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
$171m
Median penalty
$186k
Largest
$100m
Criminal parallel
40%
Action Agency Filed Technique Penalty Status
SEC v. Matthew Brunstrum and Susan Brunstrum (insider trading, 2018) SEC 2018-07-24 Insider Trading — settled
SEC v. Yao Li (insider trading, 2018) SEC 2018-07-24 Insider Trading $196k settled
SEC v. Mizuho Securities USA LLC (2018) SEC 2018-07-23 $1.3m settled
SEC v. Sycamore Lane Partners LLC (naked short selling debate, 2018) SEC 2018-07-23 Naked Short Selling Debate $25k settled
SEC v. Deutsche Bank Trust Company Americas (2018) SEC 2018-07-20 $22.2m settled
SEC v. Mark E. Burns, Robert W. Murray (price manipulation, 2018) SEC 2018-07-17 EDGAR Filing Fraud , Price Manipulation +1 — settled
SEC v. Gannon Giguiere and others (matched orders, 2018) SEC 2018-07-16 Matched Orders , Pump And Dump $880k settled
SEC v. Joseph Mangiapane, Jr. (Dynkowski penny stock manipulation, 2018) SEC 2018-07-12 Pump And Dump $26k judgment
SEC v. Ryan Gilbertson, et al. (undisclosed control blocks, 2018) SEC 2018-07-12 Undisclosed Control Blocks — judgment
SEC v. Dubovoy, et al. (hack to trade, 2018) SEC 2018-07-10 Hack To Trade — settled
SEC v. Gene Shen (insider trading, 2018) SEC 2018-07-10 Insider Trading $43.3k settled
SEC v. Matthew C. Woodard (2018) SEC 2018-07-10 — judgment
SEC v. Molina (insider trading, 2018) SEC 2018-07-05 Insider Trading $39.2k judgment
SEC v. Edward Lee Moody Jr., et. al. (ponzi schemes, 2018) SEC 2018-07-03 Ponzi Schemes — settled
SEC v. Sudhakar Reddy Bonthu (insider trading, 2018) SEC 2018-07-02 Insider Trading — settled
SEC v. Alexander Capital, L.P. (churning, 2018) SEC 2018-06-29 Churning $194k settled
SEC v. Bayes Capital, LLC (naked short selling debate, 2018) SEC 2018-06-28 Naked Short Selling Debate $300k settled
SEC v. James VanBlaricum, et al. (ponzi schemes, 2018) SEC 2018-06-26 Ponzi Schemes — settled
SEC v. Richard Weed et al. (reverse merger schemes, 2018) SEC 2018-06-26 Reverse Merger Schemes $150k judgment
SEC v. James E. Hocker (ponzi schemes, 2018) SEC 2018-06-21 Ponzi Schemes — judgment
SEC v. Joseph A. Fiore, Berkshire Capital Management Company, Inc., and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.) (newsletter scalping, 2018) SEC 2018-06-20 Newsletter Scalping $1.5m settled
SEC v. Santillo, Parris, LaRocco, Piccarreto and Brenner (ponzi schemes, 2018) SEC 2018-06-19 Ponzi Schemes — settled
SEC v. Robert M. Morano (insider trading, 2018) SEC 2018-06-11 Insider Trading — judgment
SEC v. Jehu Hand, et al. (pump and dump, 2018) SEC 2018-06-06 Pump And Dump — unknown
SEC v. Ralph T. Iannelli and Essex Capital Corporation (ponzi schemes, 2018) SEC 2018-06-06 Ponzi Schemes $640k settled
SEC v. Kon and Alexander (paid stock promotion, 2018) SEC 2018-05-29 Paid Stock Promotion $20k settled
SEC v. Todd David Alpert (insider trading, 2018) SEC 2018-05-18 Insider Trading $43.9k judgment
SEC v. Manhattan Transfer Registrar Company and John C. Ahearn (reverse merger schemes, 2018) SEC 2018-05-17 Reverse Merger Schemes , Undisclosed Control Blocks $50k settled
SEC v. Chardan Capital Markets, LLC (2018) SEC 2018-05-16 $1m settled
SEC v. Jerard Basmagy (2018) SEC 2018-05-16 $15k settled
SEC v. Keith Houlihan (boiler rooms, 2018) SEC 2018-05-09 Boiler Rooms — judgment
SEC v. Visium Asset Management, LP (insider trading, 2018) SEC 2018-05-08 Insider Trading , Mismarking $4.8m settled
SEC v. Bovorn Rungruangnavarat (insider trading, 2018) SEC 2018-05-07 Insider Trading — settled
SEC v. David A. Zimliki and Russel P. Schiefer (insider trading, 2018) SEC 2018-05-04 Insider Trading $15.2k settled
