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.
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.
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.