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 Charges Pennsylvania Investment Adviser with Multi-Million Dollar Fraud
Posted: February 6, 2023, 7:35 pm
SEC Files Charges in Fine Wine Investment Fraud Scheme
Posted: February 3, 2023, 9:06 pm
SEC Obtains Final Judgment in Microcap Fraud Litigation
Posted: February 3, 2023, 3:31 pm
SEC Obtains Judgment Against Texas-Based Technology Company and Its CEO for Fraud and Misappropriation of Investor Funds
Posted: February 2, 2023, 8:54 pm
SEC Charges Nevada-Based Investment Adviser for Conducting Fraudulent "Cherry-Picking" Scheme
Posted: February 2, 2023, 2:44 pm
SEC Obtains Final Judgments Against Alleged Perpetrators of Fraudulent Pyramid Scheme
Posted: February 2, 2023, 2:29 pm
SEC Charges CEO of Microcap Public Company for Defrauding Investors
Posted: February 1, 2023, 10:09 pm
SEC Obtains Final Judgment Against Defendant for Role in Offering Fraud
Posted: January 26, 2023, 7:20 pm
SEC Charges Investment Club Manager for Misappropriating Investor Funds
Posted: January 24, 2023, 10:25 pm
SEC Obtains Asset Freeze and Other Relief, Charges Miami Investment Advisers for Fraudulent Scheme Using Fabricated Audit Reports and Attorney Letters
Posted: January 24, 2023, 9:02 pm
Defendant, Who Was Arrested and Jailed in a Federal Prison in Puerto Rico, Is Awaiting Transport to NYC On Parallel Criminal Charges
Posted: January 24, 2023, 5:47 pm
SEC Charges Wisconsin Investment Adviser with Defrauding Senior Clients
Posted: January 24, 2023, 4:50 pm
SEC Obtains Over $5 Million Final Judgment Against Individual in Multi-Million Dollar Microcap Pump and Dump Scheme
Posted: January 23, 2023, 3:52 pm
SEC Obtains Final Judgment Against Former Head of Investment Banking At Defunct Broker-Dealer
Posted: January 20, 2023, 10:33 pm
SEC Charges Two Former Brokers for Recommending Frequent-Trading Strategies Without a Reasonable Basis
Posted: January 20, 2023, 10:14 pm
SEC Charges Four Individuals for Their Roles in a Prime Bank Fraud
Posted: January 19, 2023, 9:05 pm
SEC Charges Caroline Ellison and Gary Wang with Defrauding Investors in Crypto Asset Trading Platform FTX
Posted: January 19, 2023, 4:19 pm
Defendant Concealed His Diversion of FTX Customers' Funds to Crypto Trading Firm Alameda Research While Raising More Than $1.8 Billion from Investors
Posted: January 19, 2023, 3:12 pm
SEC Obtains Judgment Against Florida Man in Microcap Fraud
Posted: January 17, 2023, 10:11 pm
SEC Obtains Final Judgments Against Former Executives for Corporate Expense Abuses
Posted: January 13, 2023, 7:11 pm
SEC Files Subpoena Enforcement Action Against Law Firm Covington & Burling LLP Seeking the Names of Entities Whose Non-Public Information Was Accessed by Threat Actors Who Accessed Covington's Computer Network
Posted: January 12, 2023, 8:53 pm
SEC Charges Los Angeles Individual with Perpetrating a $47 Million Affinity Fraud Targeting Members of the Orthodox Jewish Community
Posted: January 12, 2023, 8:53 pm
SEC Obtains Final Judgment Against Defendant Charged in $43 Million Tribal Bonds Scheme
Posted: January 11, 2023, 10:06 pm
SEC Charges Former Public Company Chairman and Officers in Fraudulent SEC Filings and $8 Million Pump-And-Dump Scheme
Posted: January 6, 2023, 9:21 pm
SEC Obtains Emergency Asset Freeze, Charges Colorado Pharmaceutical Company with Fraud
Posted: January 6, 2023, 6:39 pm