Market Manipulation. Search

SEC manipulation enforcement actions

This library records 1844 market manipulation enforcement actions brought by the Securities and Exchange Commission.

These are the SEC 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 SEC enforcement.

Actions
100
Total penalties
$50.1m
Median penalty
$211k
Largest
$14.4m
Criminal parallel
47%
Action Agency Filed Technique Penalty Status
SEC v. Chip Hackley (matched orders, 2019) SEC 2019-09-25 Matched Orders , Undisclosed Control Blocks — settled
SEC v. George Matin (matched orders, 2019) SEC 2019-09-25 Matched Orders , Price Manipulation — settled
SEC v. Harold Minsky (matched orders, 2019) SEC 2019-09-25 Matched Orders , Price Manipulation — settled
SEC v. James Alex Irvin (insider trading, 2019) SEC 2019-09-25 Insider Trading $252k settled
SEC v. William M. Apostelos, et al. (ponzi schemes, 2019) SEC 2019-09-25 Ponzi Schemes , Unregistered Distributions — judgment
SEC v. James Wallace Nall, III, et al. (insider trading, 2019) SEC 2019-09-24 Insider Trading $437k settled
SEC v. Benjamin Conde, with Essex Global Investment Corp. and Facultas Capital Management, Inc. as relief defendants (boiler rooms, 2019) SEC 2019-09-23 Boiler Rooms — filed
SEC v. Brian Robert Sodi, et al. (newsletter scalping, 2019) SEC 2019-09-19 Newsletter Scalping , Paid Stock Promotion +1 — settled
SEC v. Mediatrix Capital Inc., et al. (2019) SEC 2019-09-18 — filed
SEC v. Vandham Securities Corp. (naked short selling debate, 2019) SEC 2019-09-16 Naked Short Selling Debate $200k settled
SEC v. Bio Defense Corporation, et al. (boiler rooms, 2019) SEC 2019-09-13 Boiler Rooms , Unregistered Distributions — judgment
SEC v. Abner Silva (2019) SEC 2019-09-06 $80k settled
SEC v. Toon Goggles Inc., et al. (boiler rooms, 2019) SEC 2019-09-06 Boiler Rooms $5.2m judgment
SEC v. Keith G. Daubenspeck and Geoffrey L. Homer (insider trading, 2019) SEC 2019-09-05 Insider Trading $111k settled
SEC v. Executive Financial Services, Inc. (ponzi schemes, 2019) SEC 2019-09-04 Ponzi Schemes , Unregistered Distributions $8.1m judgment
SEC v. Morrie Tobin et al. (undisclosed control blocks, 2019) SEC 2019-08-30 Undisclosed Control Blocks , Reverse Merger Schemes — settled
SEC v. Live Well Financial, Inc., Michael C. Hild, Eric Rohr, and Darren Stumberger (mismarking, 2019) SEC 2019-08-29 Mismarking — settled
SEC v. EMS Capital LP (naked short selling debate, 2019) SEC 2019-08-27 Naked Short Selling Debate $60k settled
SEC v. Baker and others (unregistered distributions, 2019) SEC 2019-08-26 Unregistered Distributions $650k judgment
SEC v. Terry Wayne Kelly and Kelly Management, LLC (ponzi schemes, 2019) SEC 2019-08-22 Ponzi Schemes — settled
SEC v. ICO Rating (paid stock promotion, 2019) SEC 2019-08-20 Paid Stock Promotion $162k settled
SEC v. TherapeuticsMD, Inc. (2019) SEC 2019-08-20 $200k settled
SEC v. Bill Tsai (insider trading, 2019) SEC 2019-08-16 Insider Trading — settled
SEC v. Jehu Hand, et al. (pump and dump, 2019) SEC 2019-08-16 Pump And Dump — judgment
SEC v. Samuel Brown, et al. (price manipulation, 2019) SEC 2019-08-16 Price Manipulation — judgment
SEC v. Lorenz Erne (insider trading, 2019) SEC 2019-08-15 Insider Trading $79.6k settled
SEC v. Thomas W. Avent, Jr., et al. (insider trading, 2019) SEC 2019-08-15 Insider Trading — judgment
SEC v. Mark E. Burns (price manipulation, 2019) SEC 2019-08-12 EDGAR Filing Fraud , Price Manipulation +1 $60k judgment
SEC v. Reginald Middleton and Veritaseum (price manipulation, 2019) SEC 2019-08-12 Price Manipulation $1m judgment
SEC v. Tanmaya Kabra, et al. (2019) SEC 2019-08-08 — settled
