Securities Fraud

Coral Capital Partners blog on securities fraud. Our focus is on the types of fraud that is pervasive in fund raising for private companies and publicly traded companies in the the small cap and micro-cap markets. Additionally we look at a the common frauds that occur in the stock market for these companies. The majority of the blog articles we have written look at enforcement actions by the Securities Exchange Commission, what activities the parties engaged in to be charged by the SEC, and what violations the SEC charged them with.

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 Charges Firm with Illegal Fund Raising for Penny Stock Companies

Coral Capital Partners takes a look at a recent Securities Exchange Commission enforcement action against Edward Bronson and his firms e-Lionheart Associates and Fairhills Capital in which they charge Mr. Bronson and his firms with illegal fund raising, violations of Rule 504, and Delaware law. We feel that our blog along with the associated the Securities Exchange Commission (SEC) Litigation Release and Complaint filed in Federal Court will provide interesting reading.