SEC Litigation Releases

Coral Capital Partners provides to the visitors to our website a variety of news feeds on topics of interest in the finance and securities industries.  This page is dedicated to Litigation Releases by the Securities Exchange Commission (SEC).

SEC Obtains Preliminary Injunction and Appointment of a Receiver in Pre-Ipo Stock Fraud by Unregistered Broker-Dealer
Posted: June 24, 2022, 1:33 pm
SEC Obtains Final Judgment Against Former Pharmacy Chain Employee Charged with Insider Trading
Posted: June 21, 2022, 8:33 pm
Second Circuit Affirms Judgment for SEC in Layering, Manipulative Trading Case
Posted: June 17, 2022, 7:03 pm
SEC Charges Former Texas City Official for Falsifying City's Financial Documents
Posted: June 16, 2022, 8:12 pm
SEC Charges Louisiana Radio Host with Selling Securities in Unregistered Oil and Gas Offerings
Posted: June 15, 2022, 9:29 pm
SEC Charges "Millionaire Maker" Author with Selling Securities in Unregistered Oil and Gas Offerings
Posted: June 15, 2022, 9:29 pm
SEC Halts Fraudulent Real Estate-Related Investment Offerings
Posted: June 15, 2022, 7:54 pm
SEC Charges Former Employee of Online Gambling Company with Insider Trading
Posted: June 15, 2022, 2:12 pm
SEC Obtains Final Judgments Ordering Payment of Over $75 Million in Stock Manipulation Scheme
Posted: June 15, 2022, 1:46 pm
SEC Charges Three Additional Investment Advisers for Recommending Ponzi Scheme to Clients
Posted: June 14, 2022, 5:46 pm
SEC Charges Tar Sands Mining Company and Former Executives with Fraud
Posted: June 14, 2022, 12:50 pm
SEC Charges New York-Based Investment Adviser and Its CEO and Former Chief Compliance Officer with Securities Violations
Posted: June 10, 2022, 6:37 pm
SEC Obtains Final Judgment Against a Rhode Island Investment Adviser Charged with Orchestrating Multi-Million Dollar Ponzi Scheme
Posted: June 9, 2022, 7:56 pm
SEC Obtains Final Judgment Against Former Partner At Global Consulting Firm
Posted: June 9, 2022, 7:31 pm
Court of Appeals Affirms Order Against Terraform and Kwon in SEC Subpoena Enforcement Action
Posted: June 9, 2022, 3:32 pm
SEC Charges Multiple Defendants with Investment Fraud Scheme Involving Penny Stock Companies
Posted: June 9, 2022, 1:41 pm
SEC Charges Medical Supply Company and Executives for Accounting Fraud and Suspends Audit Professionals for Improper Professional Conduct
Posted: June 8, 2022, 9:46 pm
SEC Obtains Final Judgments Ordering Entities to Pay Over $15 Million for Facilitating International Fraud Scheme
Posted: June 8, 2022, 9:19 pm
SEC Charges Canadian Individual in Fraudulent Microcap Scheme
Posted: June 8, 2022, 8:39 pm
SEC Obtains Final Judgment Against Former Credit Rating Agency Charged with Disclosure and Internal Controls Failures Relating to Undisclosed Model Adjustments
Posted: June 7, 2022, 8:58 pm
SEC Sues New York Based Firm and Its Managing Member for Acting as Unregistered Securities Dealers
Posted: June 7, 2022, 8:58 pm
SEC Charges Former CCO of Investment Adviser Who Misappropriated Funds
Posted: June 2, 2022, 9:05 pm
SEC Obtains Final Judgments Against Crowdfunding Issuer and Its CEO
Posted: June 2, 2022, 8:23 pm
SEC Charges Former Executive of Network Infrastructure Company with Accounting Fraud
Posted: June 2, 2022, 6:20 pm
SEC Charges New York Grocery Supermarket Chain and CEO for Financial Fraud
Posted: June 1, 2022, 8:59 pm