Coral Capital Partners – Newsroom

Coral Capital Partners provides to the visitors to our web site a variety of news feeds on topics of interest in the finance and securities industries.  This page is our consolidated news feed.  We have provided a limited number (5) headlines per agency or topic on page.  The full headline content per agency or topic is available on the link to its own separate page by clicking on the (Full Page) text following each agency or topic title.  Additionally, links to these individual pages are available in the footer table at the bottom of all our pages.

SEC Press Releases (Full Page)

The Securities and Exchange Commission today announced that Kurt L. Gottschall has been named Director of the Denver Regional Office.

Mr. Gottschall began working in the Division of Enforcement in...

The Securities and Exchange Commission today announced settled charges against two companies that sold digital tokens in initial coin offerings (ICOs).  These are the Commission’s first cases impos...

The Securities and Exchange Commission today charged Giga Entertainment Media Inc. and five of its former officers and directors—Gary Nerlinger, Jarret Streiner, Lawrence Silver, Alfred Colucci, an...

The Securities and Exchange Commission today brought additional charges against a Long Island, New York-based boiler room previously sued for defrauding elderly and unsophisticated investors. The l...

The Securities and Exchange Commission today announced that it has agreed to resolve its insider trading claims against James V. Mazzo, the former Chairman and Chief Executive Officer of Advanced M...

SEC Litigation Releases (Full Page)

Defendant in SEC Enforcement Action Pleads Guilty to Criminal Fraud Charges
Court Enters Final Judgment in Eb-5 Case Against Immigration Lawyer and His Law Firm; Lawyer Is Barred from Appearing and Practicing Before SEC as an Attorney
Hurricane Restoration Company and Executives Settle SEC Accounting Fraud Charges
SEC Announces Settlement in Fraud Case Against Former Investment Adviser
SEC Charges Giga Entertainment Media, Former Officers and Directors with Fraud in Pay-For-Download Campaign

SEC Trading Suspensions (Full Page)

FINRA Rule Making (Full Page)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 4570 (Custodian of B...

Proposed Rule Change to Adopt FINRA Rule 9910 (Post-Employment Conflict of Interest Restrictions; Nonpublic Information)
Proposed Rule Change Relating to Test Results Information on the Content Outlines of FINRA Qualification Examinations

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Capital Acquisition Broker (“CA...

Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2360 (Options) to Increase Position Limits on Options on Certain Exchange-Traded Funds

SEC Administrative Proceedings (Full Page)

Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and...
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing

FINRA Press Releases (Full Page)

Military Spouse Fellows Support the Military Community as Accredited Financial Counselors® to Help Increase the Financial Capability of Military Families

WASHINGTON — The FINRA Investor Education ...

WASHINGTON – FINRA announced today that it has fined LPL Financial, LLC $2.75 million for complaint-reporting and AML program failures that spanned a period of more than three years.   

...

Board Approves Rule Proposals, Welcomes New Governor and Confirms Committee Appointments

WASHINGTON – FINRA’s Board of Governors met on Sept. 26-27 at FINRA’s offices in New York, where it approve...

New research finds millennials lack confidence making investment decisions, cite lack of investment knowledge as barrier to investing, and show limited interest in robo-advisors

WASHINGTON – Today marks the start of World Investor Week 2018, as FINRA and the FINRA Investor Education Foundation (FINRA Foundation) join securities regulators and investor advocates around the ...

FINRA Regulatory Notices (Full Page)

FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
2019 and First Quarter of 2020 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet...
Amendments to the SEC’s Financial Reporting Requirements—eFOCUS System Updates and Annual Audit Requirements
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019
Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council

About Coral Capital:  Founded in 1995, Coral Capital Partners, Inc. is a consulting firm that provides services to investment banks, private equity, public and privately held companies. Our experienced team brings a diverse set of skills that allow us to service a wide variety of needs. Our clients have ranged from international public companies with operations on three (3) continents to smaller privately held domestic companies. The services provided has covered the spectrum of providing support services to other firms to leading and overseeing large multi-year projects.  Please visit our Services page for additional information on the services provided by Coral Capital Partners