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Tag: Finders

12 05 '16
SEC Cracking Down on Illegal Finders - Wilson Bradshaw LLP Securities Law Firm

SEC Cracking Down on Illegal Finders

I have come across so many people who are professional “capital raisers” or people who find startups with investor funds and then get a commission from the company depending on how much they bring in.  When you go to FINRA’s BrokerCheck website, you realize that they aren’t actually licensed brokers but illegal finders.  A few…

Gilbert J. Bradshaw
CategoryBroker/Dealer Regulation
CategoryFinders
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