SEC v. Eddy U. Marin and Shane R. Spierdowis (pump and dump, 2018) SEC 2018-05-02 Pump And Dump , Unregistered Distributions — settled
SEC v. Small Business Capital Corp. and Mark Feathers (ponzi schemes, 2018) SEC 2018-05-02 Ponzi Schemes $10k judgment
SEC v. Christopher R. Esposito, et al. (undisclosed control blocks, 2018) SEC 2018-04-30 Undisclosed Control Blocks , Unregistered Distributions $168k judgment
SEC v. Diane J. Harrison, Michael J. Daniels and Catherine A. Bradaick-Zolla (shell factories, 2018) SEC 2018-04-30 Shell Factories , Undisclosed Control Blocks — judgment
SEC v. William T. Walters, et al. (insider trading, 2018) SEC 2018-04-30 Insider Trading — settled
SEC v. AF Ocean Investment Management Company (reverse merger schemes, 2018) SEC 2018-04-25 Reverse Merger Schemes , Undisclosed Control Blocks — settled
SEC v. Andy Z. Fan (fake press releases, 2018) SEC 2018-04-25 Fake Press Releases , Matched Orders +1 $140k settled
SEC v. ChinAmerica Andy Movie Entertainment Media Company (reverse merger schemes, 2018) SEC 2018-04-25 Reverse Merger Schemes , Undisclosed Control Blocks — settled
SEC v. Scott Newsholme (2018) SEC 2018-04-23 — judgment
SEC v. Douglas Nelson (insider trading, 2018) SEC 2018-04-16 Insider Trading $15.1k settled
SEC v. Amrit J. S. Chahal (ponzi schemes, 2018) SEC 2018-04-12 Ponzi Schemes — judgment
SEC v. Wellness Center USA, Inc. (fake press releases, 2018) SEC 2018-04-12 Fake Press Releases — settled
SEC v. William C. Gennity and Rocco Roveccio (churning, 2018) SEC 2018-04-11 Churning $320k settled
SEC v. The Lifepay Group, Clifton E. Stanley and Michael E. Watts (ponzi schemes, 2018) SEC 2018-04-06 Ponzi Schemes — settled
SEC v. Peter H. Pocklington, The Eye Machine LLC and others (boiler rooms, 2018) SEC 2018-04-05 Boiler Rooms , Unregistered Distributions $2.4m settled
SEC v. Joseph Meli and Craig H. Carton (ponzi schemes, 2018) SEC 2018-04-05 Ponzi Schemes — settled
SEC v. Saverio J. Barbera (insider trading, 2018) SEC 2018-04-05 Insider Trading $290k settled
SEC v. Christopher James Lollar (insider trading, 2018) SEC 2018-04-04 Insider Trading $214k judgment
SEC v. Michael Scronic (ponzi schemes, 2018) SEC 2018-04-04 Ponzi Schemes — settled
SEC v. Shane P. Fleming, et al. (insider trading, 2018) SEC 2018-04-04 Insider Trading — settled
SEC v. Sohrab ("Sam") Sharma and Robert Farkas (unregistered distributions, 2018) SEC 2018-04-02 Unregistered Distributions , Price Manipulation — judgment
SEC v. Aegis Capital Corporation (2018) SEC 2018-03-28 $750k settled
SEC v. Nauman A. Aly (sham tender offers, 2018) SEC 2018-03-28 EDGAR Filing Fraud , Sham Tender Offers — judgment
SEC v. Terracciano and Eugene (2018) SEC 2018-03-28 $20k settled
SEC v. Timary Delorme (pump and dump, 2018) SEC 2018-03-27 Pump And Dump , Matched Orders $50k settled
SEC v. Joseph Spera, et al. (insider trading, 2018) SEC 2018-03-26 Insider Trading — settled
SEC v. Jon E. Montroll and Bitfunder (unregistered distributions, 2018) SEC 2018-03-23 Unregistered Distributions — settled
SEC v. Jun Ying (insider trading, 2018) SEC 2018-03-22 Insider Trading — judgment
SEC v. Robert W. Murray (sham tender offers, 2018) SEC 2018-03-22 EDGAR Filing Fraud , Sham Tender Offers — settled
SEC v. Steven Metro (insider trading, 2018) SEC 2018-03-19 Insider Trading $25k judgment
SEC v. Beaufort Securities Ltd. and others (matched orders, 2018) SEC 2018-03-16 Matched Orders , Pump And Dump — settled
SEC v. Spark Trading Group LLC and Niket Shah (ponzi schemes, 2018) SEC 2018-03-12 Ponzi Schemes $371k judgment
SEC v. Merrill Lynch and Pierce and Fenner & Smith Incorporated (unregistered distributions, 2018) SEC 2018-03-08 Unregistered Distributions $1.3m settled
