SEC Administrative Proceedings

Coral Capital Advisors provides to the visitors of our website a variety of news feeds on topics of interest in the finance and securities industry.  This page is dedicated to providing information on Administrative Proceedings taken by the Securities Exchange Commission (SEC).

Brooge Energy Limited, Nicolaas Lammert Paardenkooper, and Lina Saheb
Author: 34-99589
Posted: February 23, 2024, 4:44 pm
Centaurus Financial, Inc., Ricky A. Mantei and Atul Makharia
Author: 34-99590
Posted: February 23, 2024, 3:10 pm
Maxwell Technologies, Inc., et al.
Author: 34-99587
Posted: February 22, 2024, 9:50 pm
Canadian Imperial Holdings Inc. and CIBC World Markets Corp.
Author: 34-99586
Posted: February 22, 2024, 9:43 pm
UBS Financial Services Inc.
Author: 34-99579
Posted: February 21, 2024, 9:03 pm
Contrarian Capital Management, L.L.C.
Author: 34-99578
Posted: February 21, 2024, 6:33 pm
Christian Fernandez
Author: 33-11271
Posted: February 20, 2024, 5:04 pm
Andrew M. Komarow
Author: 34-99560
Posted: February 20, 2024, 4:08 pm
TIAA-CREF Individual & Institutional Services, LLC
Author: 34-99549
Posted: February 16, 2024, 4:00 pm
Van Eck Associates Corporation
Author: IC-35132
Posted: February 16, 2024, 2:00 pm
Rafael Vargas
Author: IA-6558
Posted: February 15, 2024, 4:18 pm
Credit Suisse Securities (USA) LLC and Sanford Michael Katz
Author: 34-99541
Posted: February 14, 2024, 8:53 pm
Poloniex, LLC
Author: 34-99517
Posted: February 12, 2024, 10:36 pm
Valeant Pharmaceuticals International, Inc., n/k/a Bausch Health Companies, Inc.,; J. Michael Pearson; Howard B. Schiller; and Tanya R. Carro, CPA
Author: 34-99516
Posted: February 12, 2024, 10:27 pm
Scott T. Wolfrum and Tyler C. Sadek
Author: 34-99513
Posted: February 12, 2024, 6:37 pm
U.S. Bancorp Investments, Inc.
Author: 34-99505
Posted: February 9, 2024, 12:53 pm
The Huntington Investment Company; Huntington Securities, Inc.; Capstone Capital Markets
Author: 34-99504
Posted: February 9, 2024, 12:51 pm
Oppenheimer & Co. Inc.
Author: 34-99503
Posted: February 9, 2024, 12:50 pm
Guggenheim Securities LLC; Guggenheim Partners Investment Management LLC;
Author: 34-99502
Posted: February 9, 2024, 12:49 pm
Northwestern Mutual Investment Services, LLC; Northwestern Mutual Investment Management Company, LLC; Mason Street Advisors, LLC
Author: 34-99501
Posted: February 9, 2024, 12:47 pm
Key Investment Services LLC; KeyBanc Capital Markets Inc.
Author: 34-99500
Posted: February 9, 2024, 12:45 pm
Lincoln Financial Advisors Corporation; Lincoln Financial Securities Corporation
Author: 34-99499
Posted: February 9, 2024, 12:44 pm
Cambridge Investment Research, Inc.; Cambridge Investment Research Advisors, Inc.
Author: 34-99498
Posted: February 9, 2024, 12:41 pm
Jake Soberal, Esq.
Author: 34-99496
Posted: February 8, 2024, 7:00 pm
Allianz Global Investors U.S. LLC
Author: 34-99494
Posted: February 8, 2024, 4:20 pm