Disciplinary decisions issued December 6 – 12, 2025.
SA 1933 Rule 17
The SEC finalized judgments against two individuals in a $27M microcap fraud case involving hidden control and undisclosed stock promotion.
Disciplinary decisions issued March 15 – 21, 2025.
Disciplinary decisions issued January 25 – 31, 2025.
The charges reflect the SEC’s sustained focus on accurate cybersecurity statements.
The SEC stated that Tai Mo Shan boosted stablecoin UST’s price, creating the false impression of algorithmic stability.
Billing themselves as market makers, the alleged fraudsters were in the business of illicit wash trading and promotion.
The SEC accuses the company and its CEO Russell Todd Burkhalter of offering unregistered securities and operating a Ponzi scheme.