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
$124m
Median penalty
$150k
Largest
$26.4m
Criminal parallel
35%
Action Agency Filed Technique Penalty Status
SEC v. James M. Schneider and Andrew H. Wilson (blank check shells, 2017) SEC 2017-10-11 Reverse Merger Schemes , Unregistered Distributions — settled
SEC v. Marc A. Celello (ponzi schemes, 2017) SEC 2017-10-05 Ponzi Schemes — settled
SEC v. Homero Joshua Garza (ponzi schemes, 2017) SEC 2017-10-04 Ponzi Schemes — judgment
SEC v. Arun J. Singh (insider trading, 2017) SEC 2017-10-03 Insider Trading $25k judgment
SEC v. Wayne Weaver (Jammin' Java pump and dump, 2017) SEC 2017-10-03 Pump And Dump $26.4m appealed
SEC v. Avaneesh Krishnamoorthy (insider trading, 2017) SEC 2017-09-29 Insider Trading — judgment
SEC v. Jason McDiarmid, et al. (boiler rooms, 2017) SEC 2017-09-29 Boiler Rooms , Pump And Dump $3.3m judgment
SEC v. Micheal A. Skerry (newsletter scalping, 2017) SEC 2017-09-29 Newsletter Scalping , Unregistered Distributions $1.1m judgment
SEC v. David Howard Welch, et al (boiler rooms, 2017) SEC 2017-09-28 Boiler Rooms $30k settled
SEC v. Fengjiu Zhang and Xianli Kong (insider trading, 2017) SEC 2017-09-28 Insider Trading $88.8k settled
SEC v. Laurence M. Torres (churning, 2017) SEC 2017-09-28 Churning $160k settled
SEC v. Naris Chamroonrat (2017) SEC 2017-09-28 — judgment
SEC v. Pedro Fort Berbel and others (ponzi schemes, 2017) SEC 2017-09-28 Ponzi Schemes $7m judgment
SEC v. Sean Stewart et al. (insider trading, 2017) SEC 2017-09-28 Insider Trading — judgment
SEC v. Success Holding Group International, Inc. (unregistered distributions, 2017) SEC 2017-09-28 Unregistered Distributions $100k settled
SEC v. Jason Napodano, Bilal Basrai and Bryce Stirton (insider trading, 2017) SEC 2017-09-26 Insider Trading $186k settled
SEC v. LBMZ Securities, Inc. (2017) SEC 2017-09-26 $240k settled
SEC v. Joel P. Zingerman (insider trading, 2017) SEC 2017-09-21 Insider Trading $56.6k settled
SEC v. Justin Samuel Cary (insider trading, 2017) SEC 2017-09-21 Insider Trading $8.1k settled
SEC v. Peter C. Chang (insider trading, 2017) SEC 2017-09-20 Insider Trading $500k settled
SEC v. Francisco Illarramendi, Highview Point and Michael Kenwood (ponzi schemes, 2017) SEC 2017-09-19 Ponzi Schemes $1m judgment
SEC v. Lawrence F. Cluff, Jr., Roger E. Shaoul, and James Shaoul (insider trading, 2017) SEC 2017-09-13 Insider Trading $5.1m settled
SEC v. Mayank Gupta, et al. (insider trading, 2017) SEC 2017-09-13 Insider Trading $23.8k settled
SEC v. Brett Kennedy, et al. (insider trading, 2017) SEC 2017-09-07 Insider Trading $11.6k settled
SEC v. Craig H. Carton, et al. (ponzi schemes, 2017) SEC 2017-09-06 Ponzi Schemes — settled
SEC v. Scott Newsholme (2017) SEC 2017-09-06 — judgment
SEC v. Alan M. Stark, Esq. (insider trading, 2017) SEC 2017-09-05 Insider Trading $7.6k settled
SEC v. Richard P. Cedrone, Steven R. Ferris and George R. Thoreson (marking the close, 2017) SEC 2017-09-05 Marking The Close $225k judgment
SEC v. Evan R. Kita, et al. (insider trading, 2017) SEC 2017-08-31 Insider Trading — judgment
SEC v. Tennstar Energy, Inc., et al. (boiler rooms, 2017) SEC 2017-08-30 Boiler Rooms — judgment
SEC v. Lek Securities Corporation, Samuel Lek, Avalon FA Ltd, Nathan Fayyer and Sergey Pustelnik (layering, 2017 ruling) SEC 2017-08-29 Layering $23.9m judgment
SEC v. Caledonian Bank Ltd., et al. (unregistered distributions, 2017) SEC 2017-08-25 Unregistered Distributions $19.2m judgment
