| SEC v. Josh S. Verne (2023) | SEC | 2023-06-14 | | — | settled |
| Former CFO of Big Un Limited charged with insider trading (ASIC, 2023) | ASIC | 2023-06-13 | Insider Trading | — | dismissed |
| SEBI v. Shilpi Cable Technologies Limited and others (IPO proceeds diversion, 2023) | SEBI (India) | 2023-06-13 | Misleading Issuer Disclosure | — | judgment |
| SEBI v. Magnum Ventures Limited and others (misstated financial results, 2023) | SEBI (India) | 2023-05-31 | Misleading Issuer Disclosure , Price Manipulation | — | judgment |
| SEBI v. Mangalbhai Valabhai Rathod and others (Gayatri Sugars Ltd, 2023) | SEBI (India) | 2023-05-31 | Price Manipulation , Matched Orders | — | judgment |
| SEBI v. Faithful Cloth Merchants Pvt. Ltd. and others (Appu Marketing and Manufacturing Ltd, 2023) | SEBI (India) | 2023-05-31 | Price Manipulation | — | judgment |
| SEBI v. Savita Satish Gowda and others (Sharon Bio-Medicine Ltd, misstated accounts, 2023) | SEBI (India) | 2023-05-31 | Misleading Issuer Disclosure | — | judgment |
| SEBI v. Nafeez Hakeem and others (Generic Engineering Construction and Projects Ltd, 2023) | SEBI (India) | 2023-05-31 | Price Manipulation , Matched Orders | — | judgment |
| SEBI v. Kajalben Kiranbhai Trivedi and others (Cosyn, Tera Software, Flex Foods and Jubilant Industries, 2023) | SEBI (India) | 2023-05-31 | Price Manipulation , Wash Trading | — | judgment |
| SEC v. Chimene Van Gundy and others (ponzi schemes, 2023) | SEC | 2023-05-31 | Ponzi Schemes | $6.5m | judgment |
| SEBI v. Educomp Solutions Ltd and others (concealed subsidiary dealings, 2023) | SEBI (India) | 2023-05-30 | Misleading Issuer Disclosure | — | judgment |
| SEBI v. Ritu Devi Khemka and others (Sai Television Ltd, family group, 2023) | SEBI (India) | 2023-05-30 | Matched Orders , Price Manipulation | — | judgment |
| SEBI v. P V Nageshwar Rao and others (Sai Television Ltd, trading network, 2023) | SEBI (India) | 2023-05-30 | Matched Orders , Price Manipulation | — | judgment |
| SEC v. Francis Sabo (social media ramps, 2023) | SEC | 2023-05-26 | Social Media Ramps | — | settled |
| SEBI v. Harshad Ravilal Shah and others (Galactico Corporate Services, price manipulation allegation, 2023) | SEBI (India) | 2023-05-25 | Price Manipulation , Matched Orders | — | dismissed |
| SEC v. Eleazar Kauderer, GPL Ventures LLC, et al. (paid stock promotion, 2023) | SEC | 2023-05-24 | Paid Stock Promotion | — | judgment |
| SEC v. Integrated National Resources, Inc. (WeedGenics), Rolf Max Hirschmann and Patrick Earl Williams (ponzi schemes, 2023) | SEC | 2023-05-23 | Ponzi Schemes | $17.8m | judgment |
| SEBI v. Alps Motor Finance Limited and others (preferential-issue proceeds, 2023) | SEBI (India) | 2023-05-23 | Misleading Issuer Disclosure | — | judgment |
| ASIC bans former fund manager for naked short selling (2023) | ASIC | 2023-05-22 | Naked Short Selling Debate | — | judgment |
| SEC v. Thomas Carter Ronk (paid stock promotion, 2023) | SEC | 2023-05-22 | Paid Stock Promotion | $75k | judgment |
| SEC v. Sam A. Antar (ponzi schemes, 2023) | SEC | 2023-05-19 | Ponzi Schemes | — | judgment |
| SEBI v. Amit Agrawal and Murlidhar Agrawal (insider trading, Magma Fincorp, 2023) | SEBI (India) | 2023-05-17 | Insider Trading | — | settled |
| SEBI v. Rakesh Bhojgdhiya and Rakesh Bhojgdhiya HUF (insider trading, Magma Fincorp, 2023) | SEBI (India) | 2023-05-17 | Insider Trading | — | settled |
| SEC v. Brian Callahan, Adam Manson and others (ponzi schemes, 2023) | SEC | 2023-05-17 | Ponzi Schemes | — | judgment |
