SRFC has an efficiently-run restricted stock department that works closely with issuers, shareholders, broker dealers and transfer agents with respect to issues regarding the proposed sale or transfer of restricted securities. We help advise and guide our clients with the myriad of issues associated with restricted stock, and with their compliance with the safe harbor provisions under Rule 144 of the Securities Act of 1933. We assist shareholders with the issues associated in having restricted legends removed from their securities, and we assist issuers and Broker-Dealers clients in establishing procedures and protocols to effectively comply with applicable rules and regulations. SRFC also helps in facilitating the filings of Forms 3, 4 and 5’s, as well as Schedules 13D and 13G, when needed for client affiliates.
- Sichenzia Ross Ference Carmel LLP Represents Fincadia Advisors in $80 Million Venture Capital Investment in Lambda
- Sichenzia Ross Ference Carmel LLP Represents RBW Capital Partners in $7.5 Million Public Offering of Digital Brands Group, Inc.
- Sichenzia Ross Ference Carmel LLP Represents CIMG Inc. in $10 Million Private Placement Offering
- Sichenzia Ross Ference Carmel LLP Represents Dominari Securities, LLC and Revere Securities LLC in $15 Million Initial Public Offering of Shares of Common Stock of Aureus Greenway Holdings Inc.
- Sichenzia Ross Ference Carmel LLP Represents Autozi Internet Technology (Global) Ltd. in Private Placement Offering
- Sichenzia Ross Ference Carmel LLP Represents R.F. Lafferty & Co., Inc. and Revere Securities LLC in $8.4 Million Initial Public Offering of Ordinary Shares of Plutus Financial Group Limited
- Sichenzia Ross Ference Carmel LLP Represents BriaCell Therapeutics in $3 Million Public Offering
- Sichenzia Ross Ference Carmel LLP Represents 60 Degrees Pharma in $1.075 Million Registered Direct Offering
- Sichenzia Ross Ference Carmel LLP Represents Benjamin Securities, Inc. and D. Boral Capital LLC in $6 Million Initial Public Offering of Huachen AI Parking Management Technology Holding Co., Ltd
- Sichenzia Ross Ference Carmel LLP Represents Callan JMB in $5.12 Million Initial Public Offering
- Sichenzia Ross Ference Carmel LLP Represents Sharps Technology, Inc. in Closing of $20 Million Underwritten Public Offering
- Sichenzia Ross Ference Carmel LLP Represents A2Z Cust2Mate Solutions Corp. in $30 Million Public Offering and Concurrent Registered Direct Offering
- Sichenzia Ross Ference Carmel LLP Represents 60 Degrees Pharma in $1.043 Million Registered Direct Offering
- Sichenzia Ross Ference Carmel LLP Represents Virpax Pharmaceuticals in $6 Million Public Offering
- Sichenzia Ross Ference Carmel LLP Represents A.G.P/Alliance Global Partners in the $60 Million Initial Public Offering of Columbus Acquisition Corp
- Sichenzia Ross Ference Carmel LLP Represents PMGC Holdings Inc. in $1.9 Million Warrant Inducement
- Sichenzia Ross Ference Carmel LLP Represents Dominari Securities and Revere Securities in $6 Million Initial Public Offering of Skyline Builders Group Holdings Limited
- Sichenzia Ross Ference Carmel LLP Represents Cyngn Inc. in Financing Transactions Aggregating $33 Million in Gross Proceeds
- Sichenzia Ross Ference Carmel LLP Represents Bousted Securities, LLC and D. Boral Capital LLC in $3.5 Million Private Placement Offering For Kairos Pharma
- Sichenzia Ross Ference Carmel LLP Represents Craft Capital Management in $600,000 Public Offering of Giftify, Inc.