SEC v. Imran Husain, et al. (shell factories, 2019) SEC 2019-08-06 Shell Factories — judgment
SEC v. James W. Holden (insider trading, 2019) SEC 2019-07-31 Insider Trading $18.5k settled
SEC v. Beaufort Secs. Ltd. and Kyriacou. (pump and dump, 2019) SEC 2019-07-29 Matched Orders , Pump And Dump — judgment
SEC v. Christopher Plaford (insider trading, 2019) SEC 2019-07-29 Insider Trading , Mismarking — judgment
SEC v. Balaji Sundarraj and David O'brien (insider trading, 2019) SEC 2019-07-23 Insider Trading $57.9k settled
SEC v. Carol J. Wayland, et al. (boiler rooms, 2019) SEC 2019-07-19 Boiler Rooms , Unregistered Distributions $465k judgment
SEC v. Garrett M. O'Rourke and Michael J. Black (pump and dump, 2019) SEC 2019-07-19 Pump And Dump — settled
SEC v. Jun Ying (insider trading, 2019) SEC 2019-07-18 Insider Trading — judgment
SEC v. Mark Loman (insider trading, 2019) SEC 2019-07-18 Insider Trading — unknown
SEC v. William J. Milles, Jr. and Donald J. Lutzko (ponzi schemes, 2019) SEC 2019-07-18 Ponzi Schemes $414k judgment
SEC v. Zev Saltsman, et al. (unregistered distributions, 2019) SEC 2019-07-17 Unregistered Distributions — judgment
SEC v. Henry J. Wieniewitz, III, et al. (ponzi schemes, 2019) SEC 2019-07-15 Ponzi Schemes — settled
SEC v. GT Media, Inc. (unregistered distributions, 2019) SEC 2019-07-01 Unregistered Distributions $173k settled
SEC v. Tory J. R. Schalkle (insider trading, 2019) SEC 2019-07-01 Insider Trading $12.2k settled
SEC v. Talman Harris and Victor Alfaya (boiler rooms, 2019) SEC 2019-06-28 Boiler Rooms , Pump And Dump $500k judgment
SEC v. Amrit J. S. Chahal (2019) SEC 2019-06-27 — judgment
SEC v. Henry Sargent, Joseph Tomasek, Patrick Giordano, Frederick Mintz and Alan Fraade (undisclosed control blocks, 2019) SEC 2019-06-27 Undisclosed Control Blocks — filed
SEC v. Matthew A. Krimm, et al. (2019) SEC 2019-06-27 $914k judgment
SEC v. Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni (insider trading, 2019) SEC 2019-06-27 Insider Trading $376k settled
SEC v. Avi Chiat (2019) SEC 2019-06-24 $185k judgment
SEC v. Landon M. Smith (ponzi schemes, 2019) SEC 2019-06-24 Ponzi Schemes — settled
SEC v. Andrew J. Kandalepas (marking the close, 2019) SEC 2019-06-21 Marking The Close — judgment
SEC v. Edward Lee Moody, Jr. (ponzi schemes, 2019) SEC 2019-06-21 Ponzi Schemes — judgment
SEC v. Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong (matched orders, 2019) SEC 2019-06-21 Matched Orders $775k judgment
SEC v. Raymond Starker (insider trading, 2019) SEC 2019-06-18 Insider Trading $46.3k settled
SEC v. Wedbush Securities, Inc. (2019) SEC 2019-06-18 $2.4m settled
SEC v. Industrial and Commercial Bank of China Financial Services LLC (2019) SEC 2019-06-14 $14.4m settled
SEC v. Roland M. Mathys (insider trading, 2019) SEC 2019-06-13 Insider Trading — unknown
SEC v. Christopher Salis, et al. (insider trading, 2019) SEC 2019-06-12 Insider Trading — judgment
SEC v. Steven Fishoff, et al. (insider trading, 2019) SEC 2019-06-11 Insider Trading $750k judgment
SEC v. Longfin Corp. and Venkata S. Meenavalli, Longfin et. al (unregistered distributions, 2019) SEC 2019-06-05 Unregistered Distributions $6.7m judgment
SEC v. James E. Hocker (ponzi schemes, 2019) SEC 2019-06-04 Ponzi Schemes — judgment
SEC v. Syed Arham Arbab, Artis Proficio Capital Investments, LLC, and Artis Proficio Capital Management, LLC (ponzi schemes, 2019) SEC 2019-06-03 Ponzi Schemes — settled
SEC v. Craig H. Carton, et al. (ponzi schemes, 2019) SEC 2019-05-31 Ponzi Schemes — judgment
SEC v. David A. Altom and Gabriel V. Graven (insider trading, 2019) SEC 2019-05-29 Insider Trading $221k settled
