SEA 1934 Rule 10b
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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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SEC settles insider trading case with Massachusetts resident involving Sage Therapeutics
The agency alleged that Brian Suthoff liquidated all of his Sage stock in advance of negative news.
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SEC sues Lottery.com and ex-employees for revenue fraud
According to the complaint, a series of artificial transactions drastically inflated the company’s value from 2020 to 2022.
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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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DOJ targets SPAC-fueled fraud at Near Intelligence
The case highlights how the rapid timelines and projection-heavy disclosures of SPAC structures can be exploited to mislead investors.
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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.”