Home Failure to Register With FINRA as a Broker-Dealer Can Cost Mergers and Acquisitions Brokers Dearly

Failure to Register With FINRA as a Broker-Dealer Can Cost Mergers and Acquisitions Brokers Dearly

By Andrew R. Dennington

This article outlines the First Circuit Court of Appeals confirmation of summary judgement granted to Conn Kavanaugh’s client, a long-term care pharmacy business based in Massachusetts, after it had been sued by an investment banking firm in Ohio.

Read the full article: https://www.jdsupra.com/legalnews/failure-to-register-with-finra-as-a-7248263/

 

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