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 Judgment Against Massachusetts Man Who Defrauded Investors in International Real Estate Investment Scheme
Posted: October 15, 2021, 8:26 pm
SEC Obtains Final Judgment Against Long Island Investment Professional Charged with Defrauding Investors
Posted: October 7, 2021, 6:38 pm
SEC Charges Hemp Company and Co-Founders with Fraud
Posted: October 6, 2021, 4:03 pm
SEC Obtains Emergency Relief Freezing Assets and Halting an Alleged Ongoing Investment Advisory Fraud
Posted: October 6, 2021, 2:50 pm
SEC Charges Rogue Trader Who Bankrupted His Firm
Posted: October 1, 2021, 9:13 pm
SEC Charges Investment Adviser, Affiliated Broker-Dealer and Their President for False and Misleading Statements and Omissions
Posted: October 1, 2021, 6:23 pm
SEC Charges Recidivist TV Production Company and Its Founder and CEO with Offering and Selling Securities in Unregistered Offerings
Posted: September 30, 2021, 8:41 pm
SEC Charges Purported Luxury Concierge Business and Its Owner in Offering Fraud
Posted: September 29, 2021, 9:11 pm
SEC Charges Florida Payday Lender and CEO with Affinity Fraud Targeting the Venezuelan-American Community
Posted: September 29, 2021, 8:44 pm
SEC Charges Former IIIinois Investment Adviser with Fraud for Misappropriating Client Funds
Posted: September 28, 2021, 10:00 pm
SEC Charges New York Attorney with Defrauding Investors in Litigation Finance Business
Posted: September 28, 2021, 8:25 pm
SEC Charges California Cannabis Company, CEO and President with Fraud
Posted: September 28, 2021, 8:05 pm
SEC Obtains Emergency Relief Against New York Real Estate Developer Charged with Eb-5 Securities Fraud
Posted: September 28, 2021, 6:15 pm
SEC Charges Transfer Agent and CEO for Violations of Statutory and Regulatory Filing and Records Requirements
Posted: September 28, 2021, 12:35 pm
SEC Charges Issuer for Fraudulent and Unregistered Marijuana Financing Offering
Posted: September 27, 2021, 10:14 pm
Court Enters Final Judgment Against Hedge Fund Manager
Posted: September 27, 2021, 9:01 pm
SEC Charges U.K.-Based Father and Son, and Two Others in Transatlantic Microcap Fraud Scheme
Posted: September 27, 2021, 9:01 pm
SEC Charges Two Individuals for Wash Trading Scheme Involving Options of “Meme Stocks”
Posted: September 27, 2021, 7:11 pm
SEC Sues Minnesota-Based Firm and Its Managing Partner for Acting as an Unregistered Securities Dealer
Posted: September 27, 2021, 4:36 pm
SEC Charges CEO and Company with Engaging in a Multimillion Dollar Affinity Fraud Scheme
Posted: September 27, 2021, 4:36 pm
SEC Charges Investment Adviser and Its President for Investing Clients in Higher Cost Mutual Funds to Avoid Paying Transaction Costs
Posted: September 24, 2021, 8:41 pm
SEC Obtains Partial Judgment Against Defendant in Unauthorized Trading Scheme
Posted: September 24, 2021, 6:54 pm
SEC Charges New Yorker for Running Ponzi Scheme Targeting Haitian American Community
Posted: September 23, 2021, 8:18 pm
SEC Charges Firm and Two Principals in First-Ever Actions Enforcing Rule On Duties of Municipal Advisors
Posted: September 23, 2021, 8:18 pm