SEC v. New York Stock Exchange LLC, NYSE American LLC and NYSE Arca, Inc. (2018) SEC 2018-03-06 $14m settled
SEC v. Stefan Lumiere (mismarking, 2018) SEC 2018-03-05 Mismarking — judgment
SEC v. AmeraTex Energy, Inc., et al (unregistered distributions, 2018) SEC 2018-02-28 Unregistered Distributions — settled
SEC v. Analytica Bio-Energy Corp., Douglas Murdock, Luiz Brasil and Marvin Winick (undisclosed control blocks, 2018) SEC 2018-02-28 Undisclosed Control Blocks — settled
SEC v. Yang Xie (insider trading, 2018) SEC 2018-02-28 Insider Trading $6.7k settled
SEC v. Eric McPhail, et al. (insider trading, 2018) SEC 2018-02-20 Insider Trading $192k judgment
SEC v. Ara Chackerian (insider trading, 2018) SEC 2018-02-12 Insider Trading $157k settled
SEC v. Geoffrey H. Lunn (2018) SEC 2018-02-12 $5.5m judgment
SEC v. Daniel T. Fischer (churning, 2018) SEC 2018-01-30 Churning — settled
SEC v. One or More Unknown Traders in the Securities of Bioverativ, Inc. (insider trading, 2018) SEC 2018-01-26 Insider Trading $9.9m judgment
SEC v. Ash Narayan, The Ticket Reserve Inc. a/k/a Forward Market Media, Inc., Richard M. Harmon, and John A. Kaptrosky (ponzi schemes, 2018) SEC 2018-01-22 Ponzi Schemes $325k judgment
SEC v. David S. Haddad, et al. (ponzi schemes, 2018) SEC 2018-01-11 Ponzi Schemes $181k judgment
SEC v. Stephen C. Peters, VisionQuest Wealth Management, LLC, VisionQuest Capital, LLC, and VQ Wealth, LLC (ponzi schemes, 2017) SEC 2017-12-21 Ponzi Schemes — judgment
SEC v. Robert H. Shapiro and Woodbridge Group of Companies (ponzi schemes, 2017) SEC 2017-12-20 Ponzi Schemes $100m settled
SEC v. Ronald A. Fossum, Jr. and Alonzo R. Cahoon (unregistered distributions, 2017) SEC 2017-12-20 Unregistered Distributions $320k settled
SEC v. Jason A. Wallace (boiler rooms, 2017) SEC 2017-12-18 Boiler Rooms $435k judgment
SEC v. Kenneth Peer (insider trading, 2017) SEC 2017-12-14 Insider Trading $10.2k settled
SEC v. Lanny Brown, et al. (insider trading, 2017) SEC 2017-12-14 Insider Trading — settled
SEC v. Stephen J. Leonard (insider trading, 2017) SEC 2017-12-07 Insider Trading $107k judgment
SEC v. Palladino and James M. (2017) SEC 2017-11-29 — settled
SEC v. Capital Financial Partners, Allen and Daub: final judgments (ponzi schemes, 2017) SEC 2017-11-17 Ponzi Schemes — judgment
SEC v. Susan L. Ellerin and Edward D. Blumstein (insider trading, 2017) SEC 2017-11-14 Insider Trading — settled
SEC v. Robert W. Murray (sham tender offers, 2017) SEC 2017-11-09 EDGAR Filing Fraud , Sham Tender Offers — settled
SEC v. The End of the Rainbow Partners and the Estate of Michael F. Anderson (ponzi schemes, 2017) SEC 2017-11-08 Ponzi Schemes — judgment
SEC v. James P. Kolf (2017) SEC 2017-11-03 — settled
SEC v. Joseph Meli, et al. and Craig H. Carton, et al. (ponzi schemes, 2017) SEC 2017-10-31 Ponzi Schemes — settled
SEC v. Millennium Management LLC (rule 105 offering shorts, 2017) SEC 2017-10-31 Rule 105 Offering Shorts $300k settled
SEC v. Andalusian Resorts and Spas, Inc., John Madsen and Bernard Fried (fake press releases, 2017) SEC 2017-10-30 Fake Press Releases , Pump And Dump +1 $80k judgment
SEC v. Joseph P. Willner (hijacked account ramping, 2017) SEC 2017-10-30 Hijacked Account Ramping — judgment
SEC v. Artemus Mayor (pump and dump, 2017) SEC 2017-10-26 Pump And Dump $160k settled
SEC v. Henry Lin-Han Jan (pump and dump, 2017) SEC 2017-10-26 Pump And Dump $160k settled
SEC v. Canterbury Consulting, Inc. (2017) SEC 2017-10-26 $100k settled
SEC v. J. Patrick O'Neill and Robert H. Bray (insider trading, 2017) SEC 2017-10-25 Insider Trading — judgment