Beware of what someone contacting investors does or says and how they are paid
Chris Barsness - Securities Law Media Chris Barsness - Securities Law Media
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 Published On Sep 16, 2024

You need to be a registered broker dealer of securities in order to get paid transaction based compensation, in other words, commission for bringing investors in. There are a few limited circumstances where this doesn’t apply, but it usually does and you have to be careful about what someone who is soliciting investors is telling them and how they’re getting compensated 

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