Home / Cases / SEC / Page 12 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 $7.3m
Median penalty $69.6k
Largest $2m
Criminal parallel 33% Action Agency Filed Technique Penalty Status 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 — 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. 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. David Michael Naylor, CPA (undisclosed control blocks, 2018) SEC 2018-08-29 Undisclosed Control Blocks — judgment 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 — 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 — 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. (undisclosed control blocks, 2018) SEC 2018-08-16 Undisclosed Control Blocks — settled SEC v. Honglan Wang (insider trading, 2018) SEC 2018-08-16 Insider Trading — settled SEC v. Lauren Zarsky, CPA (insider trading, 2018) SEC 2018-08-15 Insider Trading — judgment 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. Daniel M. Fitzpatrick, CPA (undisclosed control blocks, 2018) SEC 2018-08-08 Undisclosed Control Blocks — judgment SEC v. Kevin M. Modany, CPA (undisclosed control blocks, 2018) SEC 2018-08-08 Undisclosed Control Blocks — judgment 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 — 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 SEC v. Kurt J. Bordian, CPA (insider trading, 2018) SEC 2018-08-03 Insider Trading — judgment SEC v. Lozuk (insider trading, 2018) SEC 2018-08-01 Insider Trading — judgment SEC v. Madan (insider trading, 2018) SEC 2018-08-01 Insider Trading $14k judgment SEC v. Fred Tinker (insider trading, 2018) SEC 2018-07-31 Insider Trading — 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 — unknown SEC v. Richard T. Cunniffe (insider trading, 2018) SEC 2018-07-25 Insider Trading — judgment 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 — settled SEC v. Mizuho Securities USA LLC (front running, 2018) SEC 2018-07-23 Front Running , Insider Trading +1 — 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 (naked short selling debate, 2018) SEC 2018-07-20 Naked Short Selling Debate — settled SEC v. Jay C. Lake, CPA (shell factories, 2018) SEC 2018-07-17 Shell Factories — settled SEC v. Mark E. Burns, Robert W. Murray (price manipulation, 2018) SEC 2018-07-17 Price Manipulation — settled SEC v. Gannon Giguiere et al. (paid stock promotion, 2018) SEC 2018-07-16 Paid Stock Promotion , Pump And Dump — filed SEC v. Pawel P. Dynkowski, et al. (pump and dump, 2018) SEC 2018-07-12 Pump And Dump — judgment SEC v. Ryan Gilbertson, et al. (reverse merger schemes, 2018) SEC 2018-07-12 Reverse Merger Schemes — unknown SEC v. Gene Shen (insider trading, 2018) SEC 2018-07-10 Insider Trading — settled SEC v. Matthew C. Woodard (undisclosed control blocks, 2018) SEC 2018-07-10 Unregistered Distributions — judgment SEC v. Roger S. Zullo (undisclosed control blocks, 2018) SEC 2018-07-06 Undisclosed Control Blocks — 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 — filed SEC v. Sudhakar Reddy Bonthu (insider trading, 2018) SEC 2018-07-02 Insider Trading — filed SEC v. Alexander Capital, L.P. (churning, 2018) SEC 2018-06-29 Churning — settled SEC v. Bayes Capital, LLC (naked short selling debate, 2018) SEC 2018-06-28 Naked Short Selling Debate — settled SEC v. James VanBlaricum, et al. (ponzi schemes, 2018) SEC 2018-06-26 Ponzi Schemes — settled SEC v. Richard Weed et al. (paid stock promotion, 2018) SEC 2018-06-26 Paid Stock Promotion , Reverse Merger Schemes $150k dismissed SEC v. James E. Hocker (ponzi schemes, 2018) SEC 2018-06-21 Ponzi Schemes — filed 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 — filed SEC v. Santillo, et al. (ponzi schemes, 2018) SEC 2018-06-20 Ponzi Schemes — unknown 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 et al. (ponzi schemes, 2018) SEC 2018-06-06 Ponzi Schemes — filed SEC v. Kon and Alexander (paid stock promotion, 2018) SEC 2018-05-29 Paid Stock Promotion $20k settled SEC v. Adam S. Tracy, Esq. (undisclosed control blocks, 2018) SEC 2018-05-23 Undisclosed Control Blocks — judgment SEC v. Todd David Alpert (insider trading, 2018) SEC 2018-05-18 Insider Trading — 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 — settled SEC v. Chardan Capital Markets, LLC (undisclosed control blocks, 2018) SEC 2018-05-16 Unregistered Distributions $1m settled SEC v. Jerard Basmagy (undisclosed control blocks, 2018) SEC 2018-05-16 Unregistered Distributions $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 — dismissed SEC v. Bovorn Rungruangnavarat (insider trading, 2018) SEC 2018-05-07 Insider Trading $2m settled SEC v. David A. Zimliki and Russel P. Schiefer (insider trading, 2018) SEC 2018-05-04 Insider Trading — settled SEC v. Eddy U. Marin and Shane R. Spierdowis (paid stock promotion, 2018) SEC 2018-05-02 Paid Stock Promotion , Pump And Dump — settled SEC v. Small Business Capital Corp. and others (ponzi schemes, 2018) SEC 2018-05-02 Ponzi Schemes $10k judgment SEC v. Christopher R. Esposito, et al. (paid stock promotion, 2018) SEC 2018-04-30 Paid Stock Promotion — judgment SEC v. Diane J. Harrison, et al. (fake press releases, 2018) SEC 2018-04-30 Fake Press Releases — settled SEC v. William T. Walters, et al. (insider trading, 2018) SEC 2018-04-30 Insider Trading — dismissed SEC v. AF Ocean Investment Management Company (reverse merger schemes, 2018) SEC 2018-04-25 Reverse Merger Schemes — settled
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