Spencer Feldman Published in Law360 and Columbia Law’s Blue Sky Blog on FINRA and Stock Exchange Crack Down on Small-Cap IPO “Ramp and Dump” Schemes


Securities Law360, Capital Markets Law360 (Law360 subscription required), and Columbia Law School’s Blue Sky Blog published an article authored by Olshan partner Spencer G. Feldman. In the articles, Mr. Feldman analyzes the recent notices issued by FINRA, NYSE and NASDAQ to their members concerning the recent trend of significant unusual price increases on the day of or shortly after the IPOs of small-cap issuers, most of which involve issuers with operations in China and other foreign countries, as part of so-called “ramp and dump” schemes, and place the obligation to battle the schemes on underwriters as “gatekeepers to the public markets.” The articles are based on an earlier Olshan blog post authored by Mr. Feldman.

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