| SEC v. Green Stream Holdings, Inc. (unregistered distributions, 2023) | SEC | 2023-05-16 | Unregistered Distributions | $75k | settled |
| SEC v. LiveWire Ergogenics, Inc. (unregistered distributions, 2023) | SEC | 2023-05-16 | Unregistered Distributions | $50k | settled |
| SEC v. Principal Solar, Inc. (unregistered distributions, 2023) | SEC | 2023-05-16 | Unregistered Distributions | $40k | settled |
| SEC v. SFLMaven Corp. (unregistered distributions, 2023) | SEC | 2023-05-16 | Unregistered Distributions | $25k | settled |
| SEC v. Verde Bio Holdings, Inc. (unregistered distributions, 2023) | SEC | 2023-05-16 | Unregistered Distributions | $90k | settled |
| Vaughan Bowen indicted on insider trading charges (ASIC, 2023) | ASIC | 2023-05-12 | Insider Trading | — | dismissed |
| CFTC v. HSBC Bank USA (spoofing, 2023) | CFTC | 2023-05-12 | Spoofing | $45m | judgment |
| SEC v. Matthew Bell (CodeSmart price manipulation, 2023) | SEC | 2023-05-12 | Price Manipulation | — | judgment |
| SEC v. Joshua Sason, et al. (Corrected) (unregistered distributions, 2023) | SEC | 2023-05-12 | Unregistered Distributions | $290k | settled |
| SEC v. Todd Dobberfuhl (insider trading, 2023) | SEC | 2023-05-12 | Insider Trading | $72.8k | settled |
| CFTC v. Tyche Asset Management, LLC and Phillip Galles (ponzi schemes, 2023) | CFTC | 2023-05-11 | Ponzi Schemes | — | judgment |
| SEC v. Charles T. Lawrence, Jr. and others (2023) | SEC | 2023-05-11 | | — | settled |
| Former Courtenay House contractor sentenced (ASIC, 2023) | ASIC | 2023-05-08 | Ponzi Schemes | — | judgment |
| SEC v. Cedric Dewayne Griffin (ponzi schemes, 2023) | SEC | 2023-05-04 | Ponzi Schemes | — | filed |
| ASIC v. Gabriel Govinda (price manipulation, 2023) | ASIC | 2023-05-03 | Price Manipulation , Pump And Dump +1 | — | judgment |
| SEC v. Brett M. Bartlett and others (ponzi schemes, 2023) | SEC | 2023-05-03 | Ponzi Schemes | $4m | judgment |
| SEC v. Carlos Eduardo Reyes Alvarez (wash trading, 2023) | SEC | 2023-05-01 | Wash Trading | $160k | judgment |
| SEBI v. Ankur Agarwal (Arvind Remedies, misstated accounts, 2023) | SEBI (India) | 2023-04-28 | Misleading Issuer Disclosure | — | judgment |
| SEBI v. Nimi Enterprises and others (order-book spoofing, 2023) | SEBI (India) | 2023-04-28 | Spoofing , Layering | — | judgment |
| SEBI v. Eden Infrasmith Pvt Ltd and others (Funny Software Ltd, matched trades, 2023) | SEBI (India) | 2023-04-28 | Matched Orders , Price Manipulation | — | judgment |
| SEBI v. Om Hari Mahabir Halan HUF and others (Shree Global Tradefin, synchronised trades, 2023) | SEBI (India) | 2023-04-28 | Matched Orders , Wash Trading | — | judgment |
| SEC v. Neil Bergquist; Up and Global SEZC; Coinme, Inc. (unregistered distributions, 2023) | SEC | 2023-04-28 | Unregistered Distributions | — | settled |
| SEBI v. Rajinder Singh (MPS Infotechnics GDR issue, 2023) | SEBI (India) | 2023-04-28 | Misleading Issuer Disclosure | — | judgment |
| SEBI v. Karvy Stock Broking Limited and others (client securities misuse, 2023) | SEBI (India) | 2023-04-28 | | — | judgment |
| SEBI v. Surabhi Shah and Saumil Shah (insider trading, Magma Fincorp, 2023) | SEBI (India) | 2023-04-26 | Insider Trading | — | settled |
| SEBI v. Himanshu Mahendrabhai Patel and others (Telegram stock recommendations, 2023) | SEBI (India) | 2023-04-26 | Social Media Ramps , Pump And Dump | — | judgment |
| CFTC v. Precious Metals Dealers and Their Owner (2023) | CFTC | 2023-04-25 | | — | filed |
