The attached article, published on lexology.com, discusses recent U.S. Securities and Exchange Commission (SEC) enforcement action and New York State court decisions regarding persons acting as finders in securities transactions. The article states that these recent actions "confirm that individuals that act as “finders” in securities offerings will be the subject of increased scrutiny."
Download article_sec_v_macgregor_and_torsiello_capital_partners_case_730081.pdf
