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FINRA disciplinary action update 2025/46
Disciplinary decisions issued December 6 – 12, 2025.
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Bloomberg hit with $5m penalty over data delay misstatements
The broker-dealer’s conduct was found to violate Section 17(a)(2) of the Securities Act.
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SEC brings action against biotech firm for false and misleading statements
The SEC found fault with the firm for how it reported cardiovascular safety results to investors regarding its drug, Roxadustat.
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Insider gains, family betrayal, and high-tech market gaming in key SEC cases
The SEC has recently closed three very different but equally brazen fraud cases, each a window into a distinct form of financial misconduct.
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Elanco fined $15m for Reg S-K misrepresentations
Elanco’s use of sales incentives created misleading impressions of customer demand, the SEC stated.
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JP Morgan affiliates to pay $151m to resolve five SEC enforcement actions
Five SEC enforcement actions include allegations that some advisers’ recommendations were not in the best interest of clients.
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SEC charges four companies for underreporting Sunburst data breach damage
The four settlements come nearly one year after the SEC sued SolarWinds for misleading investors about its cybersecurity controls.
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SEC sues Virtu Financial for misleading customers about data safeguards
Charges filed against broker-dealer and parent company over access to confidential trading information.