The Risks of Using Finders and Unregistered Brokers

Private fund managers often use placement agents, finders, and other intermediaries to help raise capital for their investment funds. Using an intermediary that has failed to register as a broker-dealer, however, is fraught with risk. In his article "The Risks of Using Finders and Unregistered Brokers", private funds attorney Josh Watson cautions against using unregistered …

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