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SEC scrutinizes technology-driven disclosures
An SEC action against RYVYL, Inc, underscores how overstated claims about blockchain capabilities, coupled with omitted risk disclosures, can translate into antifraud liability even when wrapped in the language of innovation.
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Former pharma CEO agrees $30k settlement with SEC over fraud allegations
Anthony J Cataldo, who was accused of diverting millions in company funds, agreed to settle fraud allegations for a fraction of the amount regulators say he stole.
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Recent fraud cases reflect a more selective SEC approach
Two cases demonstrate a focus on clear antifraud violations supported by strong data trails and involving conduct with direct investor harm.
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SEC sues C-Hear and former CEO over $4.2m offering fraud
The SEC’s complaint alleges the company’s investors were misled about product testing and cybersecurity, and its CEO’s previous criminal history.
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SEC says ADM executive engineered accounting to preserve a growth story
The SEC emphasized ADM’s cooperation in resolving the matter.
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'Be an investing badass!' Recent SEC cases citing fraud, disclosure issues
"The Cash Flow King" was ordered to pay disgorgement of $2,967,535 and prejudgment interest thereon of $340,396 to the SEC, which was deemed satisfied by the restitution ordered in the DOJ's parallel criminal case.
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FINRA disciplinary action update 2025/44
Disciplinary decisions issued November 22 – 28, 2025.
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FINRA disciplinary action update 2025/43
Disciplinary decisions issued November 15 – 21, 2025.
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