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Guide to JOBS Act Crowdfunding

March 1, 2017

Navigating through the different “crowdfunding” exemptions that the Jumpstart Our Business Startups Act (JOBS Act) creates can be tedious.  To help, we’ve created this handy Crowdfunding Matrix.  To download a printable PDF, please click here.      

EB-5 Industry Protected by FINRA from Barred Principals at NMS Capital Securities (Final Action Pending)

December 18, 2017

On December 15, 2017 FINRA issued its Extended Hearing Panel Decision in its Disciplinary Action No. 2013037522501.  This Action was commenced on March 24, 2016 against Trevor Saliba of FINRA-member firm NMS Capital Securities LLC, and several other of the firm’s representatives.  NMS has been active in the…

The SEC Fires a Warning Shot Against Celebrity Endorsements of ICO Investments

November 11, 2017

As the price of Bitcoin reaches record heights and a torrent of money floods into Initial Coin Offerings (“ICOs”), the U.S. Securities & Exchange Commission (“SEC”) issued a statement on Wednesday, November 1, 2017 warning investors to be wary of “celebrities and others” promoting investments in ICOs.  See …

Concurrent Reg D & Reg S ICOs

November 11, 2017

  Initial coin offerings are all the craze, and for good reason. According to CoinSchedule, over $3 billion has been raised in the first 10 months of October. The Securities Exchange Commission released an investigative report concluding that DAO tokens were securities, and that scared people for maybe a few…

ICO Trend of Disallowing US Based Investors

August 22, 2017

An increasing number of ICOs are choosing to disallow US investors from participating.  For those of you on those management teams, or those of you with connections to those teams, I urge you to consider the following: 1) Presumably, disallowing US based investors is for the purposes of…

SEC Investigates Registration Violations in EB-5 Offerings

July 21, 2017

It’s no secret that the Securities & Exchange Commission (SEC) has actively policed the EB-5 industry. Oversight by the SEC has generally been a good thing for the industry as it has brought greater awareness to legal compliance and helped protect investors who might have otherwise been defrauded. Historically,…

SEC Authority over EB-5 Offerings Confirmed in Court Victory

July 6, 2017

On Thursday, June 29, 2017, in the closely-watched EB-5 case SEC v. Feng, No. 2:15-cv-09420 (C.D. CA, filed December 7, 2015), a U.S. district court in California affirmed the authority of the Securities and Exchange Commission (SEC) to oversee EB-5 investment offerings. New York attorney Hui Feng was one of several immigration attorneys…

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