Month: September 2014

The Commission prevailed on summary judgment in an action against a broker which alleged he misappropriated client funds. The agency also filed actions centered on: an audit failure; the EB-5 immigration program; undisclosed conflicts; a failure to have supervisory procedures …

This Week In Securities Litigation (Week ending September 5, 2014) Read More »

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The government’s EB-5 program is supposed to be a win win for everyone. For immigrants seeking admission to the United States it is supposed to provide a path to citizenship if the requirements, centered on the investment of $500,000 or …

The SEC Brings Another Case Centered on the EB-5 Immigration Program Read More »

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