Tag Archives: Finders Fees

The LeGaye Law Firm Cited in Article

April 28, 2011PressFinders Fees, SECDaniel LeGaye

John F.Roth, SEC SEC Compliance, Regional Center Selection, posted a blog posted titled “Securities Law and Finder’s Fees in the EB-5 Field”, in which The LeGaye Law Firm’ s article … Continue reading The LeGaye Law Firm Cited in Article →

SEC Further Limts Use of Finders Fees

September 27, 2010Legal AlertsFinders Fees, SECDaniel LeGaye

The Securities and Exchange Commission’s (SEC) position on the payment of finder’s fees to non-registered broker-dealers has been further clarified in a request for a No-Action Letter, which was denied … Continue reading SEC Further Limts Use of Finders Fees →