Home / Cases / SEC / Page 13 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 $68.4m
Median penalty $118k
Largest $26.4m
Criminal parallel 43% Action Agency Filed Technique Penalty Status SEC v. Joseph Meli, et al. and Craig H. Carton, et al. (ponzi schemes, 2017) SEC 2017-10-31 Ponzi Schemes — unknown 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 others (fake press releases, 2017) SEC 2017-10-30 Fake Press Releases , Pump And Dump +1 — filed SEC v. Joseph P. Willner (hijacked account ramping, 2017) SEC 2017-10-30 Hijacked Account Ramping — judgment SEC v. Artemus Mayor (paid stock promotion, 2017) SEC 2017-10-26 Pump And Dump $160k settled SEC v. Canterbury Consulting, Inc. (churning, 2017) SEC 2017-10-26 Churning $100k settled SEC v. Artemus Mayor (pump and dump, 2017) SEC 2017-10-26 Pump And Dump $160k settled SEC v. J. Patrick O'Neill and Robert H. Bray (insider trading, 2017) SEC 2017-10-25 Insider Trading — appealed 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. 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 $77.3k settled SEC v. Laurence M. Torres (churning, 2017) SEC 2017-09-28 Churning $160k 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 $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 — 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. 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 $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 $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 (ponzi schemes, 2017) SEC 2017-08-28 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 SEC v. Martin Miller (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — filed SEC v. Shawna Leigh Lynch (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — unknown SEC v. Deerfield Management Company, L.P. (insider trading, 2017) SEC 2017-08-21 Insider Trading $3.9m settled SEC v. Banca IMI Securities Corp. (naked short selling debate, 2017) SEC 2017-08-18 Naked Short Selling Debate $15m settled SEC v. Daniel Rivas, et al. (insider trading, 2017) SEC 2017-08-16 Insider Trading — unknown SEC v. Robert Cortez Marshall (ponzi schemes, 2017) SEC 2017-08-16 Ponzi Schemes — filed SEC v. Damon Hovannisian, et al. (insider trading, 2017) SEC 2017-08-11 Insider Trading $156k judgment SEC v. Louis Martin Blazer III (ponzi schemes, 2017) SEC 2017-08-10 Ponzi Schemes — judgment 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 ( and Dylon De Lu Zhang) (paid stock promotion, 2017) SEC 2017-08-02 Paid Stock Promotion , Pump And Dump +2 $150k settled SEC v. Jeffrey D. Martin, et al. (custodianship shell hijacking, 2017) SEC 2017-08-01 Custodianship Shell Hijacking , Paid Stock Promotion +1 — judgment SEC v. Karen F. Aalders (paid stock promotion, 2017) SEC 2017-07-31 Paid Stock Promotion — judgment SEC v. Sterling Craig Barton (insider trading, 2017) SEC 2017-07-31 Insider Trading $100k judgment SEC v. Harold L. Altvater (insider trading, 2017) SEC 2017-07-28 Insider Trading — unknown 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 — judgment SEC v. Joey Giamichael and Umbrella Research, LLC (newsletter scalping, 2017) SEC 2017-07-25 Newsletter Scalping , Paid Stock Promotion — settled SEC v. Andrew Farmer, et al. (pump and dump, 2017) SEC 2017-07-24 Pump And Dump — judgment SEC v. Lubin and David (unregistered distributions, 2017) SEC 2017-07-19 Unregistered Distributions — judgment SEC v. Troy Joseph Flowers, et al. (undisclosed control blocks, 2017) SEC 2017-07-19 Undisclosed Control Blocks — filed SEC v. John F. Stimpson (insider trading, 2017) SEC 2017-07-18 Insider Trading $136k settled SEC v. Ashley Antos, Defendants, and Antos, Inc. (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. Wanger and Eric David Wanger Investment Management, Inc. (marking the close, 2017) SEC 2017-07-10 Marking The Close $75k dismissed SEC v. Steve G. Blasko (boiler rooms, 2017) SEC 2017-07-07 Boiler Rooms , Unregistered Distributions — filed SEC v. Cheryl L. Jones (ponzi schemes, 2017) SEC 2017-07-03 Ponzi Schemes — filed 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 — settled SEC v. Christopher A. Conley (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks — 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 — 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 — judgment SEC v. Wm Smith & Co. and William S. Smith (insider trading, 2017) SEC 2017-06-26 Insider Trading $50k settled SEC v. James M. Farinella, et al. (paid stock promotion, 2017) SEC 2017-06-21 Paid Stock Promotion — filed 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 — appealed SEC v. Jehu Hand and Antonio Katz (paid stock promotion, 2017) SEC 2017-06-15 Paid Stock Promotion , Pump And Dump — filed SEC v. Tod A. Ditommaso, Esq. (unregistered distributions, 2017) SEC 2017-06-13 Unregistered Distributions — 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 — judgment SEC v. Homero Joshua Garza, GAW Miners, LLC, and ZenMiner, LLC (ponzi schemes, 2017) SEC 2017-06-05 Ponzi Schemes — judgment SEC v. Adesh Kumar Tyagi (marking the close, 2017) SEC 2017-06-01 Marking The Close — unknown 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 $1m judgment SEC v. Imran Husain, et al. (shell factories, 2017) SEC 2017-05-24 Shell Factories , Undisclosed Control Blocks — filed SEC v. Murakami, et al. (ponzi schemes, 2017) SEC 2017-05-22 Ponzi Schemes — filed SEC v. Robert W. Murray (price manipulation, 2017) SEC 2017-05-19 EDGAR Filing Fraud , Price Manipulation +1 — unknown SEC v. Emerald Isle Exploration, Ltd. and Samuell Eads and Lloyd C. Brewer (insider trading, 2017) SEC 2017-05-12 Insider Trading , Undisclosed Control Blocks $10k settled SEC v. Chamroonrat, et al. (ponzi schemes, 2017) SEC 2017-05-11 Ponzi Schemes — filed SEC v. Walter C. Little and Andrew M. Berke (insider trading, 2017) SEC 2017-05-11 Insider Trading — filed SEC v. Iat Hong, et al. (hack to trade, 2017) SEC 2017-05-09 Hack To Trade — filed
← Previous
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19
Next →