The Securities and Exchange Commission (SEC) announced a series of enforcement actions against lawyers across the country charged with offering EB-5 investments while not registered to act as brokers. In one … Continue reading Lawyers Tagged by SEC for Offering EB-5 Investments as Unregistered Brokers
The Securities and Exchange Commission announced that in fiscal year 2015, it continued to build a strong record of first-of-their-kind cases that spanned the spectrum of the securities industry. The … Continue reading SEC Enforcement Activities in Fiscal 2015 Appear Aggressive
FINRA, through the The National Adjudicatory Council (NAC), first published the Sanction Guidelines in 1993. The goal of the Sanction Guidelines was twofold. First, it was intended to familiarize FINRA … Continue reading FINRA Enforcement Sanctions Increased