Market Manipulation. Search

ASIC manipulation enforcement actions

This library records 113 market manipulation enforcement actions brought by the Australian Securities and Investments Commission.

These are the ASIC actions our ingest has classified as involving a manipulation technique. Actions that do not allege manipulation are outside this library's scope and are not recorded, so this is not a complete mirror of ASIC enforcement.

Actions
100
Total penalties
$0
Median penalty
—
Largest
—
Criminal parallel
80%
Action Agency Filed Technique Penalty Status
Fund manager Rodney Forrest re-sentenced to five years and three months’ jail following insider trading appeal (ASIC, 2026) ASIC 2026-05-22 Insider Trading — judgment
ASIC v. Alexander McCulloch (insider trading, 2026) ASIC 2026-04-17 Insider Trading — judgment
Former Big Un CEO pleads guilty in insider trading case (ASIC, 2026) ASIC 2026-04-09 Insider Trading — judgment
Fund manager sentenced to 6 years’ jail in $3 million Platinum Asset Management insider trading case (ASIC, 2026) ASIC 2026-01-23 Insider Trading — judgment
Market riggers sentenced in ASX ‘pump and dump’ case (ASIC, 2025) ASIC 2025-12-22 Chat Group Pumps , Pump And Dump — judgment
Victorian man sentenced in market manipulation case (ASIC, 2025) ASIC 2025-12-12 Price Manipulation , Wash Trading — judgment
Victorian man sentenced in Cann Group insider trading case (ASIC, 2025) ASIC 2025-10-06 Insider Trading — judgment
Melbourne man sentenced in Kidman Resources insider trading case (ASIC, 2025) ASIC 2025-09-15 Insider Trading — judgment
Charges laid in Platinum Asset Management insider trading case (ASIC, 2025) ASIC 2025-08-12 Insider Trading — judgment
ASIC v. Delta Power & Energy (Vales Point) Pty Ltd (price manipulation, 2025) ASIC 2025-06-30 Price Manipulation , Marking The Close — filed
ASIC secures guilty pleas in Telegram ‘pump and dump’ action (2025) ASIC 2025-06-10 Chat Group Pumps , Pump And Dump — judgment
ASIC v. Darryl Mapleson (insider trading, 2025) ASIC 2025-05-16 Insider Trading — judgment
Victorian man charged over alleged market manipulation (ASIC, 2025) ASIC 2025-03-14 Price Manipulation , Wash Trading — judgment
Antonio Stella indicted on insider trading charges (ASIC, 2025) ASIC 2025-03-06 Insider Trading — judgment
Perth accountant charged over alleged insider trading in Genesis Minerals shares (ASIC, 2024) ASIC 2024-12-23 Insider Trading — filed
Third person sentenced for Courtenay House misconduct (ASIC, 2024) ASIC 2024-12-22 Ponzi Schemes — judgment
Former Courtenay House director sentenced to 11 years imprisonment (ASIC, 2024) ASIC 2024-09-02 Ponzi Schemes — judgment
ASIC v. COFCO International Australia Pty Ltd (marking the close, 2024) ASIC 2024-07-24 Marking The Close , Price Manipulation — filed
Charges laid in alleged Telegram ‘pump and dump’ conspiracy following ASIC investigation (ASIC, 2024) ASIC 2024-07-23 Chat Group Pumps , Pump And Dump — judgment
ASIC v. Henry Eng Chye Heng (price manipulation, 2024) ASIC 2024-04-22 Price Manipulation — judgment
Third person pleads guilty in relation to Courtenay House Ponzi scheme (ASIC, 2024) ASIC 2024-03-19 Ponzi Schemes — judgment
Court declares Westpac engaged in unconscionable conduct for interest rate swap, maximum penalty applied (ASIC, 2024) ASIC 2024-01-31 — judgment
ASIC v. Cameron Waugh (insider trading, 2024) ASIC 2024-01-24 Insider Trading — judgment
ASIC v. Henry Eng Chye Heng (price manipulation, 2023) ASIC 2023-12-04 Price Manipulation — judgment
ASIC v. Interactive Brokers (marking the close, 2023) ASIC 2023-09-20 Marking The Close — settled
Melbourne man charged over alleged insider trading in Kidman Resources shares (ASIC, 2023) ASIC 2023-08-24 Insider Trading — judgment
ASIC v. Openmarkets Australia Limited (market integrity rules, 2023) ASIC 2023-07-05 — settled
Former CFO of Big Un Limited charged with insider trading (ASIC, 2023) ASIC 2023-06-13 Insider Trading — dismissed
ASIC bans former fund manager for naked short selling (2023) ASIC 2023-05-22 Naked Short Selling Debate — judgment
Vaughan Bowen indicted on insider trading charges (ASIC, 2023) ASIC 2023-05-12 Insider Trading — dismissed
