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
$74.2m
Median penalty
$143k
Largest
$20.6m
Criminal parallel
38%
Action Agency Filed Technique Penalty Status
SEC v. Jason McDiarmid, et al. (pump and dump, 2019) SEC 2019-02-12 Pump And Dump $3.3m judgment
SEC v. NL Technology, LLC et al. (ponzi schemes, 2019) SEC 2019-02-11 Ponzi Schemes $960k judgment
SEC v. Daniel J. Callahan (insider trading, 2019) SEC 2019-02-08 Insider Trading $19.4k settled
SEC v. Spark Trading Group, LLC and Niket Shah (ponzi schemes, 2019) SEC 2019-02-08 Ponzi Schemes $371k judgment
SEC v. Andrew Stitt (boiler rooms, 2019) SEC 2019-02-06 Boiler Rooms , Unregistered Distributions — judgment
SEC v. Edward Withrow, et al. (2019) SEC 2019-02-05 — settled
SEC v. Joseph Vitale (boiler rooms, 2019) SEC 2019-02-04 Boiler Rooms — judgment
SEC v. Anthony J. Thompson, Jr., et al. (paid stock promotion, 2019) SEC 2019-02-01 Paid Stock Promotion , Pump And Dump — settled
SEC v. Oleksandr Ieremenko et al. (hack to trade, 2019) SEC 2019-01-15 Hack To Trade $16.3m judgment
SEC v. ADT Inc. (2018) SEC 2018-12-26 $100k settled
SEC v. BioElectronics Corp. IBEX, LLC St. John's, LLC Whelan and others (unregistered distributions, 2018) SEC 2018-12-21 Unregistered Distributions — judgment
SEC v. Joe Lawler (ponzi schemes, 2018) SEC 2018-12-21 Ponzi Schemes $150k judgment
SEC v. James E. Cohen and Joseph A. Corazzi (Natural Blue Resources) (undisclosed control blocks, 2018) SEC 2018-12-21 Undisclosed Control Blocks — judgment
SEC v. Tod A. Ditommaso, Esq. (unregistered distributions, 2018) SEC 2018-12-21 Unregistered Distributions $1.5k settled
SEC v. Wealthfront Advisers, LLC (tax-loss harvesting disclosures, 2018) SEC 2018-12-21 $250k settled
SEC v. Bryan Lee Addington (2018) SEC 2018-12-20 — judgment
SEC v. Andrew F. Nicoletta (rule 105 offering shorts, 2018) SEC 2018-12-19 Rule 105 Offering Shorts $371k settled
SEC v. Robert S. "Lute" Davis, Jr., et al., Jordan E. Goodman., Alan H. New, et al. (ponzi schemes, 2018) SEC 2018-12-19 Ponzi Schemes $100k settled
SEC v. Peter Cho (insider trading, 2018) SEC 2018-12-17 Insider Trading $251k settled
SEC v. The Bank of New York Mellon (2018) SEC 2018-12-17 $20.6m settled
SEC v. Lai Guanglin (Alan) (marking the close, 2018) SEC 2018-12-10 Marking The Close , Price Manipulation $400k settled
SEC v. Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni (insider trading, 2018) SEC 2018-12-10 Insider Trading $376k settled
SEC v. CoinAlpha Advisors LLC (unregistered distributions, 2018) SEC 2018-12-07 Unregistered Distributions $50k settled
SEC v. David G. Dreslin, Michael Toups and Leslie Toups (2018) SEC 2018-12-03 Reverse Merger Schemes , Undisclosed Control Blocks $345k settled
SEC v. Fifth Street Management, LLC (2018) SEC 2018-12-03 $1.7m settled
SEC v. Eric T. Landis et al. (matched orders, 2018) SEC 2018-11-29 Matched Orders — settled
SEC v. Floyd Mayweather Jr. (paid stock promotion, 2018) SEC 2018-11-29 Paid Stock Promotion $300k settled
SEC v. Khaled Khaled (paid stock promotion, 2018) SEC 2018-11-29 Paid Stock Promotion $100k settled
SEC v. Morrie Tobin et al. (paid stock promotion, 2018) SEC 2018-11-28 Paid Stock Promotion , Undisclosed Control Blocks $461k settled
SEC v. Mark Burnett, Jeffrey Miller, Christian Romandetti, Frank Sarro, Anthony Vassallo, and Elite Stock Research, Inc. (boiler rooms, 2018) SEC 2018-11-15 Boiler Rooms — judgment
