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 announced that Ameriprise Financial Services Inc. will pay $4.5 million to settle charges that it failed to safeguard retail investor assets from theft

Posted: August 15, 2018, 10:30 am

The Securities and Exchange Commission today charged two firms and 18 individuals in a scheme to improperly divert new issue municipal bonds to broker-dealers at the expense of retail investors.  A

Posted: August 14, 2018, 12:45 pm

The Securities and Exchange Commission today obtained permanent officer-and-director and penny stock bars against the founder of a company who perpetrated a fraudulent initial coin offering (ICO) t

Posted: August 14, 2018, 11:15 am

The Securities and Exchange Commission today announced the filing of insider trading charges against Congressman Christopher Collins, the U.S. Representative for New York’s 27th Congressional Distr

Posted: August 8, 2018, 12:06 pm

The Securities and Exchange Commission today charged a cloud communications company and two executives with providing misleading quarterly revenue estimates.  The company and executives agreed to p

Posted: August 7, 2018, 3:15 pm

The Securities and Exchange Commission today announced that it has updated its list of unregistered firms that use misleading information to primarily solicit non-U.S. investors, adding 16 soliciti

Posted: August 6, 2018, 2:15 pm

The Securities and Exchange Commission today charged Howard M. Appel with manipulating the stocks of three microcap companies while on supervised release following his criminal conviction for a pri

Posted: July 27, 2018, 3:15 pm

The Securities and Exchange Commission today announced that Daniel Gregus has been named National Associate Director of the Clearance and Settlement examination program in the agency’s Office of Co

Posted: July 25, 2018, 2:10 pm

The Securities and Exchange Commission today announced that Kristin Snyder has been named Deputy Director of the agency’s Office of Compliance Inspections and Examinations (OCIE). 

Ms. Snyder has

Posted: July 25, 2018, 2:02 pm

The Securities and Exchange Commission today announced that Jane Jarcho, Deputy Director of the Office of Compliance Inspections and Examinations (OCIE), will retire from the SEC at the end of Augu

Posted: July 25, 2018, 2:00 pm

The Securities and Exchange Commission today announced that Elizabeth Baird and Christian Sabella have been named Deputy Directors in the Division of Trading and Markets.  

Ms. Baird joins the SEC

Posted: July 25, 2018, 12:14 pm

The Securities and Exchange Commission today voted to propose rule amendments to simplify and streamline the financial disclosure requirements applicable to registered debt offerings for guarantors

Posted: July 24, 2018, 5:30 pm

The Securities and Exchange Commission today announced that a senior executive at a Silicon Valley fiber optics company has agreed to settle charges that he made nearly $200,000 in illicit profits

Posted: July 24, 2018, 1:25 pm

The Securities and Exchange Commission today announced that New York entrepreneur William Z. (Billy) McFarland, two companies he founded, a former senior executive, and a former contractor agreed t

Posted: July 24, 2018, 11:20 am

The Securities and Exchange Commission today charged Mizuho Securities USA LLC for its failure to safeguard information pertaining to stock buybacks by its issuer customers.  Mizuho failed to maint

Posted: July 23, 2018, 10:55 am

The Securities and Exchange Commission today announced that Julie K. Lutz, the Regional Director of the SEC’s Denver Regional Office, will leave the agency at the end of this month after more than

Posted: July 23, 2018, 10:00 am

The Securities and Exchange Commission today announced that two U.S.-based subsidiaries of Deutsche Bank AG will pay nearly $75 million to settle charges of improper handling of “pre-released” Amer

Posted: July 20, 2018, 11:10 am

The Securities and Exchange Commission today charged a Connecticut-based investment advisory firm and its chief executive officer with putting $19 million of investor money, including elderly inves

Posted: July 18, 2018, 1:20 pm

The Securities and Exchange Commission today announced it has voted to adopt amendments to Regulation ATS to enhance operational transparency and regulatory oversight of alternative trading systems

Posted: July 18, 2018, 12:30 pm

The Securities and Exchange Commission today issued final rules to amend Securities Act Rule 701, which provides an exemption from registration for securities issued by non-reporting companies purs

Posted: July 18, 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.