Securities

Recent Posts

Implications of the SEC’s Charges Against Unregistered Broker Based on EB-5 Program
Posted on 9 Jul 2015 by Omar Hakim

[UPDATE: This article was updated to correct the names of the respondents in the described case.] The Securities and Exchange Commission (“SEC”) has further demonstrated its intent to take a more active role in ensuring that participants... Read More

SEC Settles Unregistered Broker Charges Tied to Offering Fraud
Posted on 31 Jul 2015 by Thomas O. Gorman

The SEC entered into partial settlements with three persons charged with acting as brokers without registering. The charges were tied to an offering fraud which centered on selling interests in a firm that claimed to be engaged in the business of buying... Read More