SEC v. Dawn J. Bennett and DJB Holdings (ponzi schemes, 2017) SEC 2017-08-25 Ponzi Schemes — judgment
SEC v. Jack Sini (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — settled
SEC v. Jason Hershberger (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — settled
SEC v. Juan M. Perez Ortega (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — settled
SEC v. Martin Miller (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — settled
SEC v. Shawna Leigh Lynch (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — settled
SEC v. Deerfield Management Company, L.P. (2017) SEC 2017-08-21 $3.9m settled
SEC v. Banca IMI Securities Corp. (2017) SEC 2017-08-18 $15m settled
SEC v. Daniel Rivas, et al. (insider trading, 2017) SEC 2017-08-16 Insider Trading — judgment
SEC v. Robert Cortez Marshall and Adz on Wheelz (ponzi schemes, 2017) SEC 2017-08-15 Ponzi Schemes $1.5m judgment
SEC v. Damon Hovannisian, et al. (insider trading, 2017) SEC 2017-08-11 Insider Trading $308k settled
SEC v. Louis Martin Blazer III (2017) SEC 2017-08-10 $150k settled
SEC v. David Blaszczak, et al. (insider trading, 2017) SEC 2017-08-08 Insider Trading — settled
SEC v. Steven V. McClatchey and Gary J. Pusey (insider trading, 2017) SEC 2017-08-08 Insider Trading — judgment
SEC v. Joe Yiu Cheung, a/k/a Dylon de lu Zhang (paid stock promotion, 2017) SEC 2017-08-02 Paid Stock Promotion , Pump And Dump +1 $150k settled
SEC v. Jeffrey D. Martin, Thomas L. Tedrow and others (Mainstream Entertainment pump and dump, 2017) SEC 2017-08-01 Pump And Dump , Paid Stock Promotion +2 $142k judgment
SEC v. Karen F. Aalders (pump and dump, 2017) SEC 2017-07-31 Pump And Dump , Unregistered Distributions — settled
SEC v. Sterling Craig Barton (unregistered distributions, 2017) SEC 2017-07-31 Unregistered Distributions $100k settled
SEC v. Harold L. Altvater (insider trading, 2017) SEC 2017-07-28 Insider Trading — settled
SEC v. Windsor Street Capital, L.P. ( and others (unregistered distributions, 2017) SEC 2017-07-28 Unregistered Distributions $200k settled
SEC v. Joey Stanton Dodson (ponzi schemes, 2017) SEC 2017-07-26 Ponzi Schemes $859k judgment
SEC v. Joey Giamichael and Umbrella Research, LLC (newsletter scalping, 2017) SEC 2017-07-25 Newsletter Scalping , Paid Stock Promotion $48.9k settled
SEC v. Andrew Farmer, et al. (pump and dump, 2017) SEC 2017-07-24 Pump And Dump $2m judgment
SEC v. Lubin and David (2017) SEC 2017-07-19 — judgment
SEC v. Troy Joseph Flowers, Sean Nevett and Fruition Inc. (undisclosed control blocks, 2017) SEC 2017-07-19 Undisclosed Control Blocks $310k judgment
SEC v. John F. Stimpson (insider trading, 2017) SEC 2017-07-18 Insider Trading $136k settled
SEC v. Powertraderspress.com, Inc., Elite Stock Research, Inc. and others (boiler rooms, 2017) SEC 2017-07-12 Boiler Rooms — unknown
SEC v. Victory Ho (insider trading, 2017) SEC 2017-07-12 Insider Trading — judgment
SEC v. Eric David Wanger and Wanger Investment Management, Inc. (marking the close, 2017) SEC 2017-07-10 Marking The Close $75k settled
SEC v. Steve G. Blasko (boiler rooms, 2017) SEC 2017-07-07 Boiler Rooms , Unregistered Distributions $945k judgment
SEC v. Cheryl L. Jones (ponzi schemes, 2017) SEC 2017-07-03 Ponzi Schemes — dismissed
SEC v. Sasan Sabrdaran and Farhang Afsarpour (insider trading, 2017) SEC 2017-06-30 Insider Trading — judgment
SEC v. Andrew S. Keck (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks $2.5k settled
SEC v. Christopher A. Conley (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks $2.5k settled
