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Finders: Friend or Foe of Issuers?

Connecticut Department of Banking Securities Forum 2003

October 27, 2003

October 27, 2003
Sheraton Stamford Hotel
Stamford, CT

Panel I: Return of the "Finders" – Who They Are, What They Do, How They’re Regulated

Despite the recent stock market slump, private offerings of securities are on the rise, bringing with them an assortment of consultants, placement agents and other "finders" to locate prospective investors. This panel will clear up common misconceptions concerning how and when "finders" are regulated under state and federal securities laws. Moderator: Harold B. Finn, III, Esq.*Panelists: Richard Rose, Esq.*, Donna Brooks, Esq.*, Cynthia Antanaitis, Esq.

(* Denotes Advisory Council Member)

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