Home / Cases / SEC / Page 10 SEC manipulation enforcement actions This library records 1768 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 $44.1m
Median penalty $130k
Largest $37.5m
Criminal parallel 46% Action Agency Filed Technique Penalty Status SEC v. Benjamin L. Bunker, Esq. (pump and dump, 2020) SEC 2020-01-23 Pump And Dump , Reverse Merger Schemes +1 — unknown SEC v. Guy Scott Griffithe, Robert William Russell, Renewable Technologies Solution, Inc., Green Acres Pharms, LLC, and others (ponzi schemes, 2020) SEC 2020-01-21 Ponzi Schemes — filed SEC v. Drake et al., Messier et al., Brooks (boiler rooms, 2020) SEC 2020-01-16 Boiler Rooms — judgment SEC v. Lidingo Holdings, LLC, et al. (paid stock promotion, 2020) SEC 2020-01-14 Paid Stock Promotion — judgment SEC v. Robert O. Carr and Katherine M. Hanratty (insider trading, 2020) SEC 2020-01-13 Insider Trading $251k judgment SEC v. Bajic et al., Ciapala et al. (unregistered distributions, 2020) SEC 2020-01-10 Unregistered Distributions — filed SEC v. John James Sheehan, Jr. (unregistered distributions, 2020) SEC 2020-01-10 Unregistered Distributions — settled SEC v. Donald G. Blakstad (insider trading, 2020) SEC 2020-01-08 Insider Trading — filed SEC v. Edward Espinal and Cash Flow Partners, LLC (ponzi schemes, 2020) SEC 2020-01-07 Ponzi Schemes — filed SEC v. Luke Christopher Zouvas, Esq. (pump and dump, 2020) SEC 2020-01-07 Pump And Dump — judgment SEC v. Ulrik Debo (custodianship shell hijacking, 2020) SEC 2020-01-03 Custodianship Shell Hijacking , Pump And Dump +1 — filed SEC v. James V. Mazzo, et al. (insider trading, 2020) SEC 2020-01-02 Insider Trading $56k judgment SEC v. Pinto-Thomaz, et al. (insider trading, 2020) SEC 2020-01-02 Insider Trading — judgment SEC v. Amir Waldman, et al. (insider trading, 2019) SEC 2019-12-23 Insider Trading — judgment SEC v. S. Paul Kelley, et al. (reverse merger schemes, 2019) SEC 2019-12-20 Reverse Merger Schemes , Unregistered Distributions — unknown SEC v. Songjiang Wang (insider trading, 2019) SEC 2019-12-20 Insider Trading — filed SEC v. Janardhan Nellore et al. (insider trading, 2019) SEC 2019-12-18 Insider Trading — unknown SEC v. Robert A. Karmann (ponzi schemes, 2019) SEC 2019-12-18 Ponzi Schemes — settled SEC v. Sam A. Antar (ponzi schemes, 2019) SEC 2019-12-18 Ponzi Schemes — filed SEC v. John Special, Defendant, and Michael Murphy, Relief Defendant, John Kenneth Davidson (insider trading, 2019) SEC 2019-12-12 Insider Trading $1.5m judgment SEC v. Christopher Collins, et al. (insider trading, 2019) SEC 2019-12-10 Insider Trading — judgment SEC v. Jeffrey O. Friedland, Global Corporate Strategies LLC., and Intiva Pharma, LLC (paid stock promotion, 2019) SEC 2019-12-09 Paid Stock Promotion $2m judgment SEC v. Lester Burroughs (ponzi schemes, 2019) SEC 2019-12-05 Ponzi Schemes — filed SEC v. Brett Pittsenbargar, et al. (ponzi schemes, 2019) SEC 2019-11-25 Ponzi Schemes — filed SEC v. Kevin B. Merrill, et al. (ponzi schemes, 2019) SEC 2019-11-25 Ponzi Schemes — filed SEC v. Bandimere and others (ponzi schemes, 2019) SEC 2019-11-22 Ponzi Schemes , Unregistered Distributions $130k settled SEC v. Richard Lee, et al. (insider trading, 2019) SEC 2019-11-21 Insider Trading $130k judgment SEC v. Ruless Pierre a/k/a Rules Pierre (ponzi schemes, 2019) SEC 2019-11-21 Ponzi Schemes — unknown SEC v. Burkholz, et al. (ponzi schemes, 2019) SEC 2019-11-20 Ponzi Schemes — unknown SEC v. James S. Kimmel (insider trading, 2019) SEC 2019-11-19 Insider Trading — unknown SEC v. Sebastian Pinto-Thomaz (insider trading, 2019) SEC 2019-11-12 Insider Trading — judgment SEC v. David N. Osegueda, et al. (pump and dump, 2019) SEC 2019-11-06 Pump And Dump — judgment SEC v. Richard Eden, et al. and Dale Pearlman (undisclosed control blocks, 2019) SEC 2019-11-04 Undisclosed Control Blocks $125k settled SEC v. Bovorn Rungruangnavarat (insider trading, 2019) SEC 2019-10-31 Insider Trading — judgment SEC v. DFRF Enterprises LLC, et al. (ponzi schemes, 2019) SEC 2019-10-29 Ponzi Schemes $1m judgment SEC v. Benjamin Taylor, Darina Windsor and Joseph Abdul Noor El-Khouri (insider trading, 2019) SEC 2019-10-22 Insider Trading — filed SEC v. Bryan Cohen and George Nikas (insider trading, 2019) SEC 2019-10-22 Insider Trading — unknown SEC v. Joseph Bayliss and Ronald Roach (ponzi schemes, 2019) SEC 2019-10-22 Ponzi Schemes — settled SEC v. Michael J. Starkweather and Andiamo Corporation, William White (matched orders, 2019) SEC 2019-10-17 Matched Orders , Paid Stock Promotion — filed SEC v. Eric J. "EJ" Dalius et al. (ponzi schemes, 2019) SEC 2019-10-15 Ponzi Schemes , Undisclosed Control Blocks — unknown SEC v. Anton Senderov, et al. (boiler rooms, 2019) SEC 2019-10-10 Boiler Rooms — filed SEC v. Daniel Rivas, et al. (insider trading, 2019) SEC 2019-10-10 Insider Trading — judgment SEC v. Lek Securities Corp., et al. (layering, 2019) SEC 2019-10-10 Layering $1m judgment SEC v. Block.One (unregistered distributions, 2019) SEC 2019-09-30 Unregistered Distributions — settled SEC v. Gil Beserglik, et al. (boiler rooms, 2019) SEC 2019-09-30 Boiler Rooms — filed SEC v. James T. Booth (ponzi schemes, 2019) SEC 2019-09-30 Ponzi Schemes — filed SEC v. iQuantifi, Inc. and Thomas F. White (unregistered distributions, 2019) SEC 2019-09-27 Unregistered Distributions $25k settled SEC v. Sean Stewart, et al. (insider trading, 2019) SEC 2019-09-26 Insider Trading — appealed SEC v. Andres Fernandez and Edison Denizard (ponzi schemes, 2019) SEC 2019-09-25 Ponzi Schemes — unknown SEC v. Chip Hackley (matched orders, 2019) SEC 2019-09-25 Matched Orders , Undisclosed Control Blocks — unknown SEC v. George Matin (matched orders, 2019) SEC 2019-09-25 Matched Orders , Paid Stock Promotion +2 — settled SEC v. Harold Minsky (matched orders, 2019) SEC 2019-09-25 Matched Orders , Paid Stock Promotion +2 — settled SEC v. James Alex Irvin (insider trading, 2019) SEC 2019-09-25 Insider Trading — 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 $140k judgment SEC v. Benjamin Conde, Defendant, and others (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. (ponzi schemes, 2019) SEC 2019-09-18 Ponzi Schemes — filed SEC v. Marvell Technology Group, Ltd. (paid stock promotion, 2019) SEC 2019-09-16 Paid Stock Promotion — settled SEC v. Vandham Securities Corp. (boiler rooms, 2019) SEC 2019-09-16 Boiler Rooms , Naked Short Selling Debate +1 — settled SEC v. Bio Defense Corporation, et al. (boiler rooms, 