Marc Ross, Esq.
Marc J. Ross is a founding partner of Sichenzia Ross Friedman Ference LLP, a firm he started in 1998 which specializes in corporate and securities law. Mr. Ross represents public and private companies, brokerage firms, registered representatives, high net-worth individuals, and hedge funds, both nationally and internationally, on securities, corporate, regulatory, and litigation/arbitration matters.
In the securities and corporate area, Mr. Ross advises companies with their 1934 Act reporting requirements as well as their NASDAQ, AMEX and NYSE and other exchange listing and compliance matters. In addition, Mr. Ross assists companies going public, whether through a reverse merger (RTO), initial public offering (IPO), or company offering (DPO). He also advises clients on investment and capital raising transactions, including private investments in public equities (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 matters from arbitrations before FINRA, the AAA, and JAMS, to court cases nationwide. Mr. Ross also counsels clients in civil regulatory and possible criminal investigations before self-regulatory organizations, state agencies, or federal agencies. He regularly appears before the SEC, FINRA, and state securities agencies in connections with investigations by 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.
Mr. Ross also specializes in advising marijuana and marijuana-related companies. He is an adjunct professor teaching the first law school course on marijuana titled Business and Law of Marijuana, and often speaks on the legal issues associated with marijuana and marijuana-related businesses, including the interplay between state laws which legalize recreational and/or medical marijuana uses, and federal laws which bar such uses.