Consequences of Violating Section 29

TheDeal Magazine, May 10, 2010

Joseph W. Bartlett and Jonathan G. Kortmansky co-authored "Consequences of Violating Section 29," published by TheDeal Magazine on May 10, 2010. The article discusses:

Finders bring investors and issuers together using their contact lists, but their services are limited.
However, finders' activities often fall within the Securities and Exchange Commission staff's interpretation of the definition of a broker-dealer.
Using an unregistered broker to facilitate a deal poses significant risks to all parties involved.