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FINRA Raises the Bar on Due Diligence by Broker Dealers Involved in EB-5

At the end of August, the Financial Industry Regulatory Authority, Inc. (FINRA) issued an interpretive guidance letter to a registered broker dealer (BD), Trustmont Financial Group, Inc. (Trustmont). Trustmont had sought...more

9/20/2013 - Broker-Dealer EB-5 FINRA Immigrant Investment Visas Investors SEC Visas

SEC Freezes Assets and Brings Civil Charges against EB-5 Investor Visa Project

In the first SEC enforcement action of its kind, the SEC announced on February 8, 2013 that it had filed civil charges against, and received an emergency order to freeze assets of, the Intercontinental Regional Center Trust...more

2/12/2013 - Due Diligence EB-5 Foreign Investment Immigrant Investment Visas Injunctions Misrepresentation Omissions Permanent Residence Cards Public Offerings SEC USCIS

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