FINRA has filed a proposed rule with the Securities and Exchange Commission (“SEC”) that would require associated persons of FINRA member firms who are responsible for the design, development or …
Credit Suisse Refuses to Pay Deferred Compensation to Brokers
In the fall of 2015, Credit Suisse announced that it intended to wind down its United States private banking operations. Shortly thereafter, Credit Suisse announced that it had entered into an …
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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 …
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 …
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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 …
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 …
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