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Peter Hong and Lawrence Stadulis Discuss Broker-Dealer Registration Violations

June 24, 2021
Firm News
PHILADELPHIA – Stradley Ronon Partners Peter M. Hong and Lawrence P. Stadulis served as panelists on the Strafford CLE webinar, “Finders and Unregistered Broker-Dealers: Understanding the Risks and Recent Developments,” on June 22. Hong and Stadulis analyzed the legal pitfalls for securities issuers who utilize unregistered "finders" to solicit investors, the SEC's restrictive position on permissible activities of finders, activities that require broker-dealer registration and SEC regulatory actions regarding unregistered broker-dealers.

Hong uses his many years of service at the Securities and Exchange Commission and the Commodity Futures Trading Commission to guide clients through the various regulatory requirements involved in the offer of financial services and products. His practice includes the registration and regulation of investment advisers, broker-dealers, commodity trading advisors, commodity pool operators, and introducing brokers under federal and state laws, as well as the formation and ongoing compliance obligations of registered and private investment companies.

Stadulis advises clients in matters pertaining to the registration and regulation of investment advisers and investment companies under federal and state securities laws. He also manages related issues pertaining to investment advisers and investment companies, including matters involving ERISA, broker-dealer regulation and banking laws.

About Stradley Ronon
Counseling clients since 1926, Stradley Ronon has helped private and public companies – from small businesses to Fortune 500 corporations – achieve their goals by providing pragmatic, value-driven legal counsel. With offices in seven strategic locations, our responsive team of more than 200 attorneys seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.

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