See Article published on BanklessTimes http://www.banklesstimes.com/2017/05/23/5-tips-to-crowdfunding-portals-preparing-for-your-first-finra-examination/
Speaker, 2017 Las Vegas EB-5 & Investment Convention, Bellagio Resort & Casino, Las Vegas, NV, January 14, 2017
Panel Exposure Related Litigation: Preventing or Responding to an Investigation, with Jor Law of Homeier & Law, Brian Aryai of Compliance Services LLC, Scott Andersen of Andersen, PC, Osvaldo Torres of Torres Law PA, and Robert Cornish Jr. of Phillips Lytle LLP. http://www.eb5investors.com/conferences/2017-las-vegas-eb-5-investment-immigration-convention
Speaker, EB5 Investors 2016 New York EB-5 & Investment Immigration Convention, Sheraton New York Times Square Hotel, NY, July 18, 2016
http://www.eb5investors.com/conferences/2016-new-york-eb-5-convention/speakers Speaker on panel, EB-5 Litigation Issues: SEC Enforcement and Civil Suits
Speaker, FundIt Crowdfunding, Compliance Marketing and Technology Conference, Bellagio Hotel and Casino, Las Vegas, Nevada, April 26 and 27, 2016
Speaker on the panel, “Serial Issuers for Funding Portals – How to Conduct 506c, 4(a)(6) and Reg A Offerings,” on April 26, 2016. Speaker on the panel “Risk – Broker, Platform & Portal Liability When Deals Go South,” on April 27, 2016.
Some recent Securities and Exchange Commission (SEC) actions should be carefully reviewed by issuers, funding platforms and portals. This is because they provide stark warning to those who sell securities over the internet but who do not comply with the federal securities laws. Unregistered broker-dealer Activity, Yet Another Example In[…]