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
$44.5m
Median penalty
$182k
Largest
$7.6m
Criminal parallel
37%
Action Agency Filed Technique Penalty Status
SEC v. Colin Whelehan and Sheren Tsai (insider trading, 2016) SEC 2016-09-22 Insider Trading $47.8k 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 $7.6m judgment
SEC v. Mark A. Jones (ponzi schemes, 2016) SEC 2016-09-20 Ponzi Schemes $160k judgment
SEC v. Cliffe R. Bodden (2016) SEC 2016-09-16 — settled
SEC v. Fusion Pharm, Inc. (undisclosed control blocks, 2016) SEC 2016-09-16 Undisclosed Control Blocks — settled
SEC v. Microcap Management LLC, Bayside Realty Holdings LLC and Meadpoint Venture Partners, LLC (undisclosed control blocks, 2016) SEC 2016-09-16 Undisclosed Control Blocks — settled
SEC v. William J. Sears (undisclosed control blocks, 2016) SEC 2016-09-16 Undisclosed Control Blocks — settled
SEC v. Tod A. Ditommaso, Esq. (undisclosed control blocks, 2016) SEC 2016-09-16 Undisclosed Control Blocks , Unregistered Distributions $1.5k settled
SEC v. Steven Metro (insider trading, 2016) SEC 2016-09-14 Insider Trading — judgment
SEC v. BOKF, NA (2016) SEC 2016-09-09 $600k settled
SEC v. Dennis W. Hamilton (insider trading, 2016) SEC 2016-09-07 Insider Trading $584k settled
SEC v. Contrarian Press, LLC, Scott S. Fraser, and Nathan Yeung (paid stock promotion, 2016) SEC 2016-09-06 Paid Stock Promotion $200k judgment
SEC v. Dennis Wayne Hamilton (insider trading, 2016) SEC 2016-08-30 Insider Trading $584k settled
SEC v. Cedric Cañas Maillard (insider trading, 2016) SEC 2016-08-24 Insider Trading $834k judgment
SEC v. Curtis A. Peterson (ponzi schemes, 2016) SEC 2016-08-23 Ponzi Schemes $7.5k settled
SEC v. Richard Weed, Coleman Flaherty III and Thomas Brazil (pump and dump, 2016) SEC 2016-08-23 Pump And Dump , Reverse Merger Schemes $150k judgment
SEC v. John W.R. Miller (2016) SEC 2016-08-22 $50k settled
SEC v. J. Patrick O'Neill and Robert H. Bray (insider trading, 2016) SEC 2016-08-18 Insider Trading — settled
SEC v. Sean Stewart (insider trading, 2016) SEC 2016-08-18 Insider Trading — settled
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 — settled
SEC v. Patrick Churchville and ClearPath Wealth Management (ponzi schemes, 2016) SEC 2016-08-05 Ponzi Schemes — judgment
SEC v. Edward J. Kosinski (insider trading, 2016) SEC 2016-08-04 Insider Trading — settled
SEC v. Dubovoy et al.: Leonid Momotok guilty plea (hack to trade, 2016) SEC 2016-08-04 Hack To Trade — settled
SEC v. Diane D. Dalmy, Esq. (unregistered distributions, 2016) SEC 2016-07-29 Unregistered Distributions — judgment
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 — judgment
SEC v. Traffic Monsoon and Charles Scoville (ponzi schemes, 2016) SEC 2016-07-26 Ponzi Schemes $2.4m judgment
SEC v. Yi Chen, CPA (insider trading, 2016) SEC 2016-07-26 Insider Trading $34.7k settled
SEC v. Thomas D. Melvin, et al. (insider trading, 2016) SEC 2016-07-25 Insider Trading $146k settled
SEC v. John Steven Blount (ponzi schemes, 2016) SEC 2016-07-22 Ponzi Schemes — settled
SEC v. Deven Sellers and Roland Barrera (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 $312k judgment
SEC v. Luis Martin-Caro Sanchez (2016) SEC 2016-07-05 — filed
SEC v. Andrew F. Kerr (insider trading, 2016) SEC 2016-06-29 Insider Trading — settled
SEC v. Chris Faulkner and others (Breitling Energy, 2016) SEC 2016-06-24 Price Manipulation , Marking The Close — settled
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 $26.7k settled
SEC v. StratoComm Corporation, et al. (unregistered distributions, 2016) SEC 2016-06-17 Unregistered Distributions $150k appealed
SEC v. Christopher Salis, Douglas Miller, Edward Miller, and Barrett Biehl (insider trading, 2016) SEC 2016-06-16 Insider Trading — settled
SEC v. 2 West, Inc. (rule 105 offering shorts, 2016) SEC 2016-06-14 Rule 105 Offering Shorts $707k settled
SEC v. Andrew K. Proctor, et al. (2016) SEC 2016-06-14 $5.3m 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 $150k settled
SEC v. Wayne L. Palmer (ponzi schemes, 2016) SEC 2016-06-13 Ponzi Schemes $1.1m judgment
SEC v. Gary C. Heath (Dynkowski penny stock manipulation, 2016) SEC 2016-06-09 Pump And Dump $83.2k judgment
