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Securities Exchange Act › EB-5

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Mintz - EB-5 Financing Viewpoints

Three Immigration Lawyers Sanctioned by the SEC for Brokering EB-5 Investments

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The Securities and Exchange Commission (SEC) has just published three new decisions in connection with administrative proceedings against two well known immigration lawyers, as well as against a third lawyer. One party has...more

Bryan Cave Leighton Paisner

EB-5 Program Update – SEC Orders $3.2 Million in Disgorgement Against Unregistered Broker-Dealers

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So you want to use the government’s EB-5 Immigrant Investor Program (“EB-5 Program”) to raise cash? Be aware that the SEC will be looking over your shoulder to determine whether you are acting as an unregistered broker-dealer...more

Carlton Fields

SEC Charges EB-5 Brokers For Not Registering

Carlton Fields on

Multiple firms involved in the solicitation of investment capital for the Immigrant Investor Program (also known as "EB-5") have recently been charged by the SEC with acting as unregistered brokers. Neither In re Ireeco, LLC,...more

Katten Muchin Rosenman LLP

SEC Brings Complaint in $68 Million Affinity Fraud Scheme

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On July 6, the Securities and Exchange Commission filed a complaint in connection with a $68 million affinity fraud scheme allegedly orchestrated by Bingqing Yang, through her wholly owned management companies, Luca...more

Blank Rome LLP

SEC Charges EB-5 Brokers with Violation of the Exchange Act

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Action Item: In what is expected to be the first of many cease-and-desist orders made by the SEC against brokers handling investments in EB-5 investment projects, all EB-5 organizers and sponsors, through their due diligence,...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The Ninth Circuit upheld a conviction for illegal tipping, following Dirks but raising doubt regarding its adherence to Newman in an opinion authored by Judge Rakoff, sitting by designation. The Commission filed settled...more

Dorsey & Whitney LLP

SEC Files Offering Fraud Charges Based in Part on EB-5 Program

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The EB-5 program, which promises a path to a permanent green card for those who can invest in this country and create jobs, has been involved in a number of SEC enforcement actions, most recently involving unregistered broker...more

Dorsey & Whitney LLP

SEC Brings First Unregistered Broker Charges Based on EB-5 Program

Dorsey & Whitney LLP on

The EB-5 program was designed to create a path to becoming a permanent residence in the U.S. for certain immigrants while facilitating job creation in the United States. Initiated in 1990, the program gives a foreign...more

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