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Full details available only for registered and approved users.
Full details available only for registered and approved users.
Full details available only for registered and approved users.
Full details available only for registered and approved users.
From the very beginning, a year-round farmers market was envisioned to occupy the ground floor of the six-story apartments at 2900 Grand Ave. Those plans were delayed with the legal troubles of now imprisoned developer Lobsang Dargey. Th...
Full details available only for registered and approved users.
Full details available only for registered and approved users.
Full details available only for registered and approved users.
Vermont Business Magazine Attorney General TJ Donovan has asked the Lamoille Superior Court to dismiss a lawsuit brought by five EB-5 investors against the State of Vermont and 10 current and former state employees. Plaintiffs allege that they...
Rendering of the Nordstrom flagship store and its main entrance on 57th Street Banks are wary they can’t sell debt before holiday sales season The Nordstrom family is scurrying to come up with more equity to take the retailer private as ...
Full details available only for registered and approved users.
A De Pere businessman who defrauded a local bank has reached a plea agreement with federal prosecutors. A federal grand jury indicted Ron Van Den Heuvel on 19 counts, alleging that he took part in a scheme to defraud Horicon Bank. As part o...
Michael Goldberg, the court-appointed receiver in the EB-5 fraud case, speaks at a Statehouse news conference Thursday. Ten people have become the first defrauded EB-5 investors in the Jay Peak Resort projects to obtain permanent U.S. resid...
Full details available only for registered and approved users.
Full details available only for registered and approved users.
Michael Goldberg explains a settlement with the financial firm Raymond James which will pay contractors and investors owed money in the Jay Peak and Burke Mountain EB-5 projects at the Statehouse in Montpelier on Thursday, April 13, 2017.  ...
Full details available only for registered and approved users.
Full details available only for registered and approved users.
Full details available only for registered and approved users.
The Hotel Jay is the signature project of the Jay Peak Resort expansion. The developers used EB-5 immigrant investor money to build the five-story hotel. An investor alleges that the fifth floor was double-sold to two sets of investors.  Go...

Securities Alerts: SEC & FINRA News, Articles

The EB-5 program has grown substantially in recent years, increasing foreign direct investment in the U.S., supporting tens of thousands of new jobs for U.S. workers, and driving development in communities across the country. However, recent is...
Last month, the United States District Court in the Eastern District of Pennsylvania (Philadelphia) ordered a default judgment against an interest in a limited partnership connected with an EB-5 investment. This otherwise obscure judgment is a...
Introduction Under the Securities Act of 1933 (the "1933 Act") every offer or sale of securities must either be registered or exempt from registration. Section 5 of the 1933 Act. One of the most significant and prevalent exemptions is conta...
This Note discusses broker-dealers' affirmative obligation to conduct a reasonable investigation when recommending securities sold in offerings exempt from SEC registration under Regulation D of the Securities Act of 1933. The Note explains th...
Foreign Finders The longstanding rules on foreign finders – when a brokerage firm can pay transactionbased compensation to a non-registered foreign finder – will be incorporated into new FINRA Rule 2040, effective August 24, 2015. This...
FINRA Regulatory Notice 15-07 informs broker-dealer FINRA members (“members”) of the expanded governance regarding payments to unregistered persons for securities-related and capital-raising activities.  The Notice alerts members to the SEC ap...
The Financial Industry Regulatory Authority released Regulatory Notice 15-07 to alert member firms of the new consolidated rules regarding payments to unregistered persons and membership. The notice also alerts member firms of amendments to a ...
FINRA Rule 2040 governs the payment of transaction-based compensation by member firms to unregistered persons. Rule 2040(a) – General. Rule 2040(a) directs persons to look to SEC rules to determine whether the activities in question requ...
  FINRA Rule 2040 governs the payment of transaction-based compensation by member firms to unregistered persons. Rule 2040(a) – General. Rule 2040(a) directs persons to look to SEC rules to determine whether the activities in question...
FINRA has issued a regulatory notice on new consolidated FINRA Rules 2040 (Payments to Unregistered Persons) and 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation), and on amendments to FINRA Rule 8311 (Eff...
The U.S. Securities and Exchange Commission is expanding a crackdown on a little-known program to dole out visas to wealthy foreigners in exchange for investments that generate jobs. The SEC is preparing sanctions against as many as two dozen imm...
The Securities and Exchange Commission recently approved the Financial Industry Regulatory Authority’s (FINRA’s) proposed Rule 2040 regarding Payments to Unregistered Persons. Section (a) of the Rule prohibits members or associated persons fro...
The role of the Financial Industry Regulatory Authority (FINRA) in dealing with payments to unlicensed persons for securities-related and capital-raising activities has grown significantly. On Dec. 30, 2014, the U.S. Securities and Exchange Co...
The role of the Financial Industry Regulatory Authority (FINRA) in dealing with payments to unlicensed persons for securities-related and capital-raising activities has grown significantly. On Dec. 30, 2014, the U.S. Securities and Exchange Co...
Companies seeking capital are frequently approached by intermediaries who offer to locate investors in exchange for a fee.  Most intermediaries also known as “finders” are not registered as broker-dealers with the Securities and Exchange Commi...
FINRA filed a proposed rule change with the SEC to adopt FINRA Rule 2040 regarding the payment of transaction-based compensation by FINRA member broker-dealers to unregistered persons. FINRA has also proposed amending FINRA Rule 8311 and ad...
The SEC recently settled an enforcement action against an individual alleged to have sold millions of dollars in securities on behalf of oil and gas companies without being associated with a registered broker dealer, as required by Section 15(...
Your good client, Avery Phillips, Chairman of the Board, calls you because he is considering engaging a friend, Tepper, to identify potential investors for his company. Phillips explains that Tepper has extensive business contacts and that he ...
The story of last year's Chapter 11 filing by Neogenix Oncology Inc. is a stark reminder to issuers of securities of the dangers of using unregistered "finders" or "business brokers" to assist in the offer or sale of securities. As we noted in...
THE CHALLENGE ABC Capital Partners, a private equity firm and investment adviser to PE Fund I, is raising capital for PE Fund II. ABC Capital has been approached by Finders ‘R Us to assist ABC Capital in its fundraising efforts for PE Fund ...

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