SEC v. Robert C. Morgan (ponzi schemes, 2019) SEC 2019-05-23 Ponzi Schemes — settled
SEC v. Howard M. Appel (float locking, 2019) SEC 2019-05-22 Float Locking — judgment
SEC v. Robert S. Davis, Jr., et al. (ponzi schemes, 2019) SEC 2019-05-22 Ponzi Schemes — settled
SEC v. Jonathan H. Seigel, et al. (ponzi schemes, 2019) SEC 2019-05-21 Ponzi Schemes , Unregistered Distributions — settled
SEC v. Mark "Christian" Ramsey (insider trading, 2019) SEC 2019-05-21 Insider Trading — settled
SEC v. David N. Osegueda, Ishmail Calvin Ross, aka Calvin Ross, Zachary R. Logan, and Jessica Snyder, fka Jessica Gutierrez (pump and dump, 2019) SEC 2019-05-20 Pump And Dump $1.5m settled
SEC v. Andrew I. Farmer, Scott R. Sieck, Eddie D. Austin, Jr., Carolyn P. Austin, and John D. Brotherton (pump and dump, 2019) SEC 2019-05-17 Pump And Dump — settled
SEC v. Wilson-Davis & Co., Inc. (2019) SEC 2019-05-15 $300k settled
SEC v. Brian Fettner, et al. (insider trading, 2019) SEC 2019-05-14 Insider Trading $253k settled
SEC v. Robert M. Morano (insider trading, 2019) SEC 2019-05-13 Insider Trading $75k judgment
SEC v. Lloyd Schuman and Dane Janes (insider trading, 2019) SEC 2019-05-09 Insider Trading $140k settled
SEC v. Rocco Roveccio (churning, 2019) SEC 2019-05-06 Churning $160k judgment
SEC v. One or More Unknown Traders in the Securities of Anadarko Petroleum Corp. (insider trading, 2019) SEC 2019-04-29 Insider Trading — filed
SEC v. Christopher D. Dougherty, et al. (ponzi schemes, 2019) SEC 2019-04-26 Ponzi Schemes — settled
SEC v. Anthony C. Zufelt (ponzi schemes, 2019) SEC 2019-04-22 Ponzi Schemes , Unregistered Distributions — judgment
SEC v. David M. Loflin (pump and dump, 2019) SEC 2019-04-22 Pump And Dump — settled
SEC v. Yuh-Yue Chen (insider trading, 2019) SEC 2019-04-18 Insider Trading $740k settled
SEC v. Quentin Louis Wilcox (insider trading, 2019) SEC 2019-04-16 Insider Trading $55.2k settled
SEC v. Ivan Acevedo & Dane R. Roseman (ponzi schemes, 2019) SEC 2019-04-12 Ponzi Schemes — settled
SEC v. Jeffrey Gainer (ponzi schemes, 2019) SEC 2019-04-10 Ponzi Schemes — judgment
SEC v. Paul Bannon Powers (insider trading, 2019) SEC 2019-04-10 Insider Trading — settled
SEC v. Scott Newsholme (2019) SEC 2019-04-05 — judgment
SEC v. Tai-Cheng Yang (insider trading, 2019) SEC 2019-04-05 Insider Trading $27.8k settled
SEC v. Evan R. Kita, et al. (insider trading, 2019) SEC 2019-04-04 Insider Trading — judgment
SEC v. Tiber Creek Corp. and James M. Cassidy (shell factories, 2019) SEC 2019-03-26 Shell Factories $75k judgment
SEC v. Carol Ann Pedersen (ponzi schemes, 2019) SEC 2019-03-20 Ponzi Schemes — settled
SEC v. Frank Morelli III and Louis Buonocore (pump and dump, 2019) SEC 2019-03-20 Pump And Dump — settled
SEC v. Kent R.E. Whitney, David Lee Parrish, The Church for the Healthy Self a/k/a CHS Trust, and CHS Asset Management Inc. (ponzi schemes, 2019) SEC 2019-03-18 Ponzi Schemes — settled
SEC v. William Neil "Doc" Gallagher, Gallagher Financial Group, Inc., and W. Neil Gallagher, Ph.D. Agency, Inc. (ponzi schemes, 2019) SEC 2019-03-12 Ponzi Schemes — filed
SEC v. Rong Chen, et al. (insider trading, 2019) SEC 2019-03-04 Insider Trading $167k judgment
SEC v. William C. Gennity (churning, 2019) SEC 2019-03-04 Churning $160k judgment
SEC v. Demitrios Hallas (2019) SEC 2019-02-22 $260k judgment
SEC v. Walter C. Little and Andrew M. Berke (insider trading, 2019) SEC 2019-02-22 Insider Trading — judgment
SEC v. Joseph Frank Vacante (insider trading, 2019) SEC 2019-02-21 Insider Trading $70.8k settled
SEC v. Gene Daniel Levoff (insider trading, 2019) SEC 2019-02-13 Insider Trading $1.1m judgment