Coral Capital FINRA 10-22 Due Diligence Services

Coral Capital Advisors has been providing due diligence services to private equity groups,  investment banks, and other clients since 2002.  Since then we have performed due diligence evaluation services on over 100 companies in a wide variety of industries that were under consideration for acquisitions, mergers, private placement, or investment by our clients.

In April of 2010, the Financial Industry Regulatory Authority issued Regulatory Notice 10-22, FINRA 10-22, which  requires broker-dealers to obtain independent, third party due diligence on all companies for which they are conducting a private placement or Regulation D Offering.

Coral Capital Advisors provides independent, third party due diligence services to broker-dealers involved in Reg-D placements for their clients. Our comprehensive investigations and reports that address all the items required by FINRA Regulatory Notice 10-22.

Our due diligence services cover the full set items covered by FINRA 10-22  including background checks, resume verification, civil and criminal records searches on domestic and international parties.

Coral Capital Advisors maintains relationships with a variety of firms that provide highly specialized experts and consultants for for unique and special projects.  Our relationships allow Coral Capital Advisors to provide services to a variety of very technical and unique industries that require highly specialized knowledge.

Case Studies:  Over the years,  the vast majority of the due diligence assignments conducted by Coral have concluded without serious incident.  However during the course of our numerous engagements we have uncovered serious issues that could not be mitigated by the company and its management. (Case Studies of these assignments may be found on our Case Studies page.) In those instances we were duty bound to advise our clients of our findings and recommendations that they not proceed with the planned transactions.  Our diligent and exhaustive work in uncovering these issues saved our clients from potentially disastrous transactions that could have resulted in severe loss and legal liability.

Please feel free to review our Blog articles on Due Diligence and FINRA Regulatory Notice 10-22

Please feel free to contact our offices to see how Coral Capital Advisors may be of assistance to you and your company.