Richard A. Friedman

Legal Counsel

Richard A. Friedman is a partner in the Corporate Practice Group at SHEPPARD, MULLIN, RICHTER & HAMPTON LLP.

Richard is principally engaged in the practice of Corporate and Securities Law, with a concentration on public offerings and private placements. His extensive experience includes reverse mergers (both domestic and foreign companies), secured and unsecured private equity financing transactions (PIPEs), as well as initial public offerings (IPOs), registered direct offerings (RDs) and shelf offerings. He also represents publicly-held companies with their 1934 Act reporting obligations and with NASDAQ, AMEX, NYSE and other exchange listing and compliance matters. In addition, he represents both public and private companies with a wide variety of corporate transactions, including mergers and acquisitions, joint ventures, employment and shareholder agreements, and the formation of private equity hedge funds. Richard’s practice also involves representation of Broker-Dealers and Registered Individuals in a wide array of matters, including ongoing compliance, regulatory inquiries and disciplinary proceedings before governmental and self-regulatory organizations, such as the SEC, FINRA, NYSE and State Securities Commissions.

Representative Transactions

  • Represented Issuer in a $10 million public offering and simultaneous listing on the Nasdaq Capital Market
  • Represented Underwriters in a $24 million public offering and simultaneous listing on the Nasdaq Capital Market
  • Represented Placement Agent in a $30 million shelf offering for a NYSE AMEX listed company
  • Represented Issuer in a reverse merger and simultaneous $15 million financing and listing on the NYSE AMEX
Copyright © 2019 AI VentureTech, Inc.