SEC v. James V. Mazzo, et al. (insider trading, 2018) SEC 2018-11-14 Insider Trading $1.5m settled
SEC v. Arthur Lamar Adams et al. (ponzi schemes, 2018) SEC 2018-11-09 Ponzi Schemes — settled
SEC v. Joseph Meli, et al. (ponzi schemes, 2018) SEC 2018-11-09 Ponzi Schemes — settled
SEC v. Kevin B. Merrill, et al. (ponzi schemes, 2018) SEC 2018-11-09 Ponzi Schemes — filed
SEC v. Pyxus International, Inc. (accounting fraud, 2018) SEC 2018-11-09 — settled
SEC v. Craig H. Carton, et al. (ponzi schemes, 2018) SEC 2018-11-08 Ponzi Schemes — settled
SEC v. James E. Hengen (insider trading, 2018) SEC 2018-11-08 Insider Trading $72.1k judgment
SEC v. Michael E. Cone, et al (boiler rooms, 2018) SEC 2018-11-08 Boiler Rooms — settled
SEC v. SeeThruEquity, LLC et al. (newsletter scalping, 2018) SEC 2018-11-08 Analyst Manipulation , Newsletter Scalping +1 $520k judgment
SEC v. Slobodan Dragojlovic (insider trading, 2018) SEC 2018-11-08 Insider Trading $20.1k judgment
SEC v. Citibank, N.A. (2018) SEC 2018-11-07 $13.6m settled
SEC v. Brian Weber and Bebida Beverage Co. (fake press releases, 2018) SEC 2018-10-31 Fake Press Releases $160k judgment
SEC v. Philip Thomas Kueber (undisclosed control blocks, 2018) SEC 2018-10-26 Undisclosed Control Blocks — judgment
SEC v. John Madsen, Andalusian Resorts and Spas, Inc. and Bernard Fried (fake press releases, 2018) SEC 2018-10-23 Fake Press Releases , Pump And Dump +1 $80k judgment
SEC v. Mark E. Fisher and Joseph F. Capuozzo (pump and dump, 2018) SEC 2018-10-22 Pump And Dump — settled
SEC v. Zachary S. Berkey (churning, 2018) SEC 2018-10-19 Churning — settled
SEC v. Richard J. Greenlaw et al. (unregistered distributions, 2018) SEC 2018-10-18 Unregistered Distributions $50k judgment
SEC v. Bryan B. Long (insider trading, 2018) SEC 2018-10-16 Insider Trading $35.8k settled
SEC v. Harold L. Altvater (insider trading, 2018) SEC 2018-10-11 Insider Trading — settled
SEC v. Merrill, et al. (ponzi schemes, 2018) SEC 2018-10-11 Ponzi Schemes — filed
SEC v. Dennis Wayne Hamilton (insider trading, 2018) SEC 2018-10-10 Insider Trading $584k judgment
SEC v. Robert O. Carr and Katherine M. Hanratty (insider trading, 2018) SEC 2018-10-05 Insider Trading $251k judgment
SEC v. Todd Elliott Hitt, et al. (2018) SEC 2018-10-05 — settled
SEC v. Bryan R. Ziegenfuse (insider trading, 2018) SEC 2018-09-28 Insider Trading $64.1k settled
SEC v. COR Clearing, LLC (2018) SEC 2018-09-28 $800k settled
SEC v. Edward J. Kosinski (insider trading, 2018) SEC 2018-09-28 Insider Trading — settled
SEC v. Jehu Hand and Antonio Katz (pump and dump, 2018) SEC 2018-09-28 Pump And Dump , Unregistered Distributions — judgment
SEC v. NL Technology, LLC et al. (ponzi schemes, 2018) SEC 2018-09-28 Ponzi Schemes $480k judgment
SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2018) SEC 2018-09-28 Unregistered Distributions $136k settled
SEC v. Thomas Carter Ronk (boiler rooms, 2018) SEC 2018-09-28 Boiler Rooms , Paid Stock Promotion $75k settled
SEC v. Unal Patel and Amish Patel (insider trading, 2018) SEC 2018-09-28 Insider Trading $30.6k settled
SEC v. James Thomas Bramlette, et al. (2018) SEC 2018-09-27 $40k judgment
SEC v. Thomas Earl Hayden (insider trading, 2018) SEC 2018-09-27 Insider Trading $298k settled
SEC v. CSIR Group, LLC, et al. (paid stock promotion, 2018) SEC 2018-09-20 Paid Stock Promotion $20k judgment
SEC v. Michael L. LaPenna (2018) SEC 2018-09-19 $22.5k settled
SEC v. Ernest J. Romer, III (2018) SEC 2018-09-18 — filed
