Speaker, EB5 Investors 2016 New York EB-5 & Investment Immigration Convention, Sheraton New York Times Square Hotel, NY, July 18, 2016
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- Jul 18
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http://www.eb5investors.com/conferences/2016-new-york-eb-5-convention/speakers Speaker on panel, EB-5 Litigation Issues: SEC Enforcement and Civil Suits
Read MoreSpeaker, FundIt Crowdfunding, Compliance Marketing and Technology Conference, Bellagio Hotel and Casino, Las Vegas, Nevada, April 26 and 27, 2016
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- Apr 28
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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.
Read MoreFinLaw: What are the Top Priorities of the SEC?
- By: admin
- Dec 8
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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 my last regulatory action update,
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