SA 1933 Rule 17(a)
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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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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.