, and defending clients in enforcement proceedings.
Prior to founding Sichenzia Ross Ference LLP, Mr. Ross was associated with several large and distinguished law firms, including Willkie Farr & Gallagher.
Hofstra University Law School
Mr. Ross teaches a course which introduces students to the rapidly-developing legal questions encountered in the operation of marijuana-related businesses. The course uses a fictional business, Cannabis Inc., to explore (1) the interplay between state laws legalizing recreational and/or medical marijuana uses and the Federal Controlled Substances Act (CSA); (2) enforcement and application of other regulatory regimes governing the operation of marijuana-related businesses, such as banking and securities laws; and (3) the ethical considerations for an attorney advising a client engaged in a marijuana-related business. Students are encouraged to develop normative arguments regarding the legalization of marijuana.
Mr. Ross graduated with distinction from Hofstra University School of Law in 1987, where he was an Associate Editor of Law Review and President of the Trial Advocacy Club. During law school,
Mr. Ross received several awards for excellence, including the William F. Levine Scholarship Award from Hofstra University and an award from the American Trial Lawyers Association.
Mr. Ross is licensed to appear before courts of the State of New York as well as the United States Supreme Court, First and Second Circuits, and District Courts for the Southern and Eastern District of New York.
Mr. Ross also regularly appears before the Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA) and various state and federal agencies.
Office: New York
Direct: (212) 398-5541