Rebecca Lawrence

Rebecca Lawrence

Ballard Spahr LLP

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Placement Agents and Due Diligence: FINRA Settles With a Placement Agent for Failure to Retain Evidence of the Process and Results...

Summary - FINRA settled with a placement agent for failing to perform due diligence and supervise an employee in connection with the placement of securities by the placement agent in a Regulation D offering....more

12/2/2020  /  Due Diligence , EDGAR , Financial Industry Regulatory Authority (FINRA) , Private Placements , Regulation D
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