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.
Tag: Fraud Investigation
Blog articles by Coral Capital Partners on the various forms of securities fraud and business fraud that affect companies and investors. This includes are taking a look at recent regulatory notices, rules changes, regulatory enforcement actions, as well our experiences in performing fraud investigations, management consulting, and other services for our clients. Additionally we try to identify key “red flags” that help investors and corporations identify and avoid being victims of fraudulent activities.
Market Manipulation and “Noneconomical Trading”
Coral Capital Partners looks at a SEC Enforcement Action for market manipulation and non-economical trading. This is an extremely interesting look at the manipulation of the public market for a micro-cap company’s common stock, how it was accomplished, and the penalties imposed. We also look at the SEC ‘s definition of these types of market manipulation and where they run afoul of the Exchange Act of 1934. This blog and the associated SEC Litigation Release and Complaint filed in Federal Court provide a very interesting read.
A Stock Pump and Dump with False Press Releases
Coral Capital Partners takes a look at an SEC enforcement action against a company and the individuals associated with it in an alleged stock pump and dump. This is a well written complaint by the SEC that is an interesting one to read.