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Partner, Sunny Barkats, quoted in “Finders Beware: Know the Law or Suffer the Penalties”

(DGIwire)  Using a “finder” to identity potential business opportunities is pervasive throughout the securities industry, particularly by small issuers interested in raising capital. Because of their size, and newness to public markets, many smaller companies are either “shut out” from access to traditional Wall Street Institutions or they simply don’t know the depth of the…