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)

SEC Litigation Releases (Full Page)

  • Frederick L. Sharp et al.
    SEC Obtains Final Judgment Ordering Mastermind of International Microcap Fraud Scheme to Pay $52,925,214 Read more »
  • Lev Parnas and David Correia
    SEC Obtains Partial Judgment Against Fraud Guarantee Co-Founder for Engaging in Fraudulent Securities Offering Read more »
  • Brenda Smith, et al.
    Defendant in SEC Enforcement Action Sentenced to More Than Nine Years in Prison Read more »
  • Manuel A. Romero
    SEC Obtains Final Judgment Against Former California Real Estate Company CFO for Role in Ponzi Scheme Read more »
  • Sepehr Sarshar
    SEC Obtains Final Judgment Against Pharmaceutical Company Founder Charged with Insider Trading Read more »
  • Steven F. Muntin
    SEC Obtains Final Judgment Against Michigan Investment Adviser for Fraud Read more »
  • TKO Farms, Inc., et al.
    SEC Charges Two Corporations, Four Individuals, and an Estate Over Allegedly Fraudulent Investment Offerings Read more »
  • Shawn F. Hackman
    SEC Obtains Judgment Requiring Disbarred Attorney to Pay Nearly $1 Million for Violating His Suspension from Appearing or Practicing as… Read more »
  • Mark Marchi
    SEC Charges New Jersey-Based Securities Fraud Recidivist with Defrauding Investors Read more »
  • Michael Forster
    SEC Files Charges Against California Resident Read more »
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SEC Trading Suspensions (Full Page)

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FINRA Rule Making (Full Page)

  • SR-FINRA-2021-016
    Financial Industry Regulatory Authority, Inc. Read more »
  • SR-FINRA-2021-024
    Financial Industry Regulatory Authority, Inc. Read more »
  • SR-FINRA-2022-002
    Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to… Read more »
  • SR-FINRA-2022-003
    Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule… Read more »
  • SR-FINRA-2021-030
    Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule… Read more »
  • SR-FINRA-2022-005
    Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule… Read more »
  • SR-FINRA-2022-004
    Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule… Read more »
  • SR-FINRA-2022-007
    Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule… Read more »
  • SR-FINRA-2022-006
    Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to… Read more »
  • SR-FINRA-2021-010
    Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule… Read more »
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SEC Administrative Proceedings (Full Page)

  • Douglas A. Richardson, CPA
    Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice Read more »
  • Peter J. Baker
    Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial… Read more »
  • S&P Dow Jones Indices LLC
    Order Approving Plan of Distribution Read more »
  • Steven F. Muntin
    Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial… Read more »
  • Robert Charles High, II
    Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the… Read more »
  • Lev Parnas
    Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial… Read more »
  • Foundations Asset Management, LLC, Michael W. Shamburger and Rob E. Wedel
    Notice of Proposed Plan of Distribution and Opportunity for Comment Read more »
  • Advanzeon Solutions, Inc.
    Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 Read more »
  • Boveda Asset Management, Inc.
    Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial… Read more »
  • George Kenneth Witherspoon, Jr.
    Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial… Read more »
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FINRA Press Releases (Full Page)

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FINRA Regulatory Notices (Full Page)

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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