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.  

FinLaw: What are the Top Priorities of the SEC?

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[…]