The Commission has brought a series of unregistered broker actions in recent years – the cases have become a staple of Enforcement. One of the areas which seems to generate a continuing series of these cases is the EB-5 program. That program is also the source of the Commission’s most recent case in this area. In the Matter of Edwin Shaw, LLC, Adm. Proc. File No. 3-18384 (March 5, 2018).
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