Tag: 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 Obtains Final Judgment in AutoChina Market Manipulation Case

In 2012 we 1st took a look at the SEC enforcement action against AutoChina International for market manipulation. Roughly two (2) years later, the SEC has obtained its first judgments against the company and its principal executive officer in this case.

SEC Charges Another Company with Offering Fraud

Coral Capital Partners looks at a recent SEC enforcement action charging a company and its securities counsel with offering fraud for failure to follow the Use of Proceeds (and other false statements) contained within the offering documetns.