SEC v. Guolin Ma (insider trading, 2016) SEC 2016-06-09 Insider Trading $367k settled
SEC v. Michael J. Maciocio and David P. Hobson (insider trading, 2016) SEC 2016-06-08 Insider Trading — settled
SEC v. Vinay Kumar Nevatia (2016) SEC 2016-06-07 $630k judgment
SEC v. Peter D. Nunan (insider trading, 2016) SEC 2016-06-03 Insider Trading $255k settled
SEC v. Jack Halperin (Spongetech pump and dump, 2016) SEC 2016-06-02 Pump And Dump $100k judgment
SEC v. Albert Fried & Company, LLC (2016) SEC 2016-06-01 $300k settled
SEC v. Steven V. McClatchey and Gary J. Pusey (insider trading, 2016) SEC 2016-06-01 Insider Trading — settled
SEC v. JSG Capital Investments, Gill and Rios (ponzi schemes, 2016) SEC 2016-05-31 Ponzi Schemes $5.7m settled
SEC v. Federated Global Investment Management Corp. (2016) SEC 2016-05-27 $1.5m settled
SEC v. Christopher R. Esposito, et al. (undisclosed control blocks, 2016) SEC 2016-05-26 Undisclosed Control Blocks , Unregistered Distributions $1.9m judgment
SEC v. David B. Kaplan and Synchronized Organizational Solutions (ponzi schemes, 2016) SEC 2016-05-19 Ponzi Schemes $300k settled
SEC v. John Patrick O'Neill (insider trading, 2016) SEC 2016-05-13 Insider Trading — judgment
SEC v. Imran Husain, et al. (shell factories, 2016) SEC 2016-05-12 Shell Factories — filed
SEC v. Louis Martin Blazer III (2016) SEC 2016-05-06 — settled
SEC v. Marquis Properties LLC, Chad Deucher and Richard Clatfelter (ponzi schemes, 2016) SEC 2016-05-05 Ponzi Schemes $130k settled
SEC v. Richard St. Julien et al. (paid stock promotion, 2016) SEC 2016-05-03 Paid Stock Promotion — settled
SEC v. Asher Z. Zwebner, Luke C. Zouvas and others (pump and dump, 2016) SEC 2016-04-26 Pump And Dump , Shell Factories $150k judgment
SEC v. Sky Capital LLC, Ross Mandell and others (boiler rooms, 2016) SEC 2016-04-22 Boiler Rooms — judgment
SEC v. Ener1, Inc. (2016) SEC 2016-04-19 $180k settled
SEC v. Ariel Quiros, William Stenger and Jay Peak (ponzi schemes, 2016) SEC 2016-04-14 Ponzi Schemes $1m settled
SEC v. John Afriyie (insider trading, 2016) SEC 2016-04-14 Insider Trading — unknown
SEC v. Town of Ramapo and others (municipal bond disclosure, 2016) SEC 2016-04-14 $362k judgment
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 (pump and dump, 2016) SEC 2016-04-07 Pump And Dump , Undisclosed Control Blocks $150k judgment
SEC v. Edward Laborio, et al. (boiler rooms, 2016) SEC 2016-04-07 Boiler Rooms — judgment
SEC v. Steve Pappas (2016) SEC 2016-04-05 $50k settled
SEC v. John Scott Clark (2016) SEC 2016-03-31 — settled
SEC v. Christopher M. Gibson (front running, 2016) SEC 2016-03-29 Front Running — dismissed
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 — judgment
SEC v. Canaccord Genuity Inc. (2016) SEC 2016-03-24 $100k settled
SEC v. Daniel Rivera, Matthew Rivera and Robbins Lane (ponzi schemes, 2016) SEC 2016-03-24 Ponzi Schemes $260k 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. Yue Han, et al. (insider trading, 2016) SEC 2016-03-16 Insider Trading — judgment
SEC v. Mark A. Jones (ponzi schemes, 2016) SEC 2016-03-15 Ponzi Schemes $160k judgment
SEC v. Royal Alliance Associates, Inc., SagePoint Financial, Inc. and FSC Securities Corporation (2016) SEC 2016-03-14 $7.5m settled
SEC v. Aequitas Management, LLC, et al. (ponzi schemes, 2016) SEC 2016-03-11 Ponzi Schemes — settled
SEC v. PTG Capital Partners LTD, et al. (sham tender offers, 2016) SEC 2016-03-11 EDGAR Filing Fraud , Sham Tender Offers $1.5m judgment
SEC v. Edwin Yoshihiro Fujinaga and MRI International, Inc., et al. (ponzi schemes, 2016) SEC 2016-03-09 Ponzi Schemes — judgment
SEC v. Delaney and Yancey (naked short selling debate, 2016) SEC 2016-03-07 Naked Short Selling Debate — judgment
SEC v. Daryl M. Payton, et al. (insider trading, 2016) SEC 2016-03-02 Insider Trading — judgment
SEC v. Craig N. Salamone (insider trading, 2016) SEC 2016-03-01 Insider Trading $4.7k settled
SEC v. Garfield M. Taylor (ponzi schemes, 2016) SEC 2016-03-01 Ponzi Schemes — judgment
SEC v. Zachary Zwerko and David L. Post (insider trading, 2016) SEC 2016-03-01 Insider Trading — judgment