SEC Administrative Proceedings

Coral Capital Partners 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).

Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: February 6, 2023, 7:15 pm
Extension Order
Posted: February 6, 2023, 5:41 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Posted: February 6, 2023, 4:07 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Sections 2...
Posted: February 6, 2023, 1:55 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
Posted: February 3, 2023, 2:00 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: February 2, 2023, 11:01 pm
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: February 1, 2023, 9:09 pm
Order Approving Plan of Distribution
Posted: January 31, 2023, 4:10 pm
Order Consolidating Fair Funds
Posted: January 31, 2023, 3:15 pm
Second Extension Order
Posted: January 31, 2023, 3:15 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
Posted: January 30, 2023, 7:56 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposin...
Posted: January 30, 2023, 2:39 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Generex Biotechnology Corporation
Posted: January 30, 2023, 2:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: January 27, 2023, 8:54 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Xsport Global, Inc.
Posted: January 27, 2023, 2:30 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
Posted: January 27, 2023, 2:30 pm
Order Establishing a Fair Fund and Transferring Funds to District Court
Posted: January 26, 2023, 10:31 pm
Order Approving Application of Fund Administrator for Payment of Fees and Expenses and Approval of Future Fees and Expenses
Posted: January 26, 2023, 7:44 pm
Order Appointing Tax Administrator
Posted: January 23, 2023, 10:20 pm
Order Approving Amended Plan of Distribution
Posted: January 23, 2023, 10:20 pm
Order Authorizing the Transfer to the U.S. Treasury of Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, Cancelling the Administrator’s Bond, and Terminating th...
Posted: January 23, 2023, 9:49 pm
Order Appointing Tax Administrator
Posted: January 23, 2023, 9:07 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposin...
Posted: January 23, 2023, 7:47 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order
Posted: January 23, 2023, 3:00 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: January 20, 2023, 8:51 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: January 20, 2023, 5:28 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934
Posted: January 20, 2023, 2:30 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1...
Posted: January 19, 2023, 11:41 pm
Order Directing Second Distribution
Posted: January 19, 2023, 10:32 pm
Order Instituting Cease-And- Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-And- Desist Order
Posted: January 19, 2023, 10:00 pm
Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution
Posted: January 19, 2023, 3:55 pm
Order Appointing Tax Administrator
Posted: January 18, 2023, 10:48 pm
Order Extending Time to Enter Order Approving or Disapproving Plan of Distribution
Posted: January 18, 2023, 4:35 pm
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(...
Posted: January 17, 2023, 9:38 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposin...
Posted: January 17, 2023, 6:29 pm
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: January 17, 2023, 6:29 pm
Order Appointing Tax Administrator
Posted: January 13, 2023, 10:12 pm
Notice of Proposed Plan of Distribution and Opportunity for Comment
Posted: January 13, 2023, 10:12 pm
Extension Order
Posted: January 13, 2023, 9:47 pm
Order Instituting Public Administrative Proceedings Pursuant to Rule 102(E) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: January 13, 2023, 6:40 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(B) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: January 13, 2023, 6:40 pm
Order Instituting Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, and Revoking Registration of Securities
Posted: January 13, 2023, 2:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposin...
Posted: January 12, 2023, 9:57 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: January 12, 2023, 9:57 pm
Order Appointing Tax Administrator
Posted: January 12, 2023, 9:57 pm
Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions
Posted: January 12, 2023, 9:23 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(B) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: January 12, 2023, 5:01 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(B) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: January 10, 2023, 10:49 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(B) of the Securities Exchange Act of 1934
Posted: January 10, 2023, 6:17 pm
Order Instituting Cease-And-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and...
Posted: January 9, 2023, 2:00 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 19...
Posted: January 5, 2023, 6:49 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(B) of the Securities Exchange Act of 1934 and Section 203(F) of the Investment Advisers Act of 1940 and Notice of Hearing
Posted: December 30, 2022, 7:54 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(B) of the Securities Exchange Act of 1934 and Section 203(F) of the Investment Advisers Act of 1940, Making Findings, and Imposin...
Posted: December 30, 2022, 3:12 pm
Order Instituting Administrative Proceedings Pursuant to Section 17A(c)(3) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: December 27, 2022, 2:45 pm
Order Instituting Administrative Proceedings Pursuant to Section 17A(c)(3) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: December 27, 2022, 2:45 pm
Order Approving Plan of Distribution
Posted: December 23, 2022, 3:21 pm
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to View Systems, Inc.
Posted: December 23, 2022, 2:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: December 23, 2022, 2:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(B) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: December 22, 2022, 10:04 pm
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(B) and 21c of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a ...
Posted: December 21, 2022, 10:03 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(B) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: December 21, 2022, 8:54 pm
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 17A(c)(3) of the Securities Exchange Act of 1934
Posted: December 20, 2022, 10:45 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(B) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions
Posted: December 20, 2022, 10:35 pm
Order Appointing Tax Administrator
Posted: December 20, 2022, 6:25 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 and Notice of Hearing
Posted: December 20, 2022, 2:28 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21c of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
Posted: December 19, 2022, 9:45 pm
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21c of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
Posted: December 19, 2022, 5:30 pm
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposin...
Posted: December 19, 2022, 4:51 pm
Order Directing Disbursement of Fair Fund
Posted: December 15, 2022, 9:00 pm