After a two-year long investigation, the SEC has notified Gusrae Kaplan Nusbaum PLLC that it will not be recommending any enforcement action by the Commission against Gusrae Kaplan’s client and its principals.


Gusrae Kaplan represented a Real Estate firm in an SEC investigation that focused on possible violations of federal securities laws and abuse of capital formation.

The SEC investigated losses incurred from real estate investments resulting from the Great Recession when the estate was unable to generate sufficient cash flow to satisfy junior debt funded by the Real Estate firm and its investors.