Former Courtenay House contractor sentenced (ASIC, 2023) ASIC 2023-05-08 Ponzi Schemes — judgment
ASIC v. Gabriel Govinda (price manipulation, 2023) ASIC 2023-05-03 Price Manipulation , Pump And Dump +1 — judgment
Former Tesla Motors Australia director sentenced for insider trading (ASIC, 2023) ASIC 2023-03-20 Insider Trading — judgment
ASIC brings criminal charges against third individual in relation to Courtenay House (2023) ASIC 2023-02-22 Ponzi Schemes — judgment
Former CEO of Big Un Limited charged with insider trading (ASIC, 2023) ASIC 2023-02-14 Insider Trading — judgment
ASIC v. Don George Evans (price manipulation, 2023) ASIC 2023-02-07 Price Manipulation — judgment
ASIC v. Vaughan Bowen (insider trading, 2022) ASIC 2022-12-23 Insider Trading — dismissed
West Australian man arrested, charged with insider trading offences (ASIC, 2022) ASIC 2022-12-19 Insider Trading — judgment
Former Courtenay House contractor pleads guilty (ASIC, 2022) ASIC 2022-12-14 Ponzi Schemes — judgment
Former Tesla Motors Australia director pleads guilty to insider trading (ASIC, 2022) ASIC 2022-11-16 Insider Trading — judgment
Former Courtenay House director pleads guilty to conducting $180 million Ponzi scheme (ASIC, 2022) ASIC 2022-11-08 Ponzi Schemes — judgment
ASIC v. Don Evans (price manipulation, 2022) ASIC 2022-08-05 Price Manipulation — judgment
Former Sigma Healthcare general manager sentenced for insider trading (ASIC, 2022) ASIC 2022-06-27 Insider Trading — judgment
Caloundra man sentenced for insider trading (ASIC, 2022) ASIC 2022-06-20 Insider Trading — judgment
ASIC v. Benjamin Heath Cooper (price manipulation, 2022) ASIC 2022-06-10 Price Manipulation — judgment
ASIC v. Gabriel Govinda (price manipulation, 2022) ASIC 2022-06-07 Price Manipulation , Pump And Dump +1 — judgment
Caloundra man pleads guilty to insider trading (ASIC, 2022) ASIC 2022-01-28 Insider Trading — judgment
ASIC v. Courtenay House (ponzi schemes, 2021) ASIC 2021-11-30 Ponzi Schemes — judgment
Former executive of Healthe Care Australia sentenced to 12 months imprisonment and fined $10,000 for insider trading (ASIC, 2021) ASIC 2021-11-16 Insider Trading — judgment
Former Quantum Resources director convicted of insider trading and market manipulation offences (ASIC, 2021) ASIC 2021-11-09 Insider Trading , Price Manipulation — judgment
ASIC v. Dylan Rands (price manipulation, 2021) ASIC 2021-09-22 Price Manipulation — judgment
Melbourne man charged with insider trading (ASIC, 2021) ASIC 2021-09-14 Insider Trading — dismissed
Melbourne man charged with multiple counts of market manipulation (ASIC, 2021) ASIC 2021-07-02 Price Manipulation — judgment
ASIC v. Avrohom Kimelman (insider trading, 2021) ASIC 2021-07-01 Insider Trading , Price Manipulation — judgment
Insider trading charges against both the former Project Manager and the former Competent Person of ASX-listed gold explorer (ASIC, 2021) ASIC 2021-05-21 Insider Trading — judgment
Former executive of Healthe Care Australia pleads guilty to insider trading (ASIC, 2021) ASIC 2021-05-21 Insider Trading — judgment
Former CFO sentenced for market manipulation and fraud offences (ASIC, 2021) ASIC 2021-05-18 Price Manipulation — judgment
ASIC v. Benjamin Heath Cooper (price manipulation, 2021) ASIC 2021-03-17 Price Manipulation — judgment
Corporate finance director sentenced for conspiring to manipulate market (ASIC, 2021) ASIC 2021-02-10 Price Manipulation — judgment
Sigma general manager charged with insider trading (ASIC, 2020) ASIC 2020-10-30 Insider Trading — judgment
ASIC v. Don Evans (insider trading, 2020) ASIC 2020-09-28 Insider Trading , Price Manipulation — judgment
Insider trader sentenced to three years imprisonment for trading in Big Un Ltd shares (ASIC, 2020) ASIC 2020-09-11 Insider Trading — judgment
Corporate finance director pleads guilty to conspiring to manipulate market (ASIC, 2020) ASIC 2020-08-28 Price Manipulation — judgment
Former financial adviser sentenced to six years’ imprisonment for dishonest conduct (ASIC, 2020) ASIC 2020-08-04 Ponzi Schemes — judgment
ASIC v. Avrohom Kimelman (insider trading, 2020) ASIC 2020-06-23 Insider Trading — judgment
