About

Richard A. Friedman is a partner in the Corporate Practice Group in the firm's New York office and a member of the Blockchain Technology and…

Richard A. Friedman is a partner in the Corporate Practice Group in the firm's New York office and a member of the Blockchain Technology and Digital Assets team.

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Yesterday, each of Nasdaq, FINRA and NYSE released Regulatory Alerts highlighting concerns surrounding fraudulent activities in Small-Cap IPOs. Each of these alerts raises similar issues, highlights the importance of the Underwriter in the process, and stresses the obligations that Underwriters have as Gatekeepers in the IPO Process. Below is a link to each of these Alerts and some relevant excerpts from them.

Continue Reading Nasdaq, FINRA and NYSE Issue Warnings of Small-Cap IPO Fraud

About

Richard A. Friedman is a partner in the Corporate Practice Group in the firm's New York office and a member of the Blockchain Technology and…

Richard A. Friedman is a partner in the Corporate Practice Group in the firm's New York office and a member of the Blockchain Technology and Digital Assets team.

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