Securities Fraud (general antifraud) observation
General antifraud conduct under Rule 10b-5 / § 17(a) — the catch-all securities-fraud category.
rule / inferenceMaterial misstatement or omission in connection with the purchase or sale of a security.
SEC filings 8-K10-K10-QForm 4
heuristicssec_staff_action
Insider Trading observation
Trading on material non-public information (MNPI) ahead of a public disclosure.
rule / inferenceA Form 4 / 144 transaction timed near a material 8-K or 10-Q disclosure.
SEC filings Form 4Form 3Form 51448-K10-Q
heuristicsform_144_outlier
Pump-and-Dump observation
Coordinated promotion of a thinly-traded microcap issuer to inflate price, followed by insider sell-off at the top.
rule / inferenceS-8-to-consultant issuance + float spike + insider Form 4 sells near a promotional 8-K; shell-reactivation / reverse-merger chain (8-K 5.06 → 2.01 → 5.03).
SEC filings S-8S-1424B8-KForm 4SC 13D/GForm 1015-12G
heuristicspenny_stock_s1_s8 · form_144_outlier · reverse_merger_chain · shell_reactivation · name_recycling
Market Manipulation observation
Spoofing, matched orders, or marking-the-close to move a security’s price.
rule / inferenceAccumulation / position changes clustered around the manipulation window.
SEC filings SC 13D/G13F
Ponzi form-presence
New-investor funds used to pay prior investors; typically an unregistered fund offering.
rule / inferenceForm D, or no registration at all, for an entity raising pooled investor funds.
SEC filings Form D
heuristicsreg_s_issuance · promissory_clauses · form_d_only_issuer
Accounting / Disclosure Fraud regex
Restatements, non-reliance announcements, auditor changes, and late filings that signal misstated financials.
rule / inferenceRestatement / non-reliance (8-K Item 4.02), auditor change (Item 4.01), or late-filing NT.
SEC filings 10-K10-Q8-K (4.02)8-K (4.01)NT 10-KNT 10-Q
heuristicslate_filer_cluster