News from the SEC

Coral Capital Partners provides to the visitors to our web site a variety of news feeds on topics of interest in the finance and securities industries.  This page is dedicated to Press Releases by the Securities Exchange Commission (SEC).  Additionally, links to our individual news topics pages are available in the footer table at the bottom of all our pages. Additional information on Coral Capital Partners and the services we provide may be found at the bottom of this page.

The Securities and Exchange Commission today named Daniel J. Wadley as Regional Director of its Salt Lake office.  Mr. Wadley succeeds Richard R. Best, whom the agency named Regional Director of it

Posted: June 18, 2018, 2:00 pm

The Securities and Exchange Commission today announced that Maurya C. Keating has been named an Associate Regional Director for the Investment Adviser and Investment Company examination program in

Posted: June 15, 2018, 12:00 pm

The Securities and Exchange Commission today announced that Merrill Lynch, Pierce, Fenner & Smith Inc. will pay more than $15 million to settle charges that its employees misled customers into over

Posted: June 12, 2018, 10:45 am

The Securities and Exchange Commission today announced that Sarah G. ten Siethoff has been named the Associate Director for the Division of Investment Management’s Rulemaking Office.  As Associate

Posted: June 8, 2018, 1:30 pm

Yesterday, the Commission voted to improve the experience of investors who invest in mutual funds, ETFs and other investment funds.  In three related releases, the Commission provided a new, option

Posted: June 5, 2018, 8:21 am

The Securities and Exchange Commission today announced that Valerie A. Szczepanik has been named Associate Director of the Division of Corporation Finance and Senior Advisor for Digital Assets and

Posted: June 4, 2018, 3:15 pm

The Securities and Exchange Commission today announced that New York-based investment adviser deVere USA, Inc. has agreed to pay an $8 million civil penalty related to its failure to disclose confl

Posted: June 4, 2018, 1:30 am

The Securities and Exchange Commission today announced settlements with 13 registered investment advisers who repeatedly failed to provide required information that the agency uses to monitor risk.

Posted: June 1, 2018, 10:30 am

The Securities and Exchange Commission today announced that Dr. Chyhe Kim Becker has been named as the Acting Chief Economist and Acting Director of the Division of Economic and Risk Analysis (DERA

Posted: May 31, 2018, 3:50 pm

The Securities and Exchange Commission today announced that Julie A. Erhardt has been named the Commission’s Acting Chief Risk Officer, to serve while the agency completes its search to fill this i

Posted: May 31, 2018, 1:13 pm

The Securities and Exchange Commission today charged an employee of a prominent investment bank with repeatedly using his access to highly confidential information in order to place illicit and pro

Posted: May 31, 2018, 12:30 pm

The Securities and Exchange Commission today charged a former registered representative with defrauding long-standing brokerage customers in an $8 million investment scam. 

According to the SEC’s

Posted: May 30, 2018, 4:05 pm

The Securities and Exchange Commission today announced that the SEC Investor Advisory Committee (IAC) will hold its first-ever meeting outside Washington, D.C. on June 14, 2018 at 8:30 a.m. in Atla

Posted: May 30, 2018, 12:15 pm

The Securities and Exchange Commission today announced it has obtained a court order halting an ongoing fraud involving an initial coin offering (ICO) that raised as much as $21 million from invest

Posted: May 29, 2018, 4:00 pm

The Securities and Exchange Commission today announced that Dr. Jeffrey H. Harris, the Chief Economist and Director of the Division of Economic and Risk Analysis (DERA) and a Professor of Finance a

Posted: May 29, 2018, 3:00 pm

The Securities and Exchange Commission today proposed rules and amendments that would promote research on mutual funds, exchange‑traded funds, registered closed-end funds, business development comp

Posted: May 23, 2018, 6:00 pm

The Securities and Exchange Commission today announced that the five-member Commission and staff from across the agency will be in Atlanta on June 13 for an interactive event with investors at Geor

Posted: May 23, 2018, 10:32 am

The Securities and Exchange Commission today announced fraud charges against three former Constellation Healthcare Technologies Inc. executives who falsified financial and other information they pr

Posted: May 16, 2018, 1:45 pm

The Securities and Exchange Commission today charged the owner of a Manhattan-based alternative investment firm with misappropriating close to $6 million in investor funds earmarked to finance the

Posted: May 16, 2018, 1:22 pm

If you’ve ever been tempted to buy into a hot investment opportunity linked with luxury travel, the Securities and Exchange Commission has a deal for you.

Check out the SEC’s Office of Investor Ed

Posted: May 16, 2018, 12:30 pm

About Coral Capital:  Founded in 1995, Coral Capital Partners, Inc. is a consulting firm that provides services to investment banks, private equity, public and privately held companies. Our experienced team brings a diverse set of skills that allow us to service a wide variety of needs. Our clients have ranged from international public companies with operations on three (3) continents to smaller privately held domestic companies. The services provided has covered the spectrum of providing support services to other firms to leading and overseeing large multi-year projects.  Please visit our Services page for additional information on the services provided by Coral Capital Partners.