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
$167m
Median penalty
$250k
Largest
$58.1m
Criminal parallel
27%
Action Agency Filed Technique Penalty Status
SEC v. Bonan Huang, et al. (insider trading, 2016) SEC 2016-02-26 Insider Trading $8.8m judgment
SEC v. Steven Fishoff, et al. (insider trading, 2016) SEC 2016-02-24 Insider Trading — judgment
SEC v. IBC Funds, LLC (unregistered distributions, 2016) SEC 2016-02-19 Unregistered Distributions $250k settled
SEC v. Nicholas A. Prezioso (insider trading, 2016) SEC 2016-02-19 Insider Trading $131k settled
SEC v. L&L Energy, Inc. and Dickson Lee, CPA (undisclosed control blocks, 2016) SEC 2016-02-17 Undisclosed Control Blocks $2.7m judgment
SEC v. Randy A. Hamdan and Oracle Consultants, LLC (fake press releases, 2016) SEC 2016-02-17 Fake Press Releases , Pump And Dump $150k judgment
SEC v. Zavodchiko et al. (hack to trade, 2016) SEC 2016-02-17 Hack To Trade $58.1m judgment
SEC v. Abdallah Fadel (insider trading, 2016) SEC 2016-02-10 Insider Trading $36k settled
SEC v. Jarrod L. Spector (insider trading, 2016) SEC 2016-02-09 Insider Trading $21.4k settled
SEC v. Scription Work Solutions, Inc. (undisclosed control blocks, 2016) SEC 2016-02-09 Undisclosed Control Blocks — judgment
SEC v. Robert M. Munakash, Carlos A. Rodriguez, and Marc Winters (insider trading, 2016) SEC 2016-02-08 Insider Trading $275k settled
SEC v. Vlad B. Spivak, et al. (insider trading, 2016) SEC 2016-01-27 Insider Trading $334k settled
SEC v. Marquis Properties, Deucher and Clatfelter (ponzi schemes, 2016) SEC 2016-01-19 Ponzi Schemes — settled
SEC v. Goldman, Sachs & Co. (naked short selling debate, 2016) SEC 2016-01-14 Naked Short Selling Debate $15m settled
SEC v. Reid A. Hackney, CPA (insider trading, 2016) SEC 2016-01-12 Insider Trading $48.1k settled
SEC v. Vivian S. Shields (insider trading, 2016) SEC 2016-01-04 Insider Trading $71.4k settled
SEC v. Bonan Huang, et al. (insider trading, 2015) SEC 2015-12-23 Insider Trading — judgment
SEC v. Michael J. Ling (marking the close, 2015) SEC 2015-12-23 Marking The Close , Matched Orders $100k judgment
SEC v. Danny E. Carpenter (insider trading, 2015) SEC 2015-12-22 Insider Trading $64.1k settled
SEC v. Morgan Stanley Investment Management Inc. and Sheila Huang (prearranged client cross trades, 2015) SEC 2015-12-22 $8.1m settled
SEC v. Traci J. Anderson, Timothy W. Carnahan and CYIOS Corporation (2015) SEC 2015-12-21 $450k judgment
SEC v. Eric E. Shear (insider trading, 2015) SEC 2015-12-18 Insider Trading $3k settled
SEC v. Edward Laborio and Jonathan Fraiman (boiler rooms, 2015) SEC 2015-12-16 Boiler Rooms $4m judgment
SEC v. Oxford City Football Club, Inc. and Thomas Anthony Guerriero (boiler rooms, 2015) SEC 2015-12-16 Boiler Rooms — settled
SEC v. Jehu Hand and Antonio Katz (pump and dump, 2015) SEC 2015-12-11 Pump And Dump , Unregistered Distributions — settled
SEC v. Jeffrey K. Skilling et al. (insider trading, 2015) SEC 2015-12-08 Insider Trading — judgment
SEC v. National Note of Utah and Wayne L. Palmer (ponzi schemes, 2015) SEC 2015-12-04 Ponzi Schemes $2m judgment
SEC v. Trudy R. Gilmond (ponzi schemes, 2015) SEC 2015-12-04 Ponzi Schemes — judgment
SEC v. Homero Joshua Garza, GAW Miners and ZenMiner (ponzi schemes, 2015) SEC 2015-12-01 Ponzi Schemes $2m settled
SEC v. Marwood Group Research, LLC (2015) SEC 2015-11-24 $375k settled
SEC v. Steven C. Watson (insider trading, 2015) SEC 2015-11-17 Insider Trading — settled
SEC v. James A. Torchia and Credit Nation Capital (ponzi schemes, 2015) SEC 2015-11-10 Ponzi Schemes $670k judgment
