Tag: unregistered broker

The Commission ended last week with the filing of a case against an issuer in the plant extract business and its controlling shareholder centered on the sale of unregistered shares to three individuals and errors in company filings about the …

Commission Files Two Unregistered Broker Cases Read More »

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The Commission has brought a series of unregistered broker actions in recent years – the cases have become a staple of Enforcement. One of the areas which seems to generate a continuing series of these cases is the EB-5 program. …

SEC Files Another Unregistered Broker Action Tied to EB-5 Read More »

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