Market Manipulation. Search

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
$47.2m
Median penalty
$100k
Largest
$26.4m
Criminal parallel
38%
Action Agency Filed Technique Penalty Status
SEC v. Andy Z. Fan (fake press releases, 2018) SEC 2018-04-25 Fake Press Releases , Matched Orders +1 — 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. Andrew J. Kandelapas (paid stock promotion, 2018) SEC 2018-04-13 Paid Stock Promotion $240k settled
SEC v. Wellness Center USA, Inc. (fake press releases, 2018) SEC 2018-04-12 Fake Press Releases , Paid Stock Promotion — 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. 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. 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 — 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. 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. Alan Weinberg, CPA and Weinberg & Baer LLC (reverse merger schemes, 2018) SEC 2018-02-21 Reverse Merger Schemes , Undisclosed Control Blocks — judgment
SEC v. Jonathan Strum, Esq. (reverse merger schemes, 2018) SEC 2018-02-21 Reverse Merger Schemes , Undisclosed Control Blocks — judgment
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. Andrew H. Wilson, Esq. (undisclosed control blocks, 2018) SEC 2018-02-05 Unregistered Distributions — 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. Nathan Whitney Drage, Esq. (reverse merger schemes, 2017) SEC 2017-11-17 Reverse Merger Schemes — unknown
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. Ferrone and Stephen D. (paid stock promotion, 2017) SEC 2017-11-08 Paid Stock Promotion $120k judgment
SEC v. James P. Kolf (ponzi schemes, 2017) SEC 2017-11-03 Ponzi Schemes — settled
SEC v. Joseph Meli, et al. and Craig H. Carton, et al. (ponzi schemes, 2017) SEC 2017-10-31 Ponzi Schemes — unknown
SEC v. Andalusian Resorts and others (fake press releases, 2017) SEC 2017-10-30 Fake Press Releases , Paid Stock Promotion +2 — filed
SEC v. Artemus Mayor (paid stock promotion, 2017) SEC 2017-10-26 Paid Stock Promotion , Pump And Dump — settled
SEC v. Canterbury Consulting, Inc. (churning, 2017) SEC 2017-10-26 Churning — settled
SEC v. Harold J. Swart, Jr. (undisclosed control blocks, 2017) SEC 2017-10-26 Undisclosed Control Blocks — judgment
SEC v. J. Patrick O'Neill and Robert H. Bray (insider trading, 2017) SEC 2017-10-25 Insider Trading — appealed
SEC v. Mayank Gupta, CPA (insider trading, 2017) SEC 2017-10-19 Insider Trading — judgment
SEC v. James M. Schneider (pump and dump, 2017) SEC 2017-10-11 Pump And Dump , Reverse Merger Schemes — filed
SEC v. Marc A. Celello (ponzi schemes, 2017) SEC 2017-10-06 Ponzi Schemes — filed
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. Jammin' Java Corp. et al. (pump and dump, 2017) SEC 2017-10-03 Pump And Dump $26.4m appealed
SEC v. Martin T. Cantu (fake press releases, 2017) SEC 2017-10-02 Fake Press Releases , Pump And Dump — unknown
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 — unknown
SEC v. Micheal A. Skerry (newsletter scalping, 2017) SEC 2017-09-29 Newsletter Scalping , Paid Stock Promotion +1 $100k judgment
SEC v. David Howard Welch, et al (boiler rooms, 2017) SEC 2017-09-28 Boiler Rooms — settled
SEC v. Fengjiu Zhang and Xianli Kong (insider trading, 2017) SEC 2017-09-28 Insider Trading — settled
SEC v. Laurence M. Torres (churning, 2017) SEC 2017-09-28 Churning — settled
SEC v. Naris Chamroonrat, et al. (ponzi schemes, 2017) SEC 2017-09-28 Ponzi Schemes — 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 $240k settled
SEC v. LBMZ Securities, Inc. (insider trading, 2017) SEC 2017-09-26 Insider Trading — settled
SEC v. Moses Investment Company, LLC and Michael S. Moses (paid stock promotion, 2017) SEC 2017-09-22 Paid Stock Promotion — filed
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 — filed
SEC v. Peter C. Chang (insider trading, 2017) SEC 2017-09-20 Insider Trading — filed
SEC v. Francisco Illarramendi, et al. (ponzi schemes, 2017) SEC 2017-09-19 Ponzi Schemes — judgment
SEC v. Lawrence F. Cluff, Jr., Roger E. Shaoul, and James Shaoul (insider trading, 2017) SEC 2017-09-13 Insider Trading — judgment
SEC v. Mayank Gupta, et al. (insider trading, 2017) SEC 2017-09-13 Insider Trading $23.8k settled
SEC v. Potomac Asset Management Company, Inc. and Goodloe E. Byron, Jr. (undisclosed control blocks, 2017) SEC 2017-09-11 Undisclosed Control Blocks — settled
SEC v. Brett Kennedy, et al. (insider trading, 2017) SEC 2017-09-07 Insider Trading — settled
SEC v. Craig H. Carton, et al. (ponzi schemes, 2017) SEC 2017-09-06 Ponzi Schemes — filed
SEC v. Scott Newsholme (ponzi schemes, 2017) SEC 2017-09-06 Ponzi Schemes — filed
SEC v. Alan M. Stark, Esq. (insider trading, 2017) SEC 2017-09-05 Insider Trading — settled
SEC v. Richard P. Cedrone, Steven R. Ferris and George R. Thoreson (marking the close, 2017) SEC 2017-09-05 Marking The Close $75k judgment
SEC v. Evan R. Kita, et al. (insider trading, 2017) SEC 2017-08-31 Insider Trading — filed
SEC v. Tennstar Energy, Inc., et al. (boiler rooms, 2017) SEC 2017-08-30 Boiler Rooms — filed
SEC v. Lek Securities Corp. et al. (layering, 2017) SEC 2017-08-29 Layering , Undisclosed Control Blocks — unknown
SEC v. Dawn J. Bennett and DJB Holdings LLC (paid stock promotion, 2017) SEC 2017-08-28 Paid Stock Promotion , Ponzi Schemes — filed
SEC v. Caledonian Bank Ltd., et al. (unregistered distributions, 2017) SEC 2017-08-25 Unregistered Distributions $19.2m judgment
SEC v. Jack Sini (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — filed
SEC v. Jason Hershberger (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — filed
SEC v. Juan M. Perez Ortega (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — filed