Home / Cases / SEC / Page 12 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 $32.9m
Median penalty $107k
Largest $22.2m
Criminal parallel 38% Action Agency Filed Technique Penalty Status 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 $196k 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 $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 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. Dubovoy, et al. (hack to trade, 2018) SEC 2018-07-10 Hack To Trade — settled 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 $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 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. 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 $50k 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 , Mismarking $4.8m settled 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 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 — settled SEC v. Scott Newsholme (ponzi schemes, 2018) SEC 2018-04-23 Ponzi Schemes — judgment SEC v. Amrit J. S. Chahal (ponzi schemes, 2018) SEC 2018-04-16 Ponzi Schemes — filed SEC v. Douglas Nelson (insider trading, 2018) SEC 2018-04-16 Insider Trading $15.1k settled 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 — judgment SEC v. The Lifepay Group, LLC, et. al. (ponzi schemes, 2018) SEC 2018-04-10 Ponzi Schemes — filed SEC v. AMC Holdings, LLC (boiler rooms, 2018) SEC 2018-04-05 Boiler Rooms — filed SEC v. Joseph Meli, et al., Craig H. Carton, et al. (ponzi schemes, 2018) SEC 2018-04-05 Ponzi Schemes — unknown SEC v. Saverio J. Barbera (insider trading, 2018) SEC 2018-04-05 Insider Trading — judgment SEC v. Christopher James Lollar (insider trading, 2018) SEC 2018-04-04 Insider Trading — judgment SEC v. Michael Scronic (ponzi schemes, 2018) SEC 2018-04-04 Ponzi Schemes — filed SEC v. Shane P. Fleming, et al. (insider trading, 2018) SEC 2018-04-04 Insider Trading — filed SEC v. Sohrab ("Sam") Sharma and Robert Farkas (unregistered distributions, 2018) SEC 2018-04-02 Unregistered Distributions — filed SEC v. Aegis Capital Corporation (paid stock promotion, 2018) SEC 2018-03-28 Paid Stock Promotion , Pump And Dump — filed SEC v. Terracciano and Eugene (paid stock promotion, 2018) SEC 2018-03-28 Paid Stock Promotion — unknown SEC v. Nauman A. Aly (sham tender offers, 2018) SEC 2018-03-28 EDGAR Filing Fraud , Sham Tender Offers — unknown SEC v. Timary Delorme (pump and dump, 2018) SEC 2018-03-27 Pump And Dump $50k settled SEC v. Joseph Spera, et al. (insider trading, 2018) SEC 2018-03-26 Insider Trading — filed SEC v. Jon E. Montroll and Bitfunder (unregistered distributions, 2018) SEC 2018-03-23 Unregistered Distributions — filed SEC v. Spark Trading Group LLC and Niket Shah (ponzi schemes, 2018) SEC 2018-03-23 Ponzi Schemes — filed SEC v. Jun Ying (insider trading, 2018) SEC 2018-03-22 Insider Trading — filed SEC v. Robert W. Murray (sham tender offers, 2018) SEC 2018-03-22 EDGAR Filing Fraud , Sham Tender Offers — unknown SEC v. Steven Metro (insider trading, 2018) SEC 2018-03-19 Insider Trading — filed SEC v. Beaufort Securities Ltd. and others (matched orders, 2018) SEC 2018-03-16 Matched Orders , Pump And Dump — filed 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 and NYSE American LLC and NYSE Arca, Inc. (benchmark submission rigging, 2018) SEC 2018-03-06 Benchmark Submission Rigging — 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 — filed SEC v. Analytica Bio-Energy Corp., et al., Marvin Winick (undisclosed control blocks, 2018) SEC 2018-02-28 Undisclosed Control Blocks — judgment 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 — judgment SEC v. Ara Chackerian (insider trading, 2018) SEC 2018-02-12 Insider Trading — settled SEC v. Geoffrey H. Lunn, et al. (ponzi schemes, 2018) SEC 2018-02-12 Ponzi Schemes — judgment SEC v. Daniel T. Fischer (churning, 2018) SEC 2018-01-30 Churning — judgment SEC v. One or More Unknown Traders in the Securities of Bioverativ, Inc. (insider trading, 2018) SEC 2018-01-26 Insider Trading — 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. Robert H. Shapiro, Woodbridge Group of Companies, LLC, et al. (ponzi schemes, 2017) SEC 2017-12-21 Ponzi Schemes — filed 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 — filed SEC v. Ronald A. Fossum, Jr. and Alonzo R. Cahoon (unregistered distributions, 2017) SEC 2017-12-20 Unregistered Distributions — filed SEC v. Jason A. Wallace (boiler rooms, 2017) SEC 2017-12-18 Boiler Rooms — 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 — judgment SEC v. Stephen J. Leonard (insider trading, 2017) SEC 2017-12-07 Insider Trading $107k judgment SEC v. Palladino and James M. (paid stock promotion, 2017) SEC 2017-11-29 Paid Stock Promotion — unknown SEC v. Capital Financial Partners, LLC et al. (ponzi schemes, 2017) SEC 2017-11-17 Ponzi Schemes — judgment SEC v. Pedro Fort Berbel et al. (ponzi schemes, 2017) SEC 2017-11-16 Ponzi Schemes — filed SEC v. Susan L. Ellerin and Edward D. Blumstein (insider trading, 2017) SEC 2017-11-14 Insider Trading — settled SEC v. The End of the Rainbow Partners, L.L.C., and others (ponzi schemes, 2017) SEC 2017-11-14 Ponzi Schemes — unknown SEC v. Robert W. Murray (sham tender offers, 2017) SEC 2017-11-09 EDGAR Filing Fraud , Sham Tender Offers — filed SEC v. James P. Kolf (ponzi schemes, 2017) SEC 2017-11-03 Ponzi Schemes — settled
← Previous
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19
Next →