Sichenzia Ross Ference Carmel LLP

Named Partners: Gregory Sichenzia, Marc Ross, Michael Ference, Ross Carmel
Co-Managing Partners: David Blumenthal, Thomas Rose
Managing Partner – Corporate and Securities Department: Evan Cappelli

Firm Overview

Sichenzia Ross Ference Carmel LLP (“SRFC”) in New York, New York, is a nationally respected law firm providing strategic legal counsel to businesses, institutions and individuals across the United States and around the world. We are one of the most active law firms in the United States for securities transactions.

With a team of approximately 70 attorneys, we offer comprehensive representation in corporate and securities matters, litigation and arbitration, trusts and estates, and tax matters. Our work is driven by a commitment to helping clients navigate complex legal challenges while advancing their business and personal objectives efficiently and creatively.

Our firm was founded in 1998 with a clear purpose: to offer an alternative to the traditional large law firm model. From the beginning, we focused on delivering high-caliber legal services in a more responsive, client-centered environment. That founding vision continues to shape how we practice today, allowing us to provide personalized attention while handling matters of significant scale and sophistication.

Our firm has earned a strong reputation within the securities and financial markets community. We are frequently entrusted with complex transactions and regulatory matters, and our credibility in the industry allows us to open doors and create meaningful opportunities for our clients. Through long-standing professional relationships and a deep understanding of the marketplace, we help clients enhance their visibility and position themselves for growth.

Over the years, we have expanded thoughtfully by welcoming attorneys who share our values and dedication to client service.

Main Areas of Practice

We have a market-leading Corporate and Securities Department, which handles a wide range of corporate and securities transactions, an established Litigation and Arbitration Department, which is known for its securities litigation, regulatory defense and commercial litigation practices, and a well-regarded Trusts and Estates group, which handles a variety of estate planning matters for individuals and families.

Corporate and Securities Department

The firm's flagship practice is its market-leading Corporate and Securities Department, which regularly represents corporate issuer clients, investment banks and investors in a variety of transactions in a wide range of industries.

The firm's transactional capabilities include initial public offerings ("IPOs") and other public offerings, private investment in public equity ("PIPE") transactions and other private securities offerings, registered direct offerings, mergers and acquisitions, special purpose acquisition company ("SPAC") transactions, cryptocurrency-related transactions, private fund transactions and more.

SRFC represents clients from all over the world, including (among others):

• Public and private companies
• Corporate boards and board committees
• Investment banks/broker-dealers
• Institutional investors, including private equity and venture capital firms
• Family offices
• High-net-worth individuals and families

Clients are often drawn to SRFC’s flexible pricing model for corporate and securities matters. The firm offers fixed fee arrangements for many types of transactions, as well as public company reporting and compliance.

For more information regarding SRFC’s corporate and securities practice area capabilities, please visit the following:

• Capital Markets and Securities
• Corporate Governance
• SEC Registration Statements
• Mergers and Acquisitions
• PIPEs, Private Placements and Registered Direct Offerings
• ATMs and Other Equity Financing Alternatives
• Public Company Reporting and Compliance
• Private Funds and Investment Managers
• Broker-Dealers
• Restricted Stock and Beneficial Ownership Filings
• Alternative Public Offerings (APOs) and Reverse Mergers
• SPAC Transactions
• Legal Services for Start-Ups and Entrepreneurs
• Asia Practice
• Israel Practice
• Acquisitions, Tax Structuring and Tax Planning
• Transactions

Litigation and Arbitration Department

SRFC also has a renowned Litigation and Arbitration Department, which has extensive experience in securities litigation, regulatory defense and arbitration matters, as well as broker-dealer regulatory matters and various types of commercial litigation.

Securities Litigation

SRFC’s litigators prosecute, defend and counsel clients, including public and private companies, investors and individuals on a wide range of disputes arising from compliance, internal controls, and transactions, including violations of federal and state securities laws, business torts and contract disputes, compensation and covenants litigation, fraud, negligent misrepresentation, and shareholder disputes.

Securities Regulatory Defense

SRFC’s litigators also advise clients on all aspects of securities regulatory defense, including securities inquiries and investigations, interviews, proffers, testimony, Wells submissions, negotiated resolutions, and the full range of administrative and civil enforcement proceedings.

Securities Arbitration

SRFC also has extensive experience representing national, regional and independent brokerage firms, investment advisors, officers, directors, brokers, placement agents and finders, in customer and industry mediations and arbitrations before FINRA Dispute Resolution, the American Arbitration Association and other alternative dispute resolution forums.

Broker-Dealer Registration and Membership

SRFC’s litigators also advise clients on broker-dealer registration (federal and state) and membership (FINRA and others), including with regard to broker-dealer formation, new membership applications, amending membership agreements of existing broker-dealers and obtaining FINRA or other approvals for changes in ownership or control, among other matters.

Commercial Litigation Capabilities

SRFC’s litigators also regularly represent clients in a wide range of commercial disputes, including:

• Business and contract disputes and litigation
• Shareholder/partnership disputes, dissolution, and break-ups (“corporate divorce”)
• Shareholder derivative actions
• Business torts, including breach of fiduciary duty, fraud, unfair competition, and unlawful use of trade secrets
• Real estate litigation
• Labor and employment disputes
• Merger, acquisition and divestiture disputes
• Municipal procurement and government contract disputes
• Bankruptcy and creditor rights litigation
• Construction litigation and disputes
• Intellectual property disputes, including licensing, trademark and copyright disputes
• Government and regulatory investigations and enforcement proceedings
• Class and collective actions
• Trusts and estates litigation
• Personal and high-net worth controversies and litigation
• Arbitration and mediation in a variety of areas

Trusts and Estates

SRFC also has a Trusts and Estates group which handles a wide range of estate planning and administration matters for individuals and families, including:

• Wills
• Revocable Living Trusts
• Irrevocable Trusts
• Advance Directives
• Probate and Estate Administration

www.srfc.law

This webpage may constitute attorney advertising. Prior results do not guarantee a similar outcome. The information on this webpage is for general informational purposes only and should not be construed as legal advice or a substitute for obtaining legal advice from an attorney. No attorney-client relationship is formed by visiting this webpage or by contacting Sichenzia Ross Ference Carmel LLP through this webpage.