向美国证券交易委员会投诉及其他选择

Rather than pursue a full scale litigation against an investment issuer, investors can consult with attorneys to analyze other options available to them.

U.S. Securities and Exchange Commission

Some investors may wish to file complaints or tips with the U.S. Securities and Exchange Commission (SEC) for financial mismanagement or intentionally misleading investors by their investment issuer. Assuming the wrongdoing is subject to oversight by the SEC, submitting a complaint or tip can be very beneficial. In fact, the SEC recently enacted a whistleblower program that encourages individuals to submit, sometimes anonymously, tips to the SEC. If the SEC takes action based on the tip, the whistleblower may be entitled to an award between 10% and 30% of the amount that the SEC recovers from the wrongdoers.

Investors should be wary of approaching the SEC without the assistance of an attorney. That is because preparing and submitting a tip that stands out from the thousands that are received by the SEC requires specialized securities skill and knowledge. Also, if the whistleblowers desire to remain anonymous, they must use an attorney to represent them. Finally, the SEC whistleblower program prohibits companies from retaliating against a whistleblower. If the whistleblower faces retaliation, such as harassment, they can file a civil lawsuit in federal court for damages. While retaliation is rare, it’s plausible a party facing investigations from the SEC may delay or preclude an investor from accessing their immigration benefits.

Other things to consider

• State laws generally provide for your right to inspect books and records on demand, notwithstanding contrary language in LP or LLC agreements. This may be a great option if your investment issuer isn’t being transparent with investors on the ongoing financial viability of the project.
• You do not necessarily have to be redeemed for the amount at which you invested. The issuer can liquidate your investment at a discount.
• A frequent argument is that a withdrawal request will cause “a run on the bank.” You have the right to seek an accounting of assets in court. In some states, you may also have pre-judgment protection if assets are being wasted. For example, in New York state, NY CPLR Articles 62, 63, and 75 can be enforced in a federal court if need be.
• Onerous choice of law clauses may be abrogated, or repealed, if they have no rational tie to the project or the developer.
• You may have other claims against brokers, agents, and professionals if they were involved with the placement of your investment.