Investor referral fees

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.

About Suzanne (
Suzanne Lazicki is a business plan writer, EB-5 expert, and founder of Lucid Professional Writing. Contact me at (626) 660-4030.

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