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…
The debate over the taxation of “carried interest” has been percolating for years and the release of Mitt Romney’s personal tax returns in connection with his presidential campaign generated more wide-spread interest in the subject. And while the relatively preferential tax rates that fund managers pay on these investment profits survived the “fiscal cliff” budget…
