Market Manipulation. Search

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
$13.8m
Median penalty
$72.5k
Largest
$7.5m
Criminal parallel
28%
Action Agency Filed Technique Penalty Status
SEC v. Inc. Med-X (pump and dump, 2017) SEC 2017-05-08 Pump And Dump — dismissed
SEC v. Andrew T.E. Coldicutt, et al. (unregistered distributions, 2017) SEC 2017-05-05 Unregistered Distributions — unknown
SEC v. William R. Schantz III and Verto Capital Management LLC (ponzi schemes, 2017) SEC 2017-05-04 Ponzi Schemes — settled
SEC v. David Michael Burke (undisclosed control blocks, 2017) SEC 2017-05-02 Unregistered Distributions $5k settled
SEC v. Mark J. Varacchi, et al. (ponzi schemes, 2017) SEC 2017-05-01 Ponzi Schemes — judgment
SEC v. Demitrios Hallas (churning, 2017) SEC 2017-04-26 Churning — filed
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
SEC v. Charles L. Hill, Jr. (insider trading, 2017) SEC 2017-04-18 Insider Trading — dismissed
SEC v. Christopher R. Esposito, et al. (paid stock promotion, 2017) SEC 2017-04-14 Paid Stock Promotion $775k judgment
SEC v. Mustafa David Sayid (pump and dump, 2017) SEC 2017-04-13 Pump And Dump — filed
SEC v. Ryan Gilbertson, et al. (reverse merger schemes, 2017) SEC 2017-04-13 Reverse Merger Schemes — judgment
SEC v. Lidingo Holdings, LLC, et al., CSIR Group, LLC, et al. (paid stock promotion, 2017) SEC 2017-04-12 Paid Stock Promotion — settled
SEC v. Craig Keolanui (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion — settled
SEC v. Edward Borrelli and Dunedin, Inc. (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion $30k settled
SEC v. Galena Biopharma, Inc. and Mark J. Ahn (paid stock promotion, 2017) SEC 2017-04-10 Unregistered Distributions $600k settled
SEC v. ImmunoCellular Therapeutics, Ltd. (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion — settled
SEC v. Joel Corenman (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion $25k settled
SEC v. Lion Biotechnologies, Inc. (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion $100k settled
SEC v. Michael A. McCarthy (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion $75k settled
SEC v. Stephen Ramey (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion $24k settled
SEC v. Lawrence F. Cluff, Jr. and Roger E. Shaoul (insider trading, 2017) SEC 2017-04-06 Insider Trading — judgment
SEC v. Vlad B. Spivak, et al. (insider trading, 2017) SEC 2017-04-03 Insider Trading $334k judgment
SEC v. LottoNet Operating Corp., et al. (boiler rooms, 2017) SEC 2017-03-27 Boiler Rooms — filed
SEC v. Ariel Darvasi and Amir Waldman (insider trading, 2017) SEC 2017-03-24 Insider Trading — judgment
SEC v. Nino Coppero del Valle et al. (insider trading, 2017) SEC 2017-03-24 Insider Trading — judgment
SEC v. Quigley and William (churning, 2017) SEC 2017-03-24 Churning — settled
SEC v. Christopher Ludwig (insider trading, 2017) SEC 2017-03-23 Insider Trading — judgment
SEC v. Rose and Sheldon MKJJ Consulting LLC (reverse merger schemes, 2017) SEC 2017-03-23 Reverse Merger Schemes , Undisclosed Control Blocks — settled
SEC v. Steven A. Hartung (insider trading, 2017) SEC 2017-03-23 Insider Trading — settled
SEC v. Infeed Medica Corp. (undisclosed control blocks, 2017) SEC 2017-03-23 Undisclosed Control Blocks — judgment
SEC v. Michael J. Maciocio and David P. Hobson (insider trading, 2017) SEC 2017-03-20 Insider Trading — judgment
SEC v. Patrick Churchville, et al. (ponzi schemes, 2017) SEC 2017-03-17 Ponzi Schemes — filed
SEC v. Todd David Alpert (insider trading, 2017) SEC 2017-03-15 Insider Trading — filed
