Home / Cases / SEC / Page 15 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 $6.7m
Median penalty $100k
Largest $1.5m
Criminal parallel 40% Action Agency Filed Technique Penalty Status SEC v. Nino Coppero del Valle et al. (insider trading, 2016) SEC 2016-09-29 Insider Trading — filed SEC v. Robert Gadimian (insider trading, 2016) SEC 2016-09-29 Insider Trading — filed 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 , Paid Stock Promotion +1 — filed 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 SEC v. Colin Whelehan and Sheren Tsai (insider trading, 2016) SEC 2016-09-22 Insider Trading — settled SEC v. Frank Tamayo (insider trading, 2016) SEC 2016-09-21 Insider Trading — settled SEC v. Saleem Khan et al. (insider trading, 2016) SEC 2016-09-21 Insider Trading — judgment SEC v. Mark A. Jones (ponzi schemes, 2016) SEC 2016-09-20 Ponzi Schemes — unknown SEC v. Bodden and Cliffe R. (undisclosed control blocks, 2016) SEC 2016-09-16 Undisclosed Control Blocks — judgment SEC v. Fusion Pharm, Inc. (undisclosed control blocks, 2016) SEC 2016-09-16 Undisclosed Control Blocks — judgment SEC v. Microcap Management LLC Bayside Realty Holdings LLC Meadpoint Venture Partners, LLC (undisclosed control blocks, 2016) SEC 2016-09-16 Undisclosed Control Blocks — judgment SEC v. Sears and William J. (undisclosed control blocks, 2016) SEC 2016-09-16 Undisclosed Control Blocks — judgment SEC v. Tod A. Ditommaso, Esq. (undisclosed control blocks, 2016) SEC 2016-09-16 Undisclosed Control Blocks , Unregistered Distributions — unknown SEC v. Steven Metro (insider trading, 2016) SEC 2016-09-14 Insider Trading — unknown SEC v. BOKF, NA (ponzi schemes, 2016) SEC 2016-09-09 Ponzi Schemes $600k judgment SEC v. Dennis W. Hamilton (insider trading, 2016) SEC 2016-09-07 Insider Trading — filed SEC v. Contrarian Press, LLC, Scott S. Fraser, and Nathan Yeung (paid stock promotion, 2016) SEC 2016-09-06 Paid Stock Promotion — filed SEC v. Dennis Wayne Hamilton (insider trading, 2016) SEC 2016-08-30 Insider Trading — filed SEC v. Edward F. Panos, et al. (pump and dump, 2016) SEC 2016-08-25 Pump And Dump — unknown SEC v. Cedric Cañas Maillard (insider trading, 2016) SEC 2016-08-24 Insider Trading — judgment SEC v. Peterson and Curtis A. (ponzi schemes, 2016) SEC 2016-08-23 Ponzi Schemes $7.5k settled SEC v. Richard Weed et al. (pump and dump, 2016) SEC 2016-08-23 Pump And Dump , Reverse Merger Schemes — unknown SEC v. John W.R. Miller (reverse merger schemes, 2016) SEC 2016-08-22 Reverse Merger Schemes $50k settled SEC v. J. Patrick O'Neill and Robert H. Bray (insider trading, 2016) SEC 2016-08-18 Insider Trading — judgment SEC v. Sean Stewart (insider trading, 2016) SEC 2016-08-18 Insider Trading — filed SEC v. Damon M. Barnes and Cathy S. Barnes (ponzi schemes, 2016) SEC 2016-08-16 Ponzi Schemes — settled SEC v. Daniel J. Bean (ponzi schemes, 2016) SEC 2016-08-16 Ponzi Schemes $7.5k settled SEC v. Jeremy D. Barnes (ponzi schemes, 2016) SEC 2016-08-16 Ponzi Schemes — settled SEC v. John L. Shipley (ponzi schemes, 2016) SEC 2016-08-16 Ponzi Schemes $7.5k settled SEC v. Joshua M. Beauregard and Jennifer M. Beauregard (ponzi schemes, 2016) SEC 2016-08-16 Ponzi Schemes — settled SEC v. Paul T. Rampoldi , et al. (insider trading, 2016) SEC 2016-08-12 Insider Trading — filed SEC v. Patrick Churchville (ponzi schemes, 2016) SEC 2016-08-05 Ponzi Schemes — filed SEC v. Edward J. Kosinski (insider trading, 2016) SEC 2016-08-04 Insider Trading — filed SEC v. Dubovoy et al.: Leonid Momotok guilty plea (hack to trade, 2016) SEC 2016-08-04 Hack To Trade — filed SEC v. Diane D. Dalmy, Esq. (pump and dump, 2016) SEC 2016-07-29 Pump And Dump , Reverse Merger Schemes +1 — dismissed SEC v. Traffic Monsoon et al. (ponzi schemes, 2016) SEC 2016-07-28 Ponzi Schemes — filed SEC v. Jeffery A. McCollum and JNL Oilfield Instruments, LLC (ponzi schemes, 2016) SEC 2016-07-27 Ponzi Schemes $160k settled SEC v. Herbert K. Sudfeld, Jr. (insider trading, 2016) SEC 2016-07-26 Insider Trading — unknown SEC v. Yi Chen, CPA (insider trading, 2016) SEC 2016-07-26 Insider Trading — settled SEC v. Thomas D. Melvin, et al. (insider trading, 2016) SEC 2016-07-25 Insider Trading — judgment SEC v. Blount and John Steven (ponzi schemes, 2016) SEC 2016-07-22 Ponzi Schemes — unknown SEC v. Sellers and others (ponzi schemes, 2016) SEC 2016-07-14 Ponzi Schemes — judgment SEC v. Thomas W. Avent, Jr., Raymond J. Pirrello, Jr., and Lawrence J. Penna (insider trading, 2016) SEC 2016-07-08 Insider Trading — filed SEC v. Luis Martin-Caro Sanchez (insider trading, 2016) SEC 2016-07-05 Insider Trading — filed SEC v. Andrew F. Kerr (insider trading, 2016) SEC 2016-06-29 Insider Trading — filed SEC v. Chris Faulkner, et. al (price manipulation, 2016) SEC 2016-06-24 Price Manipulation — filed SEC v. Malcolm Segal (ponzi schemes, 2016) SEC 2016-06-24 Ponzi Schemes — judgment SEC v. Idris D. Mustapha (hijacked account ramping, 2016) SEC 2016-06-22 Hijacked Account Ramping — filed SEC v. Mitchell Brown (pump and dump, 2016) SEC 2016-06-21 Pump And Dump — judgment SEC v. James S. Hannon (insider trading, 2016) SEC 2016-06-20 Insider Trading — judgment SEC v. StratoComm Corporation, et al. (unregistered distributions, 2016) SEC 2016-06-17 Unregistered Distributions $100k appealed SEC v. Christopher Salis, Douglas Miller, Edward Miller, and Barrett Biehl (insider trading, 2016) SEC 2016-06-16 Insider Trading — filed SEC v. Andrew K. Proctor, et al. (pump and dump, 2016) SEC 2016-06-14 Pump And Dump $910k judgment SEC v. 2 West, Inc. (rule 105 offering shorts, 2016) SEC 2016-06-14 Rule 105 Offering Shorts $707k settled SEC v. Providence Financial Investments, Inc., Providence Fixed Income Fund, LLC, Jeffory Churchfield, and Jack Jarrell (unregistered distributions, 2016) SEC 2016-06-13 Unregistered Distributions — judgment SEC v. Wayne L. Palmer (ponzi schemes, 2016) SEC 2016-06-13 Ponzi Schemes $900k judgment SEC v. Dynkowski, et al. (pump and dump, 2016) SEC 2016-06-09 Pump And Dump $83.2k judgment SEC v. Guolin Ma (insider trading, 2016) SEC 2016-06-09 Insider Trading — settled SEC v. Michael J. Maciocio and David P. Hobson (insider trading, 2016) SEC 2016-06-08 Insider Trading — filed SEC v. Vinay Kumar Nevatia (naked short selling debate, 2016) SEC 2016-06-07 Naked Short Selling Debate — judgment SEC v. Richard Grossman (insider trading, 2016) SEC 2016-06-06 Insider Trading — judgment SEC v. Peter D. Nunan (insider trading, 2016) SEC 2016-06-03 Insider Trading $255k settled SEC v. Spongetech Delivery Systems, Inc., et al. (pump and dump, 2016) SEC 2016-06-02 Pump And Dump $100k judgment SEC v. Albert Fried & Company, LLC (paid stock promotion, 2016) SEC 2016-06-01 Pump And Dump $300k settled SEC v. Steven V. McClatchey and Gary J. Pusey (insider trading, 2016) SEC 2016-06-01 Insider Trading — judgment SEC v. JSG Capital Investments, LLC, et al. (ponzi schemes, 2016) SEC 2016-05-31 Ponzi Schemes — filed SEC v. David B. Kaplan, Esq., et al. (ponzi schemes, 2016) SEC 2016-05-27 Ponzi Schemes — unknown SEC v. Federated Global Investment Management Corp. (insider trading, 2016) SEC 2016-05-27 Insider Trading $1.5m settled SEC v. Christopher R. Esposito, et al. (paid stock promotion, 2016) SEC 2016-05-26 Paid Stock Promotion — filed SEC v. John Patrick O'Neill (insider trading, 2016) SEC 2016-05-13 Insider Trading — unknown SEC v. Imran Husain, et al. (paid stock promotion, 2016) SEC 2016-05-12 Paid Stock Promotion , Shell Factories — unknown SEC v. Louis Martin Blazer III (ponzi schemes, 2016) SEC 2016-05-06 Ponzi Schemes — settled SEC v. Marquis Properties LLC, Chad Deucher and Richard Clatfelter (ponzi schemes, 2016) SEC 2016-05-05 Ponzi Schemes — filed SEC v. Pranav V. Patel (paid stock promotion, 2016) SEC 2016-05-03 Paid Stock Promotion — unknown SEC v. Asher Z. Zwebner and Luke C. Zouvas, et al. (paid stock promotion, 2016) SEC 2016-04-26 Paid Stock Promotion , Pump And Dump — unknown SEC v. Robert Grabowski (boiler rooms, 2016) SEC 2016-04-22 Boiler Rooms — judgment SEC v. Ener1, Inc. (insider trading, 2016) SEC 2016-04-19 Insider Trading $100k settled SEC v. Ariel Quiros, et al. (ponzi schemes, 2016) SEC 2016-04-14 Ponzi Schemes — unknown SEC v. John Afriyie (insider trading, 2016) SEC 2016-04-14 Insider Trading — unknown SEC v. Town of Ramapo, et al. (wash trading, 2016) SEC 2016-04-14 Wash Trading — filed SEC v. Efim Aksanov (pump and dump, 2016) SEC 2016-04-12 Pump And Dump — judgment SEC v. William E. Mapp, III, et al. (paid stock promotion, 2016) SEC 2016-04-11 Paid Stock Promotion $200k settled SEC v. David Aubel and Robert Raffa (paid stock promotion, 2016) SEC 2016-04-07 Paid Stock Promotion — unknown SEC v. Edward Laborio, et al. (boiler rooms, 2016) SEC 2016-04-07 Boiler Rooms — judgment SEC v. Steve Pappas (reverse merger schemes, 2016) SEC 2016-04-05 Reverse Merger Schemes $50k judgment SEC v. John Scott Clark (ponzi schemes, 2016) SEC 2016-03-31 Ponzi Schemes — filed SEC v. Daniel Rivera, et al. (ponzi schemes, 2016) SEC 2016-03-30 Ponzi Schemes $160k judgment SEC v. Gibson and Christopher M. (front running, 2016) SEC 2016-03-29 Front Running — unknown SEC v. Tobin Smith, et al. (paid stock promotion, 2016) SEC 2016-03-29 Paid Stock Promotion $75k settled SEC v. Arcturus Corporation, et al. (unregistered distributions, 2016) SEC 2016-03-24 Unregistered Distributions — unknown SEC v. Canaccord Genuity Inc. (reverse merger schemes, 2016) SEC 2016-03-24 Reverse Merger Schemes — settled SEC v. Guy Gentile (paid stock promotion, 2016) SEC 2016-03-23 Paid Stock Promotion — filed SEC v. Gedrey Thompson (ponzi schemes, 2016) SEC 2016-03-21 Ponzi Schemes — judgment SEC v. John E. Hardy III (insider trading, 2016) SEC 2016-03-18 Insider Trading $184k settled SEC v. Eric J. Wolff (insider trading, 2016) SEC 2016-03-16 Insider Trading $87.6k settled SEC v. Mark A. Jones (ponzi schemes, 2016) SEC 2016-03-16 Ponzi Schemes — filed
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