| SEBI v. Chaturvedi & Shah and K. K. Mankeshwar & Co. (statutory auditors, CG Power, 2023) | SEBI (India) | 2023-04-20 | Misleading Issuer Disclosure | — | judgment |
| SEC v. Betterment LLC (tax-loss harvesting disclosures, 2023) | SEC | 2023-04-18 | | $9m | settled |
| SEC v. Donald G. Blakstad, Energy Sources International Corporation and Xact Holdings Corporation (2023) | SEC | 2023-04-18 | | — | judgment |
| CFTC v. Rashawn Russell (2023) | CFTC | 2023-04-11 | | — | settled |
| SEC v. Matthew Nicosia, William Reininger, Fabrizio Di Carlo, and Ronald Touchard (boiler rooms, 2023) | SEC | 2023-04-10 | Boiler Rooms | $223k | judgment |
| SEC v. Michael J. French, MJF Holdings, LLC and MJF Capital, LLC (ponzi schemes, 2023) | SEC | 2023-04-04 | Ponzi Schemes | $6.2m | judgment |
| SEC v. Darren Ofsink and Michael T. Morris (CodeSmart, 2023) | SEC | 2023-04-03 | Reverse Merger Schemes , Undisclosed Control Blocks +1 | — | judgment |
| SEBI v. Beeline Broking Limited and others (market maker price manipulation, Transwind Infrastructure, 2023) | SEBI (India) | 2023-03-31 | Price Manipulation , Matched Orders | — | judgment |
| SEBI v. Gaurav Gupta and others (cornering Mentha oil futures at MCX, 2023) | SEBI (India) | 2023-03-31 | Cornering | — | judgment |
| SEBI v. Jayeshbhai Chandubhai Patel and another (alleged tipping, Vimal Oil & Foods, 2023) | SEBI (India) | 2023-03-31 | Insider Trading | — | dismissed |
| SEBI v. Kirodi Mal Modi and others (synchronised trades to consolidate promoter holdings, Bhageria Industries, 2023) | SEBI (India) | 2023-03-31 | Matched Orders , Price Manipulation | — | judgment |
| SEBI v. Markand Adhikari and others (insider trading and late disclosure, TV Vision adjudication, 2023) | SEBI (India) | 2023-03-31 | Insider Trading | — | judgment |
| SEBI v. Bijal Shah and others (insider trading in Zee Entertainment derivatives, 2023) | SEBI (India) | 2023-03-31 | Insider Trading | — | judgment |
| SEBI v. Vinodkumar Hirabhai Parmar and others (India Infraspace Ltd, 69 noticees, 2023) | SEBI (India) | 2023-03-31 | Wash Trading , Matched Orders +1 | — | judgment |
| SEC v. Carnovale, et al. (undisclosed control blocks, 2023) | SEC | 2023-03-31 | Undisclosed Control Blocks , Unregistered Distributions | — | judgment |
| SEC v. Sean Wygovsky and Christopher Matthaei (insider trading, 2023) | SEC | 2023-03-31 | Insider Trading | — | settled |
| SEC v. William Andrew Stack, Esq. (undisclosed control blocks, 2023) | SEC | 2023-03-31 | Undisclosed Control Blocks , Unregistered Distributions | $333k | judgment |
| SEC v. Surage Kamal Roshan Perera and Janues Capital Incorporated (ponzi schemes, 2023) | SEC | 2023-03-29 | Ponzi Schemes | — | settled |
| SEBI v. Manash Das and others (Angels Enterprises Limited, connected-entity trading, 2023) | SEBI (India) | 2023-03-29 | Price Manipulation | — | dismissed |
| CFTC v. Chinese National (insider trading, 2023) | CFTC | 2023-03-28 | Insider Trading | $176k | settled |
| SEBI v. Salasar Trading Company and others (diversion of IPO proceeds, Shilpi Cable Technologies, 2023) | SEBI (India) | 2023-03-28 | Misleading Issuer Disclosure | — | judgment |
| SEBI v. Satyanarayana Murthy Karuturi and others (insider trading ahead of results, Apex Frozen Foods, 2023) | SEBI (India) | 2023-03-28 | Insider Trading | — | judgment |
| SEBI v. Gottumukkala Subha Satya Pramila and another (insider trading allegation, Apex Frozen Foods, 2023) | SEBI (India) | 2023-03-28 | Insider Trading | — | dismissed |
| SEBI v. Camac Commercial Company Ltd, Samir Jain and others (hidden promoters, 2023) | SEBI (India) | 2023-03-28 | Misleading Issuer Disclosure | — | judgment |
