SEA 1934 Rule 10b-5
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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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‘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 2025/47
Disciplinary decisions issued December 13 – 19, 2025.
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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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DOJ charges Chinese tech executive and financial adviser over $100m pump-and-dump scheme
The alleged operation involved impersonating investment advisors and creating false Whatsapp boards to lure investors in.
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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.