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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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SEC fines Wisconsin investment fund managers over $27m
A jury verdict found the two managers and their associated businesses liable for securities fraud.
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How a Pennsylvania businessman built a $770m retail Ponzi scheme
Daryl Heller promised investors steady income from a nationwide ATM network – what they got instead was a carefully staged illusion.
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SEC bans ex-Merrill Lynch broker over fake fund scheme
The penalty also highlights the dangers of brokers using unapproved channels to communicate with prospective clients.
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Prominent Georgia Republican charged with $140m investment fraud by SEC
The case highlights the dangers of investment fraud involving purported “bridge loans.”
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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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SEC charges former US Marine with Ponzi-like securities fraud
The alleged scheme involved promises of steep returns on short-term loans secured by real estate.