Tag: investment fund fraud

The EB-5 program, which promises a path to a permanent green card for those who can invest in this country and create jobs, has been involved in a number of SEC enforcement actions, most recently involving unregistered broker charges. In …

SEC Files Offering Fraud Charges Based in Part on EB-5 Program Read More »

Tagged with: , , ,

The SEC brought another custody rule action this week – against the outside auditors alleging that one examination was insufficient and the others incomplete thereby causing the client to violate the surprise audit requirement of the rule. failing the surprise …

This Week In Securities Litigation (The week ending June 26, 2015) Read More »

Tagged with: , , , , , ,