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Dodd-Frank: SEC Issues Call for Comments

By Allison Bell, Senior Editor/Web Editor, National Underwriter Life & Health The U.S. Securities and Exchange (SEC) has set up a Dodd-Frank Wall Street Reform and Consumer Protection Act comment submission process. The SEC has posted a list of Dodd-Frank act comment submission form links...

Securities and Exchange Commission Sets Up Dodd-Frank Wall Street Reform and Consumer Protection Act Comment Submission Process

By Allison Bell, Senior Editor/Web Editor, National Underwriter Life & Health The U.S. Securities and Exchange (SEC) has set up a Dodd-Frank Wall Street Reform and Consumer Protection Act comment submission process. The SEC has posted a list of Dodd-Frank act comment submission form links...

Two Brokers Charged With Defrauding Institutional Investors

Two Brazilian public pension funds and a Colombian institutional investor paid about $36 million in excessive mark ups in the latest fraudulent scheme uncovered by the SEC. Fabrizio Neves and Jose Luna, both registered representatives at now defunct Florida broker LatAm Investments, Inc. were the culprits...

SEC Announces EB-5 Enforcement Actions

SEC, Dec. 7, 2015 - "The Securities and Exchange Commission today announced a series of enforcement actions against lawyers across the country charged with offering EB-5 investments while not registered to act as brokers."