Tag: unregistered broker

Frequently the retail investor focus of the Enforcement Division results in offering fraud actions – those in which investors are convinced to purchase shares in fraudulent offerings of securities. Another facet of the retail investor focus, however, can be seen …

Unregistered Brokers – Another Key to Protecting Retail Investors Read More »

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The EB-5 immigration program was designed to encourage wealthy foreign nationals to immigrate to the U.S. and invest in the country. Under the program a foreign national can secure a green card by investing at least $500,000 to $1 million …

Ninth Circuit Affirms Ruling For SEC in EB-5 Case Read More »

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