Ross Carmel
Ross is an experienced securities attorney and partner of Sichenzia Ross Ference Carmel. Ross has extensive experience representing public and private companies, start-ups, investment banks and investors in all aspects of corporate transactions, including corporate finance, mergers and acquisitions, private equity financing transactions, registered direct offerings, public offerings and other securities offerings.
Ross regularly advises entrepreneurs and start-ups from entity formation, to funding, to exit, acting as outside general counsel to many small and medium sized businesses.
Ross also assists and advises brokers and broker-dealers in all aspects of broker-dealer compliance, including both SEC and FINRA rules and regulations, helping them navigate through the ever evolving regulatory landscape.
Ross is a pragmatist, believing in cost-effective and practical solutions for his clients. Ross Carmel has been named a Super Lawyer Rising Star by Thomson Reuters for 2017, 2018, 2019, 2020 and 2021.
Ross's publications include, InvestmentNews.com – The DOL fiduciary rule’s effect on small broker-dealers – May 2016
and WealthManagement.com – Crowdfunding is a Crowd Failure – July 2016
Topic
Thursday November 14 2024
Using Regulation A as a "Synthetic Shelf"
- Process involved and SEC filings
- Types of companies that would be eligible/applicable
- Utilizing the synthetic shelf within the Nasdaq/NYSE 20% rule
Thursday November 14 2024
What you Need to Know About the SEC's Enforcement Campaign Against Convertible Debt PIPE Investors
- Overview of the ~20 actions against PIPE investors for failing to register as “dealers”
- Understanding the SEC’s argument and the factors to be considered as to whether a PIPE investor is a dealer
- Discussion of the consequences to the PIPE market
- How investors can protect themselves