Home / Cases / SEC / Page 11 SEC manipulation enforcement actions This library records 1856 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 $49.8m
Median penalty $125k
Largest $20.6m
Criminal parallel 36% Action Agency Filed Technique Penalty Status SEC v. Demitrios Hallas (churning, 2019) SEC 2019-02-22 Churning — settled SEC v. Joseph Frank Vacante (insider trading, 2019) SEC 2019-02-21 Insider Trading — judgment SEC v. Gene Daniel Levoff (insider trading, 2019) SEC 2019-02-13 Insider Trading — unknown SEC v. Jason McDiarmid, et al. (pump and dump, 2019) SEC 2019-02-12 Pump And Dump — judgment SEC v. NL Technology, LLC et al. (ponzi schemes, 2019) SEC 2019-02-11 Ponzi Schemes — 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 — judgment SEC v. Andrew Stitt (boiler rooms, 2019) SEC 2019-02-06 Boiler Rooms , Unregistered Distributions — judgment SEC v. Edward Withrow, et al. (paid stock promotion, 2019) SEC 2019-02-05 Paid Stock Promotion — filed 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 — filed SEC v. ADT Inc. (insider trading, 2018) SEC 2018-12-26 Insider Trading $100k settled SEC v. Cherubim Interests, Inc., PDX Partners, Inc., Victura Construction Group, Inc., and Patrick Jevon Johnson (pump and dump, 2018) SEC 2018-12-26 Pump And Dump — unknown SEC v. BioElectronics Corp. IBEX, LLC St. John's, LLC Whelan and others (unregistered distributions, 2018) SEC 2018-12-21 Unregistered Distributions $650k judgment SEC v. Natural Blue Resources, Inc. Cohen and others (reverse merger schemes, 2018) SEC 2018-12-21 Reverse Merger Schemes $75k judgment SEC v. Tod A. Ditommaso, Esq. (unregistered distributions, 2018) SEC 2018-12-21 Unregistered Distributions — settled SEC v. Wealthfront Advisers, LLC and and Wealthfront, Inc. (wash trading, 2018) SEC 2018-12-21 Wash Trading $250k settled SEC v. Joe Lawler (ponzi schemes, 2018) SEC 2018-12-21 Ponzi Schemes $150k judgment SEC v. Bryan Lee Addington (ponzi schemes, 2018) SEC 2018-12-20 Ponzi Schemes — judgment 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. Andrew F. Nicoletta (rule 105 offering shorts, 2018) SEC 2018-12-19 Rule 105 Offering Shorts $371k settled SEC v. Peter Cho (insider trading, 2018) SEC 2018-12-17 Insider Trading — judgment SEC v. The Bank of New York Mellon (naked short selling debate, 2018) SEC 2018-12-17 Naked Short Selling Debate $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 — unknown SEC v. CoinAlpha Advisors LLC (unregistered distributions, 2018) SEC 2018-12-07 Unregistered Distributions $50k settled SEC v. NVC Fund LLC and Frank Ekejija (pump and dump, 2018) SEC 2018-12-07 Pump And Dump — unknown SEC v. David G. Dreslin, et al. (reverse merger schemes, 2018) SEC 2018-12-03 Reverse Merger Schemes $25k settled SEC v. Fifth Street Management, LLC (insider trading, 2018) SEC 2018-12-03 Insider Trading $1.7m settled SEC v. Eric T. Landis et al. (matched orders, 2018) SEC 2018-11-29 Matched Orders , Paid Stock Promotion — filed 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 — filed 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 — filed SEC v. James V. Mazzo, et al. (insider trading, 2018) SEC 2018-11-14 Insider Trading $1.5m judgment 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. (wash trading, 2018) SEC 2018-11-09 Wash Trading — settled SEC v. Craig H. Carton, et al. (ponzi schemes, 2018) SEC 2018-11-08 Ponzi Schemes — filed SEC v. James E. Hengen (insider trading, 2018) SEC 2018-11-08 Insider Trading — judgment SEC v. Michael E. Cone, et al (boiler rooms, 2018) SEC 2018-11-08 Boiler Rooms — filed SEC v. SeeThruEquity, LLC et al. (newsletter scalping, 2018) SEC 2018-11-08 Newsletter Scalping , Paid Stock Promotion — filed SEC v. Slobodan Dragojlovic (insider trading, 2018) SEC 2018-11-08 Insider Trading — judgment SEC v. Citibank, N.A. (naked short selling debate, 2018) SEC 2018-11-07 Naked Short Selling Debate $13.6m settled SEC v. Brian Weber and Bebida Beverage Co. (fake press releases, 2018) SEC 2018-10-31 Fake Press Releases — 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 others (fake press releases, 2018) SEC 2018-10-23 Fake Press Releases , Pump And Dump +1 — judgment SEC v. Mark E. Fisher and Joseph F. Capuozzo (paid stock promotion, 2018) SEC 2018-10-22 Paid Stock Promotion , Pump And Dump — settled SEC v. Zachary