Former CFO charged with market manipulation and fraud offences (ASIC, 2020) ASIC 2020-06-11 Price Manipulation — judgment
Former CEO and director of Sirtex Medical Limited sentenced for insider trading (ASIC, 2020) ASIC 2020-06-04 Insider Trading — judgment
Former investment analyst pleads guilty to insider trading in securities of Big Un Limited (ASIC, 2020) ASIC 2020-02-25 Insider Trading — judgment
Corporate finance director charged with conspiring to manipulate market (ASIC, 2019) ASIC 2019-09-18 Price Manipulation — judgment
Former director convicted of market manipulation (ASIC, 2019) ASIC 2019-09-09 Price Manipulation — judgment
Former CEO and director of Sirtex Medical Limited pleads guilty to insider trading (ASIC, 2019) ASIC 2019-07-03 Insider Trading — judgment
ASIC v. Steven Oakes (insider trading, 2019) ASIC 2019-06-25 Insider Trading — judgment
Former mining executive sentenced to serve 9 months for insider trading (ASIC, 2019) ASIC 2019-02-11 Insider Trading — judgment
Court orders penalties and other relief against Westpac for BBSW conduct (ASIC, 2018) ASIC 2018-11-09 Price Manipulation — judgment
Former CEO and director of Sirtex Medical Limited charged with insider trading (ASIC, 2018) ASIC 2018-09-26 Insider Trading — judgment
Former managing director of mining company found guilty of insider trading (ASIC, 2018) ASIC 2018-08-21 Insider Trading — judgment
Former executive charged with insider trading (ASIC, 2018) ASIC 2018-07-23 Insider Trading — judgment
ASIC v. CBA (price manipulation, 2018) ASIC 2018-07-10 Price Manipulation — judgment
South Australian day trader sentenced for market manipulation (ASIC, 2018) ASIC 2018-04-10 Price Manipulation — judgment
Operators of 'binary options trading boiler room' banned following conviction (ASIC, 2018) ASIC 2018-02-08 — unknown
ASIC commences civil penalty proceedings against Commonwealth Bank of Australia for BBSW conduct (2018) ASIC 2018-01-30 Price Manipulation — settled
ASIC v. Interactive Brokers LLC (marking the close, 2017) ASIC 2017-12-14 Marking The Close — settled
AAT upholds ASIC bans of client advisers for trading in 'MINI' warrants (ASIC, 2017) ASIC 2017-12-11 Matched Orders — judgment
Caloundra man charged for insider trading (ASIC, 2017) ASIC 2017-11-16 Insider Trading — judgment
Operators of 'binary options trading boiler room' convicted and sentenced (ASIC, 2017) ASIC 2017-11-09 — judgment
Sydney man faces charges for market manipulation (ASIC, 2017) ASIC 2017-09-19 Price Manipulation — judgment
Day trader pleads guilty to market manipulation (ASIC, 2017) ASIC 2017-08-28 Price Manipulation — judgment
ASIC v. UBS Securities (2017) ASIC 2017-06-15 — settled
ASIC v. Macquarie Bank Limited (2017) ASIC 2017-05-19 — settled
Former Perth managing director sentenced to 18 months' jail for insider trading (ASIC, 2017) ASIC 2017-04-28 Insider Trading — judgment
ASIC v. Steven Robert Noske (insider trading, 2017) ASIC 2017-04-03 Insider Trading — judgment
ASIC v. Hochtief AG (insider trading, 2016) ASIC 2016-12-08 Insider Trading — judgment
Former Sydney investment banker charged with procuring insider trading (ASIC, 2016) ASIC 2016-09-20 Insider Trading — dismissed
Former director of joint venture partner charged with insider trading offences (ASIC, 2016) ASIC 2016-08-26 Insider Trading — judgment
Sydney man jailed on insider trading charges (ASIC, 2016) ASIC 2016-06-03 Insider Trading — judgment
Former Hanlong managing director sentenced to more than 8 years jail for insider trading (ASIC, 2016) ASIC 2016-03-11 Insider Trading — judgment
Court reduces jail time for New South Wales man sentenced for market manipulation (ASIC, 2016) ASIC 2016-02-29 Matched Orders , Price Manipulation — judgment
Perth man charged with insider trading appears in court (ASIC, 2016) ASIC 2016-02-04 Insider Trading — judgment
ASIC bans former financial adviser for market manipulation (2015) ASIC 2015-12-18 Price Manipulation , Matched Orders — judgment
Former Gunns Ltd chairman ordered to pay $500,000 pecuniary penalty for insider trading (ASIC, 2015) ASIC 2015-12-15 Insider Trading — judgment