Tag Archive for SEC Investigations

Investigative actions undertaken by the Securities Exchange Commission (SEC) concerning the various rules and regulations it seeks to enforce. Our blog takes a look at those actions, and we provide our thoughts and commentary

SEC Action Involving Scheme with Fictitious Company Name

Coral Capital Partners looks at an SEC Enforcement action against a group of individuals who operated a fictitious company that claimed ties to a legitimate major financial corporation. We also take a look at how investors could have easily discovered this, and avoided their losses.