SEC v. Zhichen Zhou and Yannan Liu (insider trading, 2015) SEC 2015-11-10 Insider Trading $614k settled
SEC v. Abraxas J. Discala, Marc E. Wexler, Matthew A. Bell, Craig L. Josephberg, and Ira Shapiro (reverse merger schemes, 2015) SEC 2015-11-04 Reverse Merger Schemes , Unregistered Distributions — judgment
SEC v. Vlad B. Spivak, et al. (insider trading, 2015) SEC 2015-11-02 Insider Trading $334k settled
SEC v. William M. Apostelos and WMA Enterprises (ponzi schemes, 2015) SEC 2015-10-29 Ponzi Schemes — judgment
SEC v. Diverse Financial Corp., Dekel and Kandell (ponzi schemes, 2015) SEC 2015-10-28 Ponzi Schemes $545k settled
SEC v. Mary Beth Knight and Rebecca Norton (insider trading, 2015) SEC 2015-10-28 Insider Trading $25k judgment
SEC v. Summit Trust Company, Kevin and George Brown (ponzi schemes, 2015) SEC 2015-10-27 Ponzi Schemes $6.5m settled
SEC v. James N. Fry (2015) SEC 2015-10-26 — settled
SEC v. Joseph Catapano and Michael Piervinanzi (price manipulation, 2015) SEC 2015-10-26 Price Manipulation $54.4k judgment
SEC v. Vladimir Eydelman (insider trading, 2015) SEC 2015-10-23 Insider Trading $1.2m judgment
SEC v. Craig Danzig (unregistered distributions, 2015) SEC 2015-10-20 Unregistered Distributions — appealed
SEC v. Auriga Global Investors Sociedad De Valores S.A. (rule 105 offering shorts, 2015) SEC 2015-10-14 Rule 105 Offering Shorts $179k settled
SEC v. Harvest Capital Strategies LLC (rule 105 offering shorts, 2015) SEC 2015-10-14 Rule 105 Offering Shorts $65k settled
SEC v. J.P. Morgan Investment Management Inc. (rule 105 offering shorts, 2015) SEC 2015-10-14 Rule 105 Offering Shorts $365k settled
SEC v. Omega Advisors, Inc. (rule 105 offering shorts, 2015) SEC 2015-10-14 Rule 105 Offering Shorts $65k settled
SEC v. Sabby Management, LLC (rule 105 offering shorts, 2015) SEC 2015-10-14 Rule 105 Offering Shorts $91.7k settled
SEC v. War Chest Capital Partners LLC (rule 105 offering shorts, 2015) SEC 2015-10-14 Rule 105 Offering Shorts $150k settled
SEC v. Andrew Farmer, et al. (pump and dump, 2015) SEC 2015-10-09 Pump And Dump — judgment
SEC v. Francis J. van Steenberge and Nicolas Zanen (insider trading, 2015) SEC 2015-10-09 Insider Trading $400k judgment
SEC v. Allen Ross Smith (unregistered distributions, 2015) SEC 2015-10-08 Unregistered Distributions $43.3k judgment
SEC v. Briargate Trading, LLC and Eric Oscher (spoofing, 2015) SEC 2015-10-08 Spoofing $500k judgment
SEC v. Garfield Taylor, Jeffrey King and Gibraltar Asset Management (ponzi schemes, 2015) SEC 2015-10-08 Ponzi Schemes $1.6m judgment
SEC v. Wolverine Trading, LLC and Wolverine Asset Management, LLC (2015) SEC 2015-10-08 $375k settled
SEC v. Oscar Wu (insider trading, 2015) SEC 2015-10-07 Insider Trading — settled
SEC v. Commodore Financial Corp., et al. (boiler rooms, 2015) SEC 2015-10-01 Boiler Rooms , Unregistered Distributions — settled
SEC v. Saleem Khan et al. (insider trading, 2015) SEC 2015-10-01 Insider Trading — judgment
SEC v. Spencer Pharmaceutical Inc., Jean-François Amyot and others (pump and dump, 2015) SEC 2015-10-01 Pump And Dump — judgment
SEC v. David P. Godwin and Anthony G. Roth (financial statement fraud, 2015) SEC 2015-09-30 — judgment
SEC v. James Goodland and Securus Wealth Management, LLC (marking the close, 2015) SEC 2015-09-30 Marking The Close $30k settled
SEC v. Charles Riel III and REinvest LLC (2015) SEC 2015-09-29 $125k judgment
SEC v. Christopher Mire (insider trading, 2015) SEC 2015-09-29 Insider Trading $2.1k settled
SEC v. Eddie R. Leblanc (insider trading, 2015) SEC 2015-09-29 Insider Trading $15k settled
