Investments Compliance

Jason Lampa MBA
The failure of private placement offerings Medcap and Provident have sent sales of Reg D products into a death spiral as the lack of competence among independent broker/dealers and their due-diligence teams were exposed for not discerning which products should be approved or denied for use. The neat thing about capitalism is that there will always be entrepreneurs that will recognize a problem and provide a solution.
Click here to continue reading

Recent Investments Compliance Articles

Ron Surz

Roccy Defrancesco

ERIA-admin

ERIA-admin

Bill Bachrach

More Articles