| SEBI v. PNB Finance and Industries Ltd, Samir Jain and others (hidden promoters, 2023) | SEBI (India) | 2023-03-28 | Misleading Issuer Disclosure | — | judgment |
| SEBI v. Mysore Amalgamated Coffee Estates Ltd (receipt of diverted Coffee Day funds, adjudication, 2023) | SEBI (India) | 2023-03-27 | Misleading Issuer Disclosure | — | judgment |
| SEC v. Aaron Cain McKnight and others (2023) | SEC | 2023-03-27 | | — | filed |
| SEBI v. Sanjay Chamria (information given on Poonawalla Fincorp insider trading probe, settlement, 2023) | SEBI (India) | 2023-03-27 | | — | settled |
| SEBI v. Rashesh Purohit and others (insider trading ahead of a rating downgrade, TV Vision, 2023) | SEBI (India) | 2023-03-24 | Insider Trading | — | judgment |
| SEBI v. Jyotiben Kantilal Patel and others (insider trading allegation, Vimal Oil & Foods, 2023) | SEBI (India) | 2023-03-24 | Insider Trading | — | dismissed |
| SEC v. Justin Sun et al. (paid stock promotion, 2023) | SEC | 2023-03-24 | Paid Stock Promotion , Unregistered Distributions +1 | $10m | settled |
| SEBI v. Morgan Stanley France S.A. (box trades in long-dated Nifty options, settlement, 2023) | SEBI (India) | 2023-03-23 | Price Manipulation | — | settled |
| SEC v. Aliaune Damala Badara Akon Thiam (paid stock promotion, 2023) | SEC | 2023-03-22 | Paid Stock Promotion | $126k | settled |
| SEC v. Jake Joseph Paul (paid stock promotion, 2023) | SEC | 2023-03-22 | Paid Stock Promotion | $75.1k | settled |
| SEC v. Lindsay Dee Lohan (paid stock promotion, 2023) | SEC | 2023-03-22 | Paid Stock Promotion | $30k | settled |
| SEC v. Michele Anne Mason (paid stock promotion, 2023) | SEC | 2023-03-22 | Paid Stock Promotion | $2.9k | settled |
| SEC v. Miles Parks McCollum (paid stock promotion, 2023) | SEC | 2023-03-22 | Paid Stock Promotion | $30k | settled |
| SEC v. Shaffer Chimere Smith (paid stock promotion, 2023) | SEC | 2023-03-22 | Paid Stock Promotion | $36k | settled |
| Former Tesla Motors Australia director sentenced for insider trading (ASIC, 2023) | ASIC | 2023-03-20 | Insider Trading | — | judgment |
| SEBI v. Manish Jani (promoter exit through connected buyers, Layla Textiles and Traders, 2023) | SEBI (India) | 2023-03-16 | Matched Orders , Price Manipulation | — | judgment |
| SEBI v. Kavi Arora (fund diversion at Religare Finvest, 2023, 2023) | SEBI (India) | 2023-03-16 | Misleading Issuer Disclosure | — | judgment |
| SEBI v. K. Murugavel and Aswin Logistic Ventures (Midvalley Entertainment IPO proceeds, 2023) | SEBI (India) | 2023-03-16 | Misleading Issuer Disclosure | — | judgment |
| SEC v. Brian Robert Sodi, et al. (newsletter scalping, 2023) | SEC | 2023-03-14 | Newsletter Scalping , Pump And Dump | — | judgment |
| AMF France v. M. A (insider trading, 2023) | AMF (France) | 2023-03-13 | Insider Trading | — | judgment |
| SEC v. Mahmoud Ali Abdelkader (insider trading, 2023) | SEC | 2023-03-09 | Insider Trading | $81.6k | settled |
| SEC v. Moynes, et al. (undisclosed control blocks, 2023) | SEC | 2023-03-09 | Undisclosed Control Blocks , Pump And Dump | $307k | judgment |
| CFTC v. Coquest Inc. (insider trading, 2023) | CFTC | 2023-03-08 | Insider Trading | $2.5m | settled |
| SEBI v. 10,980 settling entities (reversal trades in illiquid BSE stock options, settlement scheme, 2023) | SEBI (India) | 2023-03-08 | Matched Orders , Wash Trading | — | settled |
| SEC v. Terren S. Peizer and Acuitas Group Holdings, LLC (insider trading, 2023) | SEC | 2023-03-08 | Insider Trading | — | dismissed |