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 Prosper Funding LLC will pay a $3 million penalty for miscalculating and materially overstating annualized net returns to retail and othe

Posted: April 19, 2019, 2:43 pm

The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2019 National Compliance Outreach Program 

Posted: April 16, 2019, 4:34 pm

The Securities and Exchange Commission today announced that Sara Cortes and David P. Bartels have been named Deputy Chief Counsels of the Division of Investment Management. As Deputy Chief Counsels

Posted: April 15, 2019, 3:00 pm

The Securities and Exchange Commission today charged two former directors of investments at Woodbridge Group of Companies LLC for their roles in its massive Ponzi scheme. The defendants, California

Posted: April 12, 2019, 1:10 am

The Securities and Exchange Commission today released the agenda for the April 15 meeting of the Fixed Income Market Structure Advisory Committee.  The Commission established the advisory committee

Posted: April 11, 2019, 5:30 pm

The Securities and Exchange Commission today charged a former senior lawyer at SeaWorld Entertainment Inc. with insider trading based on nonpublic information that the company’s revenue would be be

Posted: April 9, 2019, 7:40 pm

The Securities and Exchange Commission today unveiled a public service campaign to empower Main Street investors to take control of their financial future. The public service announcement (PSA) enc

Posted: April 8, 2019, 2:00 pm

The Securities and Exchange Commission today charged the former CFO and two former employees of a publicly traded transportation company with fraud for manipulating the company’s financial results

Posted: April 3, 2019, 7:40 pm

The Securities and Exchange Commission today charged the founder and former chief executive of a Silicon Valley startup with defrauding investors in Jumio Inc., a private mobile payments company. T

Posted: April 2, 2019, 5:35 pm

Are you prepared for your financial future?  That’s the question the Securities and Exchange Commission's Office of Investor Education and Advocacy (OIEA) is asking investors. To help investors get

Posted: April 1, 2019, 8:25 pm

The Securities and Exchange Commission today announced that Fresenius Medical Care AG & Co KGaA (FMC) has agreed to pay more than $231 million to resolve parallel SEC and U.S. Department of Justice

Posted: March 29, 2019, 4:10 pm

The Securities and Exchange Commission and the United Kingdom (UK) Financial Conduct Authority (FCA) have today reaffirmed their commitment to continue close cooperation and information sharing in

Posted: March 29, 2019, 2:00 pm

The Securities and Exchange Commission today charged the former controller of a New York-based not-for-profit college with defrauding municipal securities investors by fraudulently concealing the c

Posted: March 28, 2019, 9:45 pm

The Securities and Exchange Commission today revoked the registration of a Seattle area-based registered investment adviser and barred its principal from the securities industry for stealing money

Posted: March 28, 2019, 9:00 pm

The Securities and Exchange Commission today filed charges against the former chief operating officer (COO) of a Commission-registered investment adviser for aiding and abetting the advisory firm’s

Posted: March 28, 2019, 3:50 pm

The Securities and Exchange Commission today announced that Danae M. Serrano has been named the agency’s Ethics Counsel. Ms. Serrano has served as Acting Ethics Counsel since December 2018. 

"Dana

Posted: March 26, 2019, 9:00 pm

The Securities and Exchange Commission today announced awards totaling $50 million to two whistleblowers whose high-quality information assisted the agency in bringing a successful enforcement acti

Posted: March 26, 2019, 2:55 pm

The Securities and Exchange Commission today announced that Jeffrey T. Dinwoodie has been appointed Senior Counsel and Policy Advisor for Market and Activities-Based Risk.  Chairman Jay Clayton has

Posted: March 25, 2019, 9:00 pm

The Securities and Exchange Commission today announced that Merrill Lynch, Pierce, Fenner & Smith Incorporated will pay over $8 million to settle charges of improper handling of “pre-released” Amer

Posted: March 22, 2019, 3:50 pm

The Securities and Exchange Commission today voted to propose rule amendments to implement certain provisions of the Small Business Credit Availability Act and the Economic Growth, Regulatory Relie

Posted: March 20, 2019, 11:05 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.