S. Berkey (churning, 2018) SEC 2018-10-19 Churning — judgment SEC v. Richard J. Greenlaw et al. (unregistered distributions, 2018) SEC 2018-10-18 Unregistered Distributions — judgment SEC v. Bryan B. Long (insider trading, 2018) SEC 2018-10-16 Insider Trading — filed SEC v. Harold L. Altvater (insider trading, 2018) SEC 2018-10-11 Insider Trading — filed 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 — judgment SEC v. Jeffre James and others (pump and dump, 2018) SEC 2018-10-09 Pump And Dump — unknown SEC v. Robert O. Carr and Katherine M. Hanratty (insider trading, 2018) SEC 2018-10-05 Insider Trading — judgment SEC v. Todd Elliott Hitt, Kiddar Capital LLC, Kiddar Group Holdings, Inc., as Defendants, and Kiddar AQ LLC a/k/a Kiddar Aquicore LLC, as Relief Defendants (ponzi schemes, 2018) SEC 2018-10-05 Ponzi Schemes — settled SEC v. Bryan R. Ziegenfuse (insider trading, 2018) SEC 2018-09-28 Insider Trading — judgment SEC v. COR Clearing, LLC (unregistered distributions, 2018) SEC 2018-09-28 Unregistered Distributions $800k settled SEC v. Edward J. Kosinski (insider trading, 2018) SEC 2018-09-28 Insider Trading — filed SEC v. Jehu Hand and Antonio Katz (paid stock promotion, 2018) SEC 2018-09-28 Paid Stock Promotion , Pump And Dump — 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 — filed SEC v. Thomas Carter Ronk (boiler rooms, 2018) SEC 2018-09-28 Boiler Rooms , Paid Stock Promotion — filed SEC v. Unal Patel and Amish Patel (insider trading, 2018) SEC 2018-09-28 Insider Trading $14.6k settled SEC v. unnamed respondents (ponzi schemes, 2018) SEC 2018-09-27 Ponzi Schemes — settled SEC v. Thomas Earl Hayden (insider trading, 2018) SEC 2018-09-27 Insider Trading $198k settled SEC v. CSIR Group, LLC, et al. (paid stock promotion, 2018) SEC 2018-09-20 Paid Stock Promotion — judgment SEC v. Michael L. LaPenna (naked short selling debate, 2018) SEC 2018-09-19 Naked Short Selling Debate $22.5k settled SEC v. Ernest J. Romer, III (ponzi schemes, 2018) SEC 2018-09-18 Ponzi Schemes — filed SEC v. John Paul Waymack (insider trading, 2018) SEC 2018-09-18 Insider Trading — unknown SEC v. Rong Chen, et al. (insider trading, 2018) SEC 2018-09-14 Insider Trading — filed SEC v. Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund (short and distort, 2018) SEC 2018-09-13 Short And Distort — filed SEC v. Barry C. Honig, et al. (pump and dump, 2018) SEC 2018-09-07 Pump And Dump — filed SEC v. In Ovations Holdings, Inc. and Mark Goldberg (paid stock promotion, 2018) SEC 2018-09-06 Paid Stock Promotion — unknown SEC v. Jeffrey Goldman and Christopher Eikenberry (ponzi schemes, 2018) SEC 2018-09-05 Ponzi Schemes — settled SEC v. Amer Deeba (insider trading, 2018) SEC 2018-08-30 Insider Trading $581k judgment SEC v. Kendricks, et al. (insider trading, 2018) SEC 2018-08-30 Insider Trading — filed SEC v. Delaney Equity Group LLC Delaney and others (reverse merger schemes, 2018) SEC 2018-08-29 Reverse Merger Schemes , Shell Factories +1 $20k settled SEC v. Fishoff, et al. (insider trading, 2018) SEC 2018-08-23 Insider Trading — filed SEC v. Gary S. Williky (insider trading, 2018) SEC 2018-08-23 Insider Trading $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 — 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. Honglan Wang (insider trading, 2018) SEC 2018-08-16 Insider Trading $67k settled SEC v. Citigroup Global Markets Inc. and Citigroup Inc. (mismarking, 2018) SEC 2018-08-16 Mismarking $5.8m settled SEC v. Tomahawk Exploration LLC and David Thompson Laurance (reverse merger schemes, 2018) SEC 2018-08-14 Reverse Merger Schemes $30k settled SEC v. Alexander Charles White and Paul Douglas Vandivier (unregistered distributions, 2018) SEC 2018-08-13 Unregistered Distributions — unknown 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 — judgment SEC v. John C. Maccoll (ponzi schemes, 2018) SEC 2018-08-09 Ponzi Schemes — filed 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 (wash trading, 2018) SEC 2018-08-08 Wash Trading — filed SEC v. Aaron R. Smith (insider trading, 2018) SEC 2018-08-07 Insider Trading $40.6k settled SEC v. Murakami, et al. (ponzi schemes, 2018) SEC 2018-08-06 Ponzi Schemes — judgment SEC v. Fei Yan, et al. (insider trading, 2018) SEC 2018-08-03 Insider Trading — judgment
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