Due Diligence

Blog articles and articles written for various other publications written by Coral Capital Partners on the topic of due diligence. In our blog on due diligence we look at lessons learned from various projects and clients, as well as enforcement actions taken by the SEC and how obtaining basic due diligence on a company could have averted many problems. With the recent regulatory changes proper due diligence has taken on greater importance than ever.

Coral Capital Announces Relationship with TechPerts, Inc.

Coral Capital Partners is proud to announce its collaborative relationship with TechPerts, a firm focused on providing technology consultants and experts witnesses to law firms and other interested parties. This is a significant expansion of Coral Capital Partners due diligence, acquisition searches, and valuation services.

FINRA Rule 5123 – Private Placement Filing Requirements

Coral Capital Partners takes a look at recent FINRA Regulatory Notice 12-40 and the underlying FINRA Rule 5123, which requires broker/dealers that participate in the private offerings of issuer securities to file a copy of the private placement memorandum and other offering documents with FIRNA. We also look at the exemptions to this requirement, and were we see areas of risk for broker/dealers participating in private placements. We also look at how we see this tying in with FINRA Regulatory Notice 10-22.

SEC Action Involving Scheme with Fictitious Company Name

Coral Capital Partners looks at an SEC Enforcement action against a group of individuals who operated a fictitious company that claimed ties to a legitimate major financial corporation. We also take a look at how investors could have easily discovered this, and avoided their losses.