Coral Capital Partners provides to the visitors to our web site a variety of news feeds on topics of interest in the finance and securities industries. This page is dedicated to Press Releases by the Securities Exchange Commission (SEC). Additionally, links to our individual news topics pages are available in the footer table at the bottom of all our pages. Additional information on Coral Capital Partners and the services we provide may be found at the bottom of this page.
The Securities and Exchange Commission today announced that eToro USA LLC has agreed to pay $1.5 million to settle charges that it operated an unregistered broker and unregistered clearing agency i
Posted: September 12, 2024, 9:49 am
The Securities and Exchange Commission today announced that Deere & Company, which does business as John Deere, agreed to pay nearly $10 million to resolve SEC charges that it violated the Foreign
Posted: September 10, 2024, 8:30 pm
The Securities and Exchange Commission today announced six new members to fill vacancies on its Investor Advisory Committee. The new members, who will serve four-year terms, join 17 current committ
Posted: September 10, 2024, 2:45 pm
The Securities and Exchange Commission today charged Keurig Dr Pepper Inc. with making inaccurate statements regarding the recyclability of its K-Cup single use beverage pods. To settle the SEC’s c
Posted: September 10, 2024, 11:04 am
The Securities and Exchange Commission today announced settled charges against nine registered investment advisers for violating the Marketing Rule by disseminating advertisements that included unt
Posted: September 9, 2024, 4:42 pm
The Securities and Exchange Commission's Office of the Advocate for Small Business Capital Formation this week released new educational resources for small business owners that explore the anatomy
Posted: September 9, 2024, 4:22 pm
The Securities and Exchange Commission today approved the Public Company Accounting Oversight Board’s (PCAOB) new quality control (QC) standard and related amendments to its standards, rules, and f
Posted: September 9, 2024, 3:45 pm
The Securities and Exchange Commission today announced settled charges against seven public companies for using employment, separation, and other agreements that violated rules prohibiting actions
Posted: September 9, 2024, 11:40 am
The Securities and Exchange Commission today announced settled charges against Esmark Inc. and its founder, chairman, and former CEO, James P. Bouchard, for publicly announcing a tender offer to pu
Posted: September 6, 2024, 2:00 pm
The Securities and Exchange Commission today announced fraud charges against Nicholas Bowerman, a former finance director of CIRCOR International Inc., a formerly publicly traded technology manufac
Posted: September 5, 2024, 12:53 pm
The Securities and Exchange Commission today announced settled charges against three affiliated registrants, Commission-registered broker-dealer Nationwide Planning Associates, Inc. and investment
Posted: September 4, 2024, 8:00 pm
The Securities and Exchange Commission today announced charges against six nationally recognized statistical rating organizations, or NRSROs, for significant failures by the firms and their personn
Posted: September 3, 2024, 8:30 pm
The Securities and Exchange Commission today announced settled charges against ClearPath Capital Partners LLC for failing to comply with requirements related to the safekeeping of client assets and
Posted: September 3, 2024, 5:55 pm
The Securities and Exchange Commission today charged Maria Dulce Pino Dickerson and her companies Creative Legal Fundings in CA and The Ubiquity Group LLC with raising approximately $7 million from
Posted: September 3, 2024, 4:32 pm
The Securities and Exchange Commission today announced settled charges against Florida-based Galois Capital Management LLC, a former registered investment adviser for a private fund that primarily
Posted: September 3, 2024, 2:42 pm
The Securities and Exchange Commission today adopted amendments to reporting requirements on Form N-PORT to provide the Commission and investors with more timely information about certain registere
Posted: August 28, 2024, 3:15 pm
The Securities and Exchange Commission today announced charges against China-based investment adviser QZ Asset Management Limited a/k/a Qianze Asset Management Limited (QZ Asset), its South Dakota-
Posted: August 27, 2024, 5:30 pm
The Securities and Exchange Commission today announced that Austal USA, LLC, a Mobile, Alabama-based shipbuilder, and its Australia-based parent company, Austal Limited, have agreed to settle the S
Posted: August 27, 2024, 1:00 pm
The Securities and Exchange Commission today announced that it obtained emergency asset freezes against Jonathan Adam, a resident of Angleton, Texas, and his brother, Tanner Adam, a resident of Mia
Posted: August 26, 2024, 8:09 pm
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser Sound Point Capital Management LP for failing to establish, maintain, and
Posted: August 26, 2024, 6:55 pm
