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 LITIGATION NEWS (Full List):

• Powertraderspress.com, Inc., Elite Stock Research, Inc., Erik Matz, Ronald Hardy, Anthony Vassallo, Stephanie Lee, Jeffrey Chartier, Lawrence D. Isen, Robert Gleckman, Brian Heepke, Dennis J. Verderosa, Emin Cohen, Sergio Ramirez, and Ashley Antos, Defendants, and Hermann Matz, Joseph Matz, Brittney Ballestas, Melissa Kurtzke, Janine Acosta, Type A Partners, Inc., Strategic Capital Markets, Inc., Marketbyte LLC, Snap or Tap Productions, LLC, Dacona Financial LLC, TradeMastersPro.com, Inc., MyStreetResearch.com, Inc., Revolving Ventures LLC, TradeMasters Consulting, Inc., Big Little Consulting, Inc., BCBall, Inc., Gabron Transport Corp., PTP Construction Corp., Terryville Systems, Inc., MKKMMKKM, Inc., Trek Partners LLC, RKRG, INC., Price Point Consulting, Inc., DJV Enterprises, Inc., Leecorp, Inc., Soccerserge, Inc., and Antos, Inc.  SEC Announces Charges In Massive Telemarketing Boiler Room Scheme Targeting Seniors

  Posted: July 13, 2017, 10:20 am
• Victory Ho SEC Charges Owner of Convenience Store in Louisiana with Insider Trading

  Posted: July 12, 2017, 8:09 pm
• Carol J. Wayland, John C. Mueller, Kentucky-Tennessee 50 Wells/400 BBLPD Block, Limited Partnership, HP Operations, LLC, C.A.R. Leasing, LLC, Mitchell B. Dow, Barry Liss, and Steve G. Blasko SEC Announces Charges in Oil Well Offering Fraud

  Posted: July 7, 2017, 8:56 pm
• Cheryl L. Jones SEC Charges Washington, D.C.-based Real Estate Agent and Sister of Convicted Ponzi Scheme Operator with Selling Unregistered Securities

  Posted: July 3, 2017, 8:42 pm
• Renwick Haddow, et al. SEC Files Fraud Charges in Bitcoin and Office Space Investment Schemes

  Posted: June 30, 2017, 9:25 pm
• Seyed Taher Kameli, et al.Securities and Exchange Commission v. Seyed Taher Kameli, et al.,

  Posted: June 22, 2017, 7:58 pm
• James M. Farinella, et al. SEC Files Fraud Charges Against Stock Promoters in Market Manipulation Scheme

  Posted: June 21, 2017, 5:09 pm
• Arista Power, Inc., et al.  SEC Charges CEO and Attorney With Scheme To Disguise Nature Of Company Financing

  Posted: June 20, 2017, 9:17 pm
• Jehu Hand and Antonio Katz New Jersey Stock Promoter Pleads Guilty to Charges in Market Manipulation Scheme

  Posted: June 15, 2017, 4:51 pm

SEC ADMINISTRATIVE NEWS (Full List):

•  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)

SEC TRADING SUSPENSIONS (Full List):.

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: www.coralcapital.com or call our offices via. telephone # (404)-816-9220 to see how we may be of assistance.