Tuesday, August 30, 2016

Categories: Investor Alerts and Advisories

Escheatment is a process whereby the government takes ownership of property, including financial assets, that has been deemed abandoned by the property’s rightful owner. Escheatment of financial accounts typically occurs after a period of account-related dormancy (or “inactivity”) and after attempts to identify and contact the account owners have failed.


Tuesday, August 30, 2016

Categories: Investor Alerts and Advisories

In an effort to stimulate the U.S. economy through job creation and capital investment by foreign investors, the U.S. Congress in the early 1990s authorized the creation of a new type of immigrant visa known as the Employment-Based, Fifth Preference (EB-5) visa.


Friday, July 15, 2016

Categories: Enforcement Actions

Monday, June 13, 2016

Categories: Enforcement Actions

Thursday, May 26, 2016 at 11:05 am

Categories: Investor Alerts and Advisories

The Jumpstart Our Business Startups (JOBS) Act, a series of legislative provisions intended to facilitate capital formation in the United States, was signed into law in 2012. This legislation included the CROWDFUND Act, which made significant changes to current federal and state securities laws. The CROWDFUND Act allows entrepreneurs to raise capital by offering to sell interests in their businesses over the Internet. Under the CROWDFUND Act, a small business is allowed to raise $1 million in a 12-month period by selling its securities to investors without registering that offering with federal or state securities regulators. However, the Act places limitations on how and to whom a small business can sell its securities. In May 2106, the Securities and Exchange Commission (SEC) issued rules to implement this new exemption to allow securities sales through crowdfunding.
 


Thursday, May 26, 2016

Categories: Investor Alerts and Advisories

The Internet has become an inexpensive and easy way for individuals and businesses to raise money. In 2012, Congress passed the JOBS Act, which directed the Securities and Exchange Commission (SEC) to formulate rules to exempt equity crowdfunding from the securities registration laws.  These rules went into effect in May, 2016 and removed restrictions on start-up companies that use the internet to find investors.   


Wednesday, May 18, 2016 at 11:00 am

Categories: Investor Alerts and Advisories

The Securities and Exchange Commission’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors understand Master Limited Partnerships, or MLPs.  Because investing in an MLP may be unfamiliar, investors should carefully consider potential benefits – and risks – before making an investment decision.


Tuesday, April 5, 2016 at 11:00 pm

Categories: Investor Alerts and Advisories

A pension is a type of retirement plan, usually tax-exempt, in which an employee makes contributions toward a pool of funds set aside for an employee’s future benefit. The pool of funds is invested on the employee’s behalf, allowing the employee to receive benefits upon retirement.

  • Are you earning a pension from your employer and need cash fast?
  • Are you an investor looking for new ways to grow your investment dollars?

If you answer yes to either question, you may be the target of a new wrinkle on an old type of scam.