Tag Archive for SEC Investigations

Investigative actions undertaken by the Securities Exchange Commission (SEC) concerning the various rules and regulations it seeks to enforce. Our blog takes a look at those actions, and we provide our thoughts and commentary

SEC Action Against Rogue Stock Transfer Agent

Coral Capital Partners looks at a recent SEC Litigation Release concerning the activities of a stock transfer who fraudulently issued itself shares in its client companies. Stock transfer agents operate at what we feel is a key point in the securities markets. As a result we are gate keepers who are in a position to help prevent and stop securities fraud. We believe that it is especially heinous when they commit fraud. We feel that our blog on this topic, along with the associated SEC Litigation Release and Complaint will be an interesting read.

Market Manipulation and “Noneconomical Trading”

Coral Capital Partners looks at a SEC Enforcement Action for market manipulation and non-economical trading. This is an extremely interesting look at the manipulation of the public market for a micro-cap company’s common stock, how it was accomplished, and the penalties imposed. We also look at the SEC ‘s definition of these types of market manipulation and where they run afoul of the Exchange Act of 1934. This blog and the associated SEC Litigation Release and Complaint filed in Federal Court provide a very interesting read.