On August 17, 2021, the Securities and Exchange Commission (SEC) filed a litigated enforcement action in federal court in San Francisco, California alleging insider trading against Matthew Panuwat. Of note, the SEC action...more
On October 15, 2020, the Securities and Exchange Commission (“Commission” or “SEC”) announced settled charges against Andeavor LLC for internal accounting controls violations relating to a stock buyback plan it implemented...more
The Securities and Exchange Commission (“Commission” or “SEC”) recently instituted settled administrative and cease-and-desist proceedings against a chief compliance officer of a registered investment adviser for record...more
Non-Enforcement -
The EB-5 Immigrant Investor Program has Provided a Breeding Ground for Securities Fraud -
Back in 1990, Congress created the United States Citizenship and Immigration Services (USCIS) EB-5...more
3/3/2016
/ EB-5 ,
Enforcement Actions ,
Insider Trading ,
Investment Adviser ,
Investment Funds ,
Material Nonpublic Information ,
Mergers ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
State Regulators ,
Target Company ,
Unregistered Brokers ,
Venture Capital
Be Careful to Adhere to Best Practices When Approving Advisory Agreements -
The Securities and Exchange Commission instituted and settled an administrative proceeding against an investment adviser, its principal, and...more