Nancy Lieberman

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Using finders, instead of investment bankers that are registered broker-dealers, involves significant risks that could threaten a company’s ability to successfully raise capital now and in the future. The biggest risk is that if the finder is deemed to be an unregistered broker-dealer, under federal and some state securities laws an investor may have the right to cancel its securities purchase and get its money back. Under federal law, this rescission right can be exercised until…