SEC v. Marilyn Stark (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks $10k settled
SEC v. Matthew L. Egna (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks $10k settled
SEC v. Nigel G. Lindsay (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks — settled
SEC v. Sarah E. Keck (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks $2.5k settled
SEC v. Diana P. Lovera (boiler rooms, 2017) SEC 2017-06-28 Boiler Rooms — judgment
SEC v. Harold L. Altvater, Maureen E. Curran, Susan L. Dubuc (insider trading, 2017) SEC 2017-06-27 Insider Trading $12.3k settled
SEC v. Wm Smith & Co. and William S. Smith (2017) SEC 2017-06-26 $85k settled
SEC v. James M. Farinella, et al. (matched orders, 2017) SEC 2017-06-21 Matched Orders , Pump And Dump — settled
SEC v. Yu-Cheng Lin (insider trading, 2017) SEC 2017-06-19 Insider Trading — judgment
SEC v. Edwin Yoshihiro Fujinaga and MRI International, Inc., et al. (ponzi schemes, 2017) SEC 2017-06-15 Ponzi Schemes — judgment
SEC v. Jehu Hand and Antonio Katz (pump and dump, 2017) SEC 2017-06-15 Pump And Dump , Unregistered Distributions — judgment
SEC v. Tod A. Ditommaso, Esq. (unregistered distributions, 2017) SEC 2017-06-13 Unregistered Distributions $1.5k judgment
SEC v. Dan (“Alice”) Zhang, CPA (insider trading, 2017) SEC 2017-06-07 Insider Trading $7.5k settled
SEC v. Michael Trahan (insider trading, 2017) SEC 2017-06-07 Insider Trading $69.7k settled
SEC v. Homero Joshua Garza, GAW Miners, LLC, and ZenMiner, LLC (ponzi schemes, 2017) SEC 2017-06-05 Ponzi Schemes $2m judgment
SEC v. Adesh Kumar Tyagi (marking the close, 2017) SEC 2017-06-01 Marking The Close — settled
SEC v. Harrison Katzen (boiler rooms, 2017) SEC 2017-05-31 Boiler Rooms — judgment
SEC v. Mark A. Jones (ponzi schemes, 2017) SEC 2017-05-25 Ponzi Schemes $160k judgment
SEC v. William J. Wells and Promitor Capital Management LLC (ponzi schemes, 2017) SEC 2017-05-25 Ponzi Schemes — settled
SEC v. Francisco Illarramendi, Highview Point Partners, LLC and others (ponzi schemes, 2017) SEC 2017-05-24 Ponzi Schemes — judgment
SEC v. Imran Husain, et al. (shell factories, 2017) SEC 2017-05-24 Shell Factories , Undisclosed Control Blocks — filed
SEC v. Yasuna Murakami and Avi Chiat (ponzi schemes, 2017) SEC 2017-05-22 Ponzi Schemes $185k settled
SEC v. Robert W. Murray (price manipulation, 2017) SEC 2017-05-19 EDGAR Filing Fraud , Price Manipulation +1 — settled
SEC v. Emerald Isle Exploration, Ltd. and Samuell Eads and Lloyd C. Brewer (undisclosed control blocks, 2017) SEC 2017-05-12 Undisclosed Control Blocks $30k settled
SEC v. Walter C. Little and Andrew M. Berke (insider trading, 2017) SEC 2017-05-11 Insider Trading — settled
SEC v. Iat Hong, et al. (hack to trade, 2017) SEC 2017-05-09 Hack To Trade $5.9m judgment
SEC v. Med-X, Inc. (Regulation A suspension, 2017) SEC 2017-05-08 — dismissed
SEC v. William R. Schantz III and Verto Capital Management LLC (ponzi schemes, 2017) SEC 2017-05-04 Ponzi Schemes $600k settled
SEC v. David Michael Burke (2017) SEC 2017-05-02 — settled
SEC v. Mark J. Varacchi and Sentinel Growth Fund Management (ponzi schemes, 2017) SEC 2017-05-01 Ponzi Schemes — judgment
SEC v. Demitrios Hallas (2017) SEC 2017-04-26 — judgment
SEC v. Wilson-Davis & Company, Inc. (naked short selling debate, 2017) SEC 2017-04-26 Naked Short Selling Debate $75k settled
SEC v. Kent P. Watts, et al. (unregistered distributions, 2017) SEC 2017-04-21 Unregistered Distributions — filed
SEC v. Curtis A. Peterson (ponzi schemes, 2017) SEC 2017-04-19 Ponzi Schemes $7.5k judgment