Latest / Inside Securities Law with Frederick M. Lehrer
Finders, Consultants, and the Unregistered Broker-Dealer Problem
Finders, Consultants, and the Unregistered Broker-Dealer Problem
Companies raising capital often hire “finders,” consultants, advisors, or business-development professionals to introduce them to potential investors. But under federal securities laws, the person’s title does not control the legal analysis. What matters is what that person actually does—and how they are paid.
In this episode, securities attorney and former SEC enforcement attorney Frederick M. Lehrer explains why seemingly informal capital-raising arrangements may constitute unregistered broker activity. He discusses the…
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