SEC Litigation Releases

Coral Capital Partners provides to the visitors to our website a variety of news feeds on topics of interest in the finance and securities industries.  This page is dedicated to Litigation Releases by the Securities Exchange Commission (SEC).

SEC Obtains Settled Final Judgments Against Two Arizona-Based Former Brokers for Defrauding Investors
Posted: September 29, 2020, 7:21 pm
SEC Charges South Florida Lawyer with Securities Fraud
Posted: September 29, 2020, 5:23 pm
SEC Charges Nebraska-Based Investment Adviser Representative for Conducting Fraudulent "Cherry-Picking" Scheme
Posted: September 29, 2020, 2:52 pm
SEC Charges Recidivist Securities Law Violator with Fraud Against Advisory Clients
Posted: September 28, 2020, 9:14 pm
SEC Charges Amazon Finance Manager and Family with Insider Trading
Posted: September 28, 2020, 7:56 pm
SEC Charges Georgia Investment Adviser Firm and Its Owner and Founder
Posted: September 28, 2020, 5:17 pm
SEC Charges Florida Man in Microcap Fraud
Posted: September 28, 2020, 4:03 pm
SEC Obtains Final Judgment Against IIIinois Investment Adviser
Posted: September 28, 2020, 4:03 pm
Individuals Charged by SEC with Operating an Investment Scheme Targeting the Orthodox Jewish Community Criminally Indicted
Posted: September 25, 2020, 7:21 pm
SEC Charges North Carolina Man with Insider Trading
Posted: September 25, 2020, 7:21 pm
SEC Charges Former Mining Executive with Making False Statements
Posted: September 25, 2020, 6:48 pm
SEC Charges Texas Investment-Adviser Firm and Its Owner for Misappropriating Assets
Posted: September 24, 2020, 9:29 pm
SEC Charges Lighting Products Company and Four Executives with Accounting Violations
Posted: September 24, 2020, 7:50 pm
SEC Charges Florida Real Estate Developer with Fraud for Paying Unauthorized Commissions in Sale of Promissory Notes
Posted: September 24, 2020, 5:25 pm
SEC Charges Individual with Multi-Million Dollar Offering Fraud
Posted: September 24, 2020, 3:37 pm
SEC Charges Former Controller of Now-Bankrupt Company with Insider Trading
Posted: September 23, 2020, 6:38 pm
SEC Obtains Final Judgments Against Biotechnology Company and Its CEO for Stock Offering Scheme
Posted: September 23, 2020, 5:07 pm
SEC Brings Charges Against Clean Water Project Founder for Defrauding Investors
Posted: September 22, 2020, 8:25 pm
SEC Charges Index Manager and Friend with Insider Trading
Posted: September 22, 2020, 5:03 pm
SEC Charges Investor Relations Consultant with Insider Trading
Posted: September 21, 2020, 9:54 pm
SEC Settles with Two Additional Defendants in Boiler Room Scheme
Posted: September 21, 2020, 8:04 pm
SEC Charges Ponzi Scheme Targeting U.S. Military Service Members
Posted: September 21, 2020, 7:46 pm
SEC Charges Former CEO of Technology Company with Raising $123 Million in Fraudulent Offerings
Posted: September 18, 2020, 4:46 pm
SEC Charges Pharmacy Chain Employee with Insider Trading
Posted: September 17, 2020, 8:31 pm
SEC O Btains Final Judgment Against Miami-Based Asset Manager Who Stole Approximately $1 Million of Client Funds
Posted: September 17, 2020, 8:31 pm