Coral Capital Partners is proud to announce its collaborative relationship with TechPerts, a firm focused on providing technology consultants and experts witnesses to law firms and other interested parties. This is a significant expansion of Coral Capital Partners due diligence, acquisition searches, and valuation services.
Tag Archive for Due Diligence Services
Due diligence is the process of conducting a comprehensive examination, review, and investigation of a product, business, person or other items of interest. Due Diligence Services occur when a person or company conducts due diligence. Coral Capital Partners provides due diligence services to company and individuals in the lower and middle markets, as well as to investors, business owners, investment banks, and investment funds. In our blog, we take a look at items of interest relating to due diligence and how failures to conduct proper due diligence can result in negative outcomes.
SEC Action Against Rogue Stock Transfer Agent
Coral Capital Partners looks at a recent SEC Litigation Release concerning the activities of a stock transfer who fraudulently issued itself shares in its client companies. Stock transfer agents operate at what we feel is a key point in the securities markets. As a result we are gate keepers who are in a position to help prevent and stop securities fraud. We believe that it is especially heinous when they commit fraud. We feel that our blog on this topic, along with the associated SEC Litigation Release and Complaint will be an interesting read.
A Look at the Penalties for Broker/Dealer Failure to Obtain Due Diligence Under FINRA 10-22
FINRA Regulatory Notice 10-22 requires broker/dealers to conduct or obtain reasonable due diligence on companies whose securities they sell in private placement transactions through the Regulation D exemption. Coral Capital Partners looks at the penalties FINRA recently imposed upon broker/dealers and registered individuals for their failure to conduct reasonable due diligence in accordance with FINRA Regulatory Notice 10-22 on companies for which they are raising funds through a private placement offering.