Last week, the U.S. Securities and Exchange Commission (SEC) announced a series of enforcement actions against lawyers across the country, charging them with offering EB-5 investments and receiving compensation while
Continue Reading SEC Charges Attorneys Across the Country for Acting as Unlicensed Securities Brokers
securities compliance
Carl Fornaris and William Mack Address Personal Liability Facing Financial Industry Compliance Professionals
By Greenberg Traurig on
Posted in Events
The Financial Markets Association held its Annual Securities Compliance intense training seminar focused on current compliance topics, new rules or interpretations, and regulatory developments. Carl Fornaris, shareholder, and William Mack,…
Continue Reading Carl Fornaris and William Mack Address Personal Liability Facing Financial Industry Compliance Professionals