Articles Posted in Foreign Investors

Securities and Exchange Commission v. A Chicago Convention Center, LLC, Anshoo Sethi, and Intercontinental Regional Center Trust of Chicago, LLC, Civil Action No. 13-cv-982 SEC HALTS $150 MILLION INVESTMENT SCHEME TO DUPE FOREIGN INVESTORS AND EXPLOIT IMMIGRATION PROGRAM The Securities and Exchange Commission recently announced charges and an asset freeze against an individual living in…

In the Matter of Angelica Aguilera: August, 2012: Recently, the Securities and Exchange Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Angelica Aguilera. The Division of Enforcement (Division) alleges that Aguilera, former President of LatAm Investments, LLC, failed reasonably to…

Commission Charges Brokers for Defrauding Brazilian Public Pension Funds in Markup Scheme August, 2012: The Commission today filed a civil fraud action in the United States District Court for the Southern District of Florida against two former brokers in Miami for overcharging customers approximately $36 million by using hidden markup fees on structured note transactions.…

SEC Charges N.Y.-Based Brokerage Firm With Layering September, 2012: The Securities and Exchange Commission recently announced that it charged a New York-based brokerage firm and three executives for allowing traders outside the U.S. to access the markets and conduct manipulative trading through accounts the firm controlled. The SEC’s investigation found that Hold Brothers On-Line Investment…

SEC Charges Florida Brokers for Defrauding Brazilian Public Pension Funds in Markup Scheme August, 2012: The Securities and Exchange Commission recently charged two former brokers in Miami with fraud for overcharging customers approximately $36 million by using hidden markup fees on structured notes transactions. The SEC alleges that Fabrizio Neves conducted the scheme while working…

Invest Internationally – How to do it. There are a number of ways individual investors may gain exposure to international investments. As with domestic investments, investors should first learn as much as they can about an investment. The purpose of this post is to provide the reader with general discussion of this topic. This information…

March, 2012: How to Protect Yourself from Worthless Stock Scams: Regulators often refer to worthless stock scams as “recovery room operations,” “advance fee schemes,” or “reload scams” because the perpetrators prey on individuals who lost money once and are willing to invest even more in the hope of recovering their losses. Here are several ways…

March, 2012: In our continued effort to educate the investing public about various aspects of the securities markets and fraudulent activity associated therewith, we are providing the below information. Because this information is being provided for educational purposes only, it should not be relied upon as providing legal or investment advice. Moreover, it is not…

Assessing Your Risk Tolerance! One of the first factors that needs to be considered when thinking about making any type of investment is risk. When it comes to investing, you need to remember that risk and reward go hand in hand. The phrase “no pain, no gain” – comes close to summing up the relationship…

We encourage all investors to thoroughly investigate any investment opportunity and the person promoting it before you part with your money-especially if you are a non-U.S. investor seeking to invest in U.S. stocks or other types of investments. This is particularly important if you learn about the investment on the Internet or hear about it…