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
$87.4m
Median penalty
$100k
Largest
$39.5m
Criminal parallel
33%
Action Agency Filed Technique Penalty Status
SEC v. Charles L. Hill, Jr. (insider trading, 2017) SEC 2017-04-18 Insider Trading — dismissed
SEC v. Christopher R. Esposito, et al. (undisclosed control blocks, 2017) SEC 2017-04-14 Undisclosed Control Blocks , Unregistered Distributions $775k judgment
SEC v. Mustafa David Sayid, Norman Reynolds and Kevin Jasper (pump and dump, 2017) SEC 2017-04-13 Pump And Dump $235k judgment
SEC v. Ryan Gilbertson, et al. (undisclosed control blocks, 2017) SEC 2017-04-13 Undisclosed Control Blocks — filed
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 (unregistered distributions, 2017) SEC 2017-04-10 Unregistered Distributions $800k 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 $925k settled
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 $473k judgment
SEC v. Ariel Darvasi and Amir Waldman (insider trading, 2017) SEC 2017-03-24 Insider Trading $1.5m settled
SEC v. Nino Coppero del Valle et al. (insider trading, 2017) SEC 2017-03-24 Insider Trading $113k judgment
SEC v. William Quigley (2017) SEC 2017-03-24 — settled
SEC v. Christopher Ludwig (insider trading, 2017) SEC 2017-03-23 Insider Trading $16.4k settled
SEC v. Infeed Medica Corp. (undisclosed control blocks, 2017) SEC 2017-03-23 Undisclosed Control Blocks — judgment
SEC v. Sheldon Rose and 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 $59.7k settled
SEC v. Michael J. Maciocio and David P. Hobson (insider trading, 2017) SEC 2017-03-20 Insider Trading — judgment
SEC v. Patrick Churchville and ClearPath Wealth Management (ponzi schemes, 2017) SEC 2017-03-17 Ponzi Schemes $225k judgment
SEC v. Todd David Alpert (insider trading, 2017) SEC 2017-03-15 Insider Trading $43.9k settled
SEC v. Nima Hedayati (insider trading, 2017) SEC 2017-03-14 Insider Trading $43k settled
SEC v. Lek Securities Corporation, Samuel Lek, Avalon FA Ltd, Nathan Fayyer and Sergey Pustelnik (layering, 2017) SEC 2017-03-10 Layering — judgment
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 — judgment
SEC v. One or More Unknown Traders in the Securities of Fortress Investment Group, LLC (insider trading, 2017) SEC 2017-02-28 Insider Trading — filed
SEC v. FX & Beyond Corporation and Steve H. Karroum (ponzi schemes, 2017) SEC 2017-02-16 Ponzi Schemes $512k judgment
SEC v. Patrick O. Howard and Optimal Economics Capital Partners (ponzi schemes, 2017) SEC 2017-02-14 Ponzi Schemes — settled
SEC v. Sidoti & Company, LLC (2017) SEC 2017-02-13 $100k settled
SEC v. Yu-Cheng Lin (a.k.a. Believe Lin) (insider trading, 2017) SEC 2017-02-13 Insider Trading $5.4m judgment
SEC v. Alan Barry Staples (insider trading, 2017) SEC 2017-02-10 Insider Trading $15.2k settled
SEC v. Shaohua (Michael) Yin, et al. (insider trading, 2017) SEC 2017-02-10 Insider Trading $39.5m settled
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 and four others (Amogear 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 settled
SEC v. Mark J. Varacchi and Sentinel Growth Fund Management (ponzi schemes, 2017) SEC 2017-02-02 Ponzi Schemes — settled
SEC v. Herman Ronnie Young, Jr. d/b/a Race Cycler (ponzi schemes, 2017) SEC 2017-01-26 Ponzi Schemes — settled
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 (2017) SEC 2017-01-23 — judgment
SEC v. Cort Poyner et al. (price manipulation, 2017) SEC 2017-01-19 Price Manipulation — judgment
SEC v. Eytan Bar (2017) SEC 2017-01-18 $30k settled
SEC v. MDC Partners Inc. (2017) SEC 2017-01-18 $1.5m settled
SEC v. Kenneth Mack and Bryan McMillan (2017) SEC 2017-01-18 $65k 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 $30k settled
SEC v. Gregory W. Gray, Jr., Archipel Capital and BIM Management (ponzi schemes, 2017) SEC 2017-01-12 Ponzi Schemes — settled
SEC v. ITG Inc. (2017) SEC 2017-01-12 $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 $5.9m judgment
SEC v. Naris Chamroonrat and Adam L. Plumer (2016) SEC 2016-12-21 — settled
