News from the SEC & FINRA (July 14, 2017)

Since our last update to July 14, 2017

Welcome to our blog that is dedicated to the variety of news announcements from the SEC and FINRA.  We also take a look at various news from outside sources relating to those agencies.  The months of May and June were exceptionally busy, and as a a result, I missed several weeks of the blog. As a result, we will try to cover as much as possible since our last blog.

The full list of releases from the SEC and FINRA is available to visitors of our site through the links below.  The actions that we have highlighted by listing them below, are those that have caught our attention for some particular reason; one that we will generally discuss.



  •  SEC Action on Unregistered Securities (More)
  •  SEC Action Against Former Transfer Agent (More)
  •  Order Denying Application for Consent to Associate (More)
  •  Action Against Investment Advisor for Investing Outside of Funds Charter (More)
  •  Action Against Investment Advisor for Misappropriation of Client Funds (More)
  •  SEC Action Against “Strawman” Company Officer in Shell Creation Scheme (More,  More, More, and More)


FINRA NEWS (Full List):

No significant news from FINRA.  The majority of the releases were related to trade reporting.

About Coral Capital Partners and Erik Nelson

Erik Nelson is the President of Coral Capital Partners, an independent consulting and advisory firm focused on companies and participants in the lower and middle markets. Coral Capital Partners provides cost effective solutions to real world issues and situations. Coral Capital Partners, Inc. provides services to Investment Banks, Private Equity Funds, investors, and both privately held and publicly traded companies, as well as various stakeholders in those organizations. This has included international public companies with operations on three (3) continents to smaller privately held domestic companies. Our experience in the areas of corporate advisory, due diligence reviews, and regulatory compliance allows for a cost effective and efficient solution to the issues at hand. Please feel free to visit our web site at: or call our offices via. telephone # (404)-816-9220 to see how we may be of assistance.