SEC v. Nima Hedayati (insider trading, 2017) SEC 2017-03-14 Insider Trading — settled
SEC v. Lek Securities Corporation, et al. (layering, 2017) SEC 2017-03-10 Layering — unknown
SEC v. Arcturus Corporation, et al. (unregistered distributions, 2017) SEC 2017-03-03 Unregistered Distributions — judgment
SEC v. Thomas D. Melvin, Jr., et al. (insider trading, 2017) SEC 2017-03-03 Insider Trading — filed
SEC v. One or More Unknown Traders in the Securities of Fortress Investment Group, LLC (insider trading, 2017) SEC 2017-02-28 Insider Trading — judgment
SEC v. FX & Beyond Corporation et al. (ponzi schemes, 2017) SEC 2017-02-21 Ponzi Schemes — judgment
SEC v. Patrick O. Howard, et al. (ponzi schemes, 2017) SEC 2017-02-16 Ponzi Schemes — unknown
SEC v. Sidoti & Company, LLC (insider trading, 2017) SEC 2017-02-13 Insider Trading $100k settled
SEC v. Yu-Cheng Lin (a.k.a. Believe Lin) (insider trading, 2017) SEC 2017-02-13 Insider Trading — judgment
SEC v. Alan Barry Staples (insider trading, 2017) SEC 2017-02-10 Insider Trading $15.2k judgment
SEC v. Shaohua (Michael) Yin, et al. (insider trading, 2017) SEC 2017-02-10 Insider Trading — judgment
SEC v. Raymond H. Barton (fake press releases, 2017) SEC 2017-02-09 Fake Press Releases — judgment
SEC v. William G. Goode (unregistered distributions, 2017) SEC 2017-02-09 Unregistered Distributions — judgment
SEC v. Oxford City Football Club, Inc. (boiler rooms, 2017) SEC 2017-02-08 Boiler Rooms — judgment
SEC v. Oxford City Football Club, Inc., et al. (boiler rooms, 2017) SEC 2017-02-08 Boiler Rooms — judgment
SEC v. Michael Affa, et al. (pump and dump, 2017) SEC 2017-02-07 Pump And Dump — judgment
SEC v. Olde Monmouth Stock Transfer Co., Inc. and Matthew J. Troster (reverse merger schemes, 2017) SEC 2017-02-07 Reverse Merger Schemes , Unregistered Distributions $100k judgment
SEC v. Varacchi, et al. (ponzi schemes, 2017) SEC 2017-02-02 Ponzi Schemes — filed
SEC v. Herman Ronnie Young, Jr. d/b/a Race Cycler (ponzi schemes, 2017) SEC 2017-01-27 Ponzi Schemes — judgment
SEC v. Palestra Capital Management LLC (rule 105 offering shorts, 2017) SEC 2017-01-26 Rule 105 Offering Shorts $80k settled
SEC v. Donald P. Jones, CPA (insider trading, 2017) SEC 2017-01-23 Insider Trading $39.1k settled
SEC v. George N. Krinos (unregistered distributions, 2017) SEC 2017-01-23 Unregistered Distributions — filed
SEC v. Cort Poyner et al. (paid stock promotion, 2017) SEC 2017-01-19 Paid Stock Promotion — judgment
SEC v. Eytan Bar (insider trading, 2017) SEC 2017-01-18 Insider Trading $30k settled
SEC v. MDC Partners Inc. (insider trading, 2017) SEC 2017-01-18 Insider Trading $1.5m settled
SEC v. Orthofix International N.V.; Jeffrey Hammel and CPA; Brian McCollum; Kenneth Mack and Bryan McMillan (naked short selling debate, 2017) SEC 2017-01-18 Naked Short Selling Debate $40k settled
SEC v. Robin G. Charlet, Steven W. Sparks, Gregory J. Tuthill and Kirk D. Porter (unregistered distributions, 2017) SEC 2017-01-13 Unregistered Distributions $25k judgment
SEC v. Gregory W. Gray, Jr., et al. (ponzi schemes, 2017) SEC 2017-01-12 Ponzi Schemes — judgment
SEC v. ITG Inc. (naked short selling debate, 2017) SEC 2017-01-12 Naked Short Selling Debate $7.5m settled
SEC v. Douglas Furth (matched orders, 2017) SEC 2017-01-10 Matched Orders — judgment
SEC v. Iat Hong, et al. (hack to trade, 2016) SEC 2016-12-27 Hack To Trade — judgment
SEC v. Chamroonrat, et al. (ponzi schemes, 2016) SEC 2016-12-22 Ponzi Schemes — filed
SEC v. Edward F. Panos, et al. (shell factories, 2016) SEC 2016-12-20 Shell Factories , Undisclosed Control Blocks — judgment
