Tag: Securities Fraud

Securities fraud involves illegal activities that violate various state and federal securities regulations. Securities fraud generally involves some form of market manipulation or the use of false information to either raise capital for a corporation or to secure an ill-gotten gain by engaging in inappropriate activities. Securities fraud can involve private placements for both private and public corporations, micro-cap securities, or the very largest of corporations. The enforcement of securities regulations and the prosecution of violation is generally handled by the Securities Exchange Commission or state securities agencies. In rare instances, local law enforcement will become involved.

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.

SEC Launches Investigation of Alleged Stock Manipulation by PIPE Issuer Sun River Energy

The PIPE”s Report takes a look at the Securities Exchange Commission (SEC) investigation into Sun River Energy for potential securities fraud. The article also touches on some of the issues in Sun River Energy’s litigation with Nova Leasing, LLC.