SEC v. Chamroonrat, Plumer, Avnon, Armon and G Six Trading (2017) SEC 2016-12-21 — filed
SEC v. Edward F. Panos, et al. (shell factories, 2016) SEC 2016-12-20 Shell Factories , Undisclosed Control Blocks $1.4m 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 $75k settled
SEC v. Empire Stock Transfer, Inc. and Matthew J. Blevins (unregistered distributions, 2016) SEC 2016-12-16 Unregistered Distributions $170k settled
SEC v. Gary L. McDuff (ponzi schemes, 2016) SEC 2016-12-16 Ponzi Schemes — dismissed
SEC v. Jo Ann Myers and Hollis W. Pickett, Jr. (insider trading, 2016) SEC 2016-12-16 Insider Trading $49.1k settled
SEC v. Michael J. Muellerleile, Esq. and M2 Law Professional Corp. (shell factories, 2016) SEC 2016-12-16 Shell Factories , Undisclosed Control Blocks $70k settled
SEC v. Wilson-Davis & Company, Inc. (naked short selling debate, 2016) SEC 2016-12-16 Naked Short Selling Debate $75k settled
SEC v. Marc Winters (insider trading, 2016) SEC 2016-12-02 Insider Trading $31.9k settled
SEC v. Shervin Neman and Neman Financial, Inc. (ponzi schemes, 2016) SEC 2016-11-29 Ponzi Schemes — judgment
SEC v. Blackbird Capital Partners, Kelley and Shumway (ponzi schemes, 2016) SEC 2016-11-28 Ponzi Schemes $50k judgment
SEC v. Dennis Ira Ringer (unregistered distributions, 2016) SEC 2016-11-23 Unregistered Distributions $25k settled
SEC v. Capital Financial Partners, Allen and Daub: guilty pleas (ponzi schemes, 2016) SEC 2016-11-22 Ponzi Schemes — judgment
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 $148k judgment
SEC v. Herbert K. Sudfeld (insider trading, 2016) SEC 2016-11-09 Insider Trading — judgment
SEC v. Steven R. Markusen and Jay C. Cope (marking the close, 2016) SEC 2016-11-09 Marking The Close , Churning $200k 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. Daniel Christian Stanley Powell (ponzi schemes, 2016) SEC 2016-11-01 Ponzi Schemes — judgment
SEC v. Nicholas H. Shermeta and Napa Properties, LLC (2016) SEC 2016-11-01 $50k settled
SEC v. Michael L. Reger (undisclosed control blocks, 2016) SEC 2016-10-31 Undisclosed Control Blocks $750k settled
SEC v. Curt Kramer and Hope Capital, Inc. (unregistered distributions, 2016) SEC 2016-10-27 Unregistered Distributions $100k settled
SEC v. Christopher Salis, et al. (insider trading, 2016) SEC 2016-10-21 Insider Trading — settled
SEC v. James C. Cope, Esq. (insider trading, 2016) SEC 2016-10-21 Insider Trading — settled
SEC v. Artis Capital Management, L.P. and Michael W. Harden (insider trading, 2016) SEC 2016-10-13 Insider Trading $2.6m settled
SEC v. Deutsche Bank Securities Inc. (analyst manipulation, 2016) SEC 2016-10-12 Analyst Manipulation $9.5m judgment
SEC v. Richard Weed, Coleman Flaherty III and Thomas Brazil (pump and dump, 2016) SEC 2016-10-04 Pump And Dump , Reverse Merger Schemes — judgment
SEC v. Ikenna Ikokwu and his firms (2016) SEC 2016-09-30 $80k judgment
SEC v. Jason W. Galanis, et al. (matched orders, 2016) SEC 2016-09-30 Matched Orders — settled
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 $3.3m judgment
SEC v. Marcus A. Luna, et al. (boiler rooms, 2016) SEC 2016-09-30 Boiler Rooms , Pump And Dump $15k judgment
SEC v. Vladimir Eydelman and Steven Metro (insider trading, 2016) SEC 2016-09-30 Insider Trading $1.2m settled
SEC v. Nino Coppero del Valle et al. (insider trading, 2016) SEC 2016-09-29 Insider Trading $113k settled
SEC v. Robert Gadimian (insider trading, 2016) SEC 2016-09-29 Insider Trading — settled
SEC v. Craig V. Sizer, and Miguel Mesa (boiler rooms, 2016) SEC 2016-09-28 Boiler Rooms — settled
SEC v. Jason A. Wallace (boiler rooms, 2016) SEC 2016-09-27 Boiler Rooms , Pump And Dump $435k judgment
SEC v. Frank P. Barucci (insider trading, 2016) SEC 2016-09-26 Insider Trading $31.3k settled
SEC v. Frank S. Barucci (insider trading, 2016) SEC 2016-09-26 Insider Trading $56k settled
SEC v. Syed A. Hashim (insider trading, 2016) SEC 2016-09-26 Insider Trading $35.7k settled
SEC v. Vijay S. Rajan (insider trading, 2016) SEC 2016-09-26 Insider Trading $27.9k settled