SEC v. Anthony B. Kerrigone (naked short selling debate, 2016) SEC 2016-12-16 Naked Short Selling Debate $50k settled
SEC v. Byron B. Barkley and Paul N. Davis (naked short selling debate, 2016) SEC 2016-12-16 Naked Short Selling Debate $50k settled
SEC v. Empire Stock Transfer, Inc. and Matthew J. Blevins (paid stock promotion, 2016) SEC 2016-12-16 Unregistered Distributions $50k settled
SEC v. Jo Ann Myers and Hollis W. Pickett, Jr. (insider trading, 2016) SEC 2016-12-16 Insider Trading $40.4k settled
SEC v. Michael J. Muellerleile, Esq. and M2 Law Professional Corp. (reverse merger schemes, 2016) SEC 2016-12-16 Reverse Merger Schemes $70k settled
SEC v. Wilson-Davis & Company, Inc. (naked short selling debate, 2016) SEC 2016-12-16 Naked Short Selling Debate — unknown
SEC v. Gary L. McDuff (boiler rooms, 2016) SEC 2016-12-16 Boiler Rooms , Ponzi Schemes $125k dismissed
SEC v. Marc Winters (insider trading, 2016) SEC 2016-12-02 Insider Trading $31.9k settled
SEC v. Blackbird Capital Partners, LLC, et al. (ponzi schemes, 2016) SEC 2016-11-30 Ponzi Schemes — unknown
SEC v. Neman and Shervin Neman Financial, Inc. (ponzi schemes, 2016) SEC 2016-11-29 Ponzi Schemes — judgment
SEC v. Dennis Ira Ringer (unregistered distributions, 2016) SEC 2016-11-23 Unregistered Distributions $25k settled
SEC v. Capital Financial Partners, LLC et al. and others (ponzi schemes, 2016) SEC 2016-11-22 Ponzi Schemes — unknown
SEC v. Sanjay Valvani and Gordon Johnston (insider trading, 2016) SEC 2016-11-14 Insider Trading — settled
SEC v. Eric McPhail and Douglas Parigian (insider trading, 2016) SEC 2016-11-09 Insider Trading — judgment
SEC v. Herbert K. Sudfeld (insider trading, 2016) SEC 2016-11-09 Insider Trading — dismissed
SEC v. Markusen and others (marking the close, 2016) SEC 2016-11-09 Marking The Close — judgment
SEC v. Dubovoy, et al. (hack to trade, 2016) SEC 2016-11-02 Hack To Trade — settled
SEC v. Anthony Andrade, et al. (insider trading, 2016) SEC 2016-11-01 Insider Trading $150k judgment
SEC v. Nicholas H. Shermeta and Napa Properties, LLC (reverse merger schemes, 2016) SEC 2016-11-01 Reverse Merger Schemes — settled
SEC v. Daniel Christian Stanley Powell (ponzi schemes, 2016) SEC 2016-11-01 Ponzi Schemes — judgment
SEC v. Michael L. Reger (reverse merger schemes, 2016) SEC 2016-10-31 Reverse Merger Schemes $250k settled
SEC v. Curt Kramer and Hope Capital, Inc. (unregistered distributions, 2016) SEC 2016-10-27 Unregistered Distributions — settled
SEC v. Christopher Salis, et al. (insider trading, 2016) SEC 2016-10-21 Insider Trading — filed
SEC v. James C. Cope, Esq. (insider trading, 2016) SEC 2016-10-21 Insider Trading — filed
SEC v. Artis Capital Management, L.P. and Michael W. Harden (insider trading, 2016) SEC 2016-10-13 Insider Trading $133k dismissed
SEC v. Deutsche Bank Securities Inc. (front running, 2016) SEC 2016-10-12 Front Running , Insider Trading +1 $100k judgment
SEC v. Richard Weed et al. (pump and dump, 2016) SEC 2016-10-04 Pump And Dump , Reverse Merger Schemes — judgment
SEC v. Ikenna Ikokwu, et al. (ponzi schemes, 2016) SEC 2016-09-30 Ponzi Schemes — filed
SEC v. Jason W. Galanis, et al. (matched orders, 2016) SEC 2016-09-30 Matched Orders — judgment
SEC v. Louis T. Buonocore, Jeremy R. Draper, Frank J. Morelli, III, Berardino "Dino" Paolucci, Jr. and Don L. Rose (matched orders, 2016) SEC 2016-09-30 Matched Orders — settled
SEC v. Marcus A. Luna, et al. (boiler rooms, 2016) SEC 2016-09-30 Boiler Rooms , Pump And Dump — filed
SEC v. Vladimir Eydelman and Steven Metro (insider trading, 2016) SEC 2016-09-30 Insider Trading $1.2m settled