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).

Settlement Concluded with Broker in Case Alleging Public Offering Allocation Fraudulent Practices
Posted: February 15, 2019, 10:29 pm
SEC Charges Cognizant and Two Former Executives With FCPA Violations
Posted: February 15, 2019, 8:50 pm
SEC Files Charges in Elaborate Microcap Stock Fraud
Posted: February 15, 2019, 7:35 pm
Court of Appeals Affirms Summary Judgment and Remedies Order Against John P. Rohner in Offering Fraud Case
Posted: February 15, 2019, 3:02 pm
SEC Obtains Preliminary Injunction Against Blockvest LLC and Its Founder for Making Fraudulent Offers of Securities in Reconsideration of Earlier Order
Posted: February 14, 2019, 8:37 pm
SEC Charges Former Senior Attorney at Apple with Insider Trading
Posted: February 13, 2019, 7:10 pm
Court Enters Judgment Against Microcap Company and Two Promoters in Pump-And-Dump Scheme, Ordering Each Promoter to Pay Over $4.6 Million
Posted: February 12, 2019, 10:39 pm
Court Imposes Lifetime Officer-And-Director Bars On Two Corporate Officers Charged with a Fraudulent Earnings Management Scheme
Posted: February 12, 2019, 6:32 pm
SEC Charges Former Executives of Plastics Manufacturer with Fraud
Posted: February 12, 2019, 6:32 pm
Two Defendants in SEC Enforcement Action Plead Guilty in Parallel Criminal Case to Charges of Securities Fraud and Lying to the SEC
Posted: February 11, 2019, 7:11 pm
SEC Obtains Judgment Against Donato Baca, Jr. in Ponzi Scheme
Posted: February 11, 2019, 6:43 pm
SEC Obtains Final Judgment Against New Jersey Resident Charged with Ponzi Scheme Targeting Retail Investors
Posted: February 8, 2019, 8:13 pm
SEC Charges Founder of Online Gaming Company Defrauding Investors
Posted: February 7, 2019, 10:18 pm
Two Defendants Charged with Lying to the SEC Sentenced in Microcap Fraud Case
Posted: February 5, 2019, 8:22 pm
Court Grants Partial Summary Judgment in Fraud Case Against Advisor and Two Advisory Firms
Posted: February 4, 2019, 5:44 pm
SEC Obtains Judgment Against Penny Stock Promoter
Posted: February 1, 2019, 8:50 pm
SEC Obtains Fraud Judgment Against Co-Owner of Defunct New York-Based Investment Adviser
Posted: February 1, 2019, 8:40 pm
Two Alleged Market Manipulators Sentenced in Parallel Criminal Case
Posted: January 31, 2019, 7:52 pm
Relief Defendant in Fraud Case Against Illinois Investment Adviser Is Ordered to Pay More Than $1 Million
Posted: January 29, 2019, 7:00 pm
SEC Emergency Action Charges Texas Real Estate Developer for Multi-Million Dollar Offering Fraud
Posted: January 29, 2019, 3:46 pm
Court Dismisses Appeal Filed by Former F-Squared CEO, Affirms SEC's Judgment
Posted: January 28, 2019, 9:07 pm
SEC Charges Atlanta Investment Adviser with Defrauding a Private Fund and Its Investors
Posted: January 28, 2019, 3:23 pm
SEC Obtains Judgments Against American Growth Funding II, LLC and Ralph C. Johnson
Posted: January 25, 2019, 5:18 pm
SEC Files Subpoena Enforcement in Possible Market Manipulation Scheme
Posted: December 26, 2018, 2:20 pm