SEC v. Rong Chen, et al. (insider trading, 2018) SEC 2018-09-14 Insider Trading $167k settled
SEC v. Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund (short and distort, 2018) SEC 2018-09-13 Short And Distort $160k judgment
SEC v. Barry C. Honig, et al. (pump and dump, 2018) SEC 2018-09-07 Pump And Dump — settled
SEC v. In Ovations Holdings, Inc. and Mark Goldberg (fake press releases, 2018) SEC 2018-09-06 Fake Press Releases $150k judgment
SEC v. Jeffrey Goldman and Christopher Eikenberry (2018) SEC 2018-09-05 — settled
SEC v. Amer Deeba (insider trading, 2018) SEC 2018-08-30 Insider Trading $581k settled
SEC v. Kendricks, et al. (insider trading, 2018) SEC 2018-08-30 Insider Trading $15k settled
SEC v. Delaney Equity Group LLC, David C. Delaney and Ian C. Kass (reverse merger schemes, 2018) SEC 2018-08-29 Reverse Merger Schemes , Shell Factories +1 — settled
SEC v. Fishoff, et al. (insider trading, 2018) SEC 2018-08-23 Insider Trading — filed
SEC v. Gary S. Williky (insider trading, price manipulation, 2018) SEC 2018-08-23 Insider Trading , Price Manipulation $1.7m judgment
SEC v. Barry M. Kornfeld, et al., Lynette M. Robbins and Knowles Systems, Inc. (ponzi schemes, 2018) SEC 2018-08-22 Ponzi Schemes $100k settled
SEC v. James T. Lentz (insider trading, 2018) SEC 2018-08-22 Insider Trading $9.1k settled
SEC v. A. Catlin Cade, IV (insider trading, 2018) SEC 2018-08-21 Insider Trading $8.7k settled
SEC v. Ismail Lila (insider trading, 2018) SEC 2018-08-21 Insider Trading $28.6k settled
SEC v. Lubin and David (unregistered distributions, 2018) SEC 2018-08-21 Unregistered Distributions — judgment
SEC v. Citigroup Global Markets Inc. and Citigroup Inc. (mismarking, 2018) SEC 2018-08-16 Mismarking $5.8m settled
SEC v. Honglan Wang (insider trading, 2018) SEC 2018-08-16 Insider Trading $67k settled
SEC v. Tomahawk Exploration LLC and David Thompson Laurance (2018) SEC 2018-08-14 $30k settled
SEC v. Alexander Charles White and Paul Douglas Vandivier (unregistered distributions, 2018) SEC 2018-08-13 Unregistered Distributions — filed
SEC v. Chad Anthony Lewis (unregistered distributions, 2018) SEC 2018-08-13 Unregistered Distributions — settled
SEC v. Christopher Collins, et al., Lauren Zarksy, Dorothy Zarsky (insider trading, 2018) SEC 2018-08-10 Insider Trading $42k settled
SEC v. John C. Maccoll (ponzi schemes, 2018) SEC 2018-08-09 Ponzi Schemes — settled
SEC v. Arthur Lamar Adams and Madison Timber Properties, LLC (ponzi schemes, 2018) SEC 2018-08-08 Ponzi Schemes — filed
SEC v. Salvadore D. Palermo (sham inventory sales, 2018) SEC 2018-08-08 — judgment
SEC v. Aaron R. Smith (insider trading, 2018) SEC 2018-08-07 Insider Trading $40.6k settled
SEC v. Murakami, et al. (2018) SEC 2018-08-06 — judgment
SEC v. Fei Yan, et al. (insider trading, 2018) SEC 2018-08-03 Insider Trading — judgment
SEC v. Lozuk (insider trading, 2018) SEC 2018-08-01 Insider Trading $26.6k settled
SEC v. Madan (insider trading, 2018) SEC 2018-08-01 Insider Trading $14k settled
SEC v. Fred Tinker (insider trading, 2018) SEC 2018-07-31 Insider Trading $89.2k settled
SEC v. Howard M. Appel (matched orders, 2018) SEC 2018-07-30 Matched Orders — settled
SEC v. Robert Gadimian (insider trading, 2018) SEC 2018-07-26 Insider Trading — judgment
SEC v. Rudden, et al. (ponzi schemes, 2018) SEC 2018-07-26 Ponzi Schemes — settled
SEC v. Richard T. Cunniffe (insider trading, 2018) SEC 2018-07-25 Insider Trading — settled