SA 1933 Rule 17
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FINRA disciplinary action update 2025/46
Disciplinary decisions issued December 6 – 12, 2025.
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Final judgments secured in microcap manipulation case
The SEC finalized judgments against two individuals in a $27M microcap fraud case involving hidden control and undisclosed stock promotion.
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FINRA disciplinary action update 2025/11
Disciplinary decisions issued March 15 – 21, 2025.
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FINRA disciplinary action update 2025/4
Disciplinary decisions issued January 25 – 31, 2025.
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Hotel asset manager settles with SEC over cyber breach misreporting
The charges reflect the SEC’s sustained focus on accurate cybersecurity statements.
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SEC charges Terraform-affiliated company with fraud
The SEC stated that Tai Mo Shan boosted stablecoin UST’s price, creating the false impression of algorithmic stability.
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SEC and DOJ charge crypto financial services firms and developers for wash trading
Billing themselves as market makers, the alleged fraudsters were in the business of illicit wash trading and promotion.
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SEC charges Drive Planning LLC and its CEO with fraud
The SEC accuses the company and its CEO Russell Todd Burkhalter of offering unregistered securities and operating a Ponzi scheme.