2019) SEC 2019-09-13 Boiler Rooms , Unregistered Distributions $37.5m judgment SEC v. Abner Silva (insider trading, 2019) SEC 2019-09-06 Insider Trading — settled SEC v. Toon Goggles Inc., et al. (boiler rooms, 2019) SEC 2019-09-06 Boiler Rooms — judgment SEC v. Keith G. Daubenspeck and Geoffrey L. Homer (insider trading, 2019) SEC 2019-09-05 Insider Trading $111k judgment SEC v. Executive Financial Services, Inc. (ponzi schemes, 2019) SEC 2019-09-04 Ponzi Schemes , Unregistered Distributions — unknown SEC v. Morrie Tobin et al. (paid stock promotion, 2019) SEC 2019-08-30 Paid Stock Promotion , Reverse Merger Schemes — filed SEC v. EMS Capital LP (naked short selling debate, 2019) SEC 2019-08-27 Naked Short Selling Debate — settled 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 — settled SEC v. TherapeuticsMD, Inc. (insider trading, 2019) SEC 2019-08-20 Insider Trading — settled SEC v. Bill Tsai (insider trading, 2019) SEC 2019-08-16 Insider Trading — filed SEC v. Jehu Hand, et al. (pump and dump, 2019) SEC 2019-08-16 Pump And Dump — judgment SEC v. Samuel Brown, et al. (paid stock promotion, 2019) SEC 2019-08-16 Paid Stock Promotion — 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 — settled SEC v. Mark E. Burns (price manipulation, 2019) SEC 2019-08-12 Price Manipulation — judgment SEC v. Tanmaya Kabra et al. (ponzi schemes, 2019) SEC 2019-08-08 Ponzi Schemes — unknown SEC v. Gregg Evan Jaclin, Esq. (shell factories, 2019) SEC 2019-08-06 Shell Factories — judgment 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 — settled SEC v. Beaufort Secs. Ltd. and Kyriacou. (pump and dump, 2019) SEC 2019-07-29 Pump And Dump — judgment SEC v. Christopher Plaford (insider trading, 2019) SEC 2019-07-29 Insider Trading — judgment SEC v. Balaji Sundarraj and David O'brien (insider trading, 2019) SEC 2019-07-23 Insider Trading $35k settled SEC v. Carol J. Wayland, et al. (boiler rooms, 2019) SEC 2019-07-19 Boiler Rooms , Unregistered Distributions — judgment SEC v. Garrett M. O'Rourke and Michael J. Black (pump and dump, 2019) SEC 2019-07-19 Pump And Dump — unknown 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 — filed 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. Jehu Hand, Esq. (pump and dump, 2019) SEC 2019-07-11 Pump And Dump — unknown SEC v. GT Media, Inc. (unregistered distributions, 2019) SEC 2019-07-01 Unregistered Distributions — settled SEC v. Tory J. R. Schalkle (insider trading, 2019) SEC 2019-07-01 Insider Trading — settled SEC v. Amrit J. S. Chahal (ponzi schemes, 2019) SEC 2019-06-27 Ponzi Schemes — judgment SEC v. Henry Sargent et al. (undisclosed control blocks, 2019) SEC 2019-06-27 Undisclosed Control Blocks — filed SEC v. Matthew A. Krimm, et al. (ponzi schemes, 2019) SEC 2019-06-27 Ponzi Schemes — judgment SEC v. Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni (insider trading, 2019) SEC 2019-06-27 Insider Trading — settled SEC v. Avi Chiat (ponzi schemes, 2019) SEC 2019-06-24 Ponzi Schemes — judgment SEC v. Landon M. Smith (ponzi schemes, 2019) SEC 2019-06-24 Ponzi Schemes — filed SEC v. Andrew J. Kandelapas (marking the close, 2019) SEC 2019-06-21 Marking The Close — judgment
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