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Im attorney Laura Anthony founding partner of Legal Compliance, a full service corporate, securities, and business transactions law firm. Today is the final LawCast in a series talking about finders fees. The SEC is authorized to seek civil penalties and injunctions for violations of the broker-dealer registration requirements. Egregious violations can be referred to the attorney general or Department of Justice for criminal prosecution as well. In addition to providing potential regulatory problems, using an unregistered person who does not qualify for either the statutory or any other exemption to assist with the sale of securities may create a right of rescission in favor of the purchasers of those securities. That is a fancy way of saying they may ask for and receive their money back. Section 29(b) of the Exchange Act, provides in pertinent part: Every contract made in violation of any provision of this title or of any rule or regulation thereunder, the performance of which invo
