Investor referral fees
June 29, 2011 Leave a comment
Since, as Jor Law and Martha Stewart remind us, it’s a good idea to keep on the right side of the Securities and Exchange Commission, do pay attention to the minefield involved in paying investor referral fees. AILA yesterday reposted a A 5/17/10 letter from the U.S. Securities and Exchange Commission denying the “no-action” request of Brumberg, Mackey & Wall in relation to the firm’s activities of referring investors to a company for a fee without registering as a broker-dealer. AILA Doc. No. 11062863.
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