SEC v. Robert L. Spallina, et al. (insider trading, 2015) SEC 2015-09-28 Insider Trading $234k settled
SEC v. iShopNoMarkup.com, Inc. (unregistered distributions, 2015) SEC 2015-09-25 Unregistered Distributions $330k judgment
SEC v. Morando Berrettini, et al. (insider trading, 2015) SEC 2015-09-25 Insider Trading — judgment
SEC v. Jason W. Galanis (matched orders, 2015) SEC 2015-09-24 Matched Orders — settled
SEC v. Richard Condon, et al. (insider trading, 2015) SEC 2015-09-24 Insider Trading $58.3k judgment
SEC v. Idle Media, Inc. and Marcus Frasier (2015) SEC 2015-09-22 $100k settled
SEC v. Eric McPhail, et al. (insider trading, 2015) SEC 2015-09-21 Insider Trading $148k settled
SEC v. Frank Morelli III and Louis Buonocore (undisclosed control blocks, 2015) SEC 2015-09-21 Undisclosed Control Blocks , Pump And Dump +1 — settled
SEC v. Brian David Hall (naked short selling debate, 2015) SEC 2015-09-17 Naked Short Selling Debate — settled
SEC v. George Ivakhnik and The Mobile Star Corporation (fake press releases, 2015) SEC 2015-09-17 Fake Press Releases $150k settled
SEC v. Rudolfo DeLaSierra (naked short selling debate, 2015) SEC 2015-09-17 Naked Short Selling Debate — settled
SEC v. 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq. (fake press releases, 2015) SEC 2015-09-16 Fake Press Releases $6.5m judgment
SEC v. Dubovoy, et al. (hack to trade, 2015) SEC 2015-09-14 Hack To Trade — settled
SEC v. Marco Babini et al. (pump and dump, 2015) SEC 2015-09-14 Pump And Dump , Undisclosed Control Blocks — judgment
SEC v. Mogler, Hinkeldey, Polanchek, Buckley and Stevens (ponzi schemes, 2015) SEC 2015-09-11 Ponzi Schemes — judgment
SEC v. Joseph Paul Zada (ponzi schemes, 2015) SEC 2015-09-11 Ponzi Schemes — judgment
SEC v. Benjamin Wey, et al. (reverse merger schemes, 2015) SEC 2015-09-10 Reverse Merger Schemes , Undisclosed Control Blocks — dismissed
SEC v. Maher F. Kara, et al. (insider trading, 2015) SEC 2015-09-10 Insider Trading — judgment
SEC v. Bennett Group Financial Services, LLC and Dawn J. Bennett (2015) SEC 2015-09-09 $3.5m judgment
SEC v. John McEnery III et al. (insider trading, 2015) SEC 2015-09-09 Insider Trading $95.8k settled
SEC v. Timothy M. Roberts, Terrance F. Taylor, and Craig Constantinou (unregistered distributions, 2015) SEC 2015-09-09 Unregistered Distributions — settled
SEC v. Manny J. Shulman and David K. Hirschman (undisclosed control blocks, 2015) SEC 2015-09-08 Undisclosed Control Blocks $539k judgment
SEC v. Ditto Holdings, Inc. (Now Known as Sovestech and Inc.) (unregistered distributions, 2015) SEC 2015-09-08 Unregistered Distributions $50k settled
SEC v. Marc S. Mandel (unregistered distributions, 2015) SEC 2015-09-08 Unregistered Distributions — settled
SEC v. Donald E. Robar (insider trading, 2015) SEC 2015-09-04 Insider Trading $4.6k settled
SEC v. Robert A. Hanner (insider trading, 2015) SEC 2015-09-04 Insider Trading $20.8k settled
SEC v. Kevin McDonnell (undisclosed control blocks, 2015) SEC 2015-09-03 Undisclosed Control Blocks $7.5k settled
SEC v. Aronson, Aaron and Buonauro (ponzi schemes, 2015) SEC 2015-09-02 Ponzi Schemes $1.6m judgment
SEC v. Ashish Aggarwal, et al. (insider trading, 2015) SEC 2015-08-25 Insider Trading $18k settled
SEC v. Moshe Yehuda Dunoff (boiler rooms, 2015) SEC 2015-08-20 Boiler Rooms — settled
SEC v. Citigroup Global Markets, Inc. (2015) SEC 2015-08-19 $15m settled
SEC v. Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. (2015) SEC 2015-08-17 — settled
SEC v. Total Wealth Management and Jacob Keith Cooper (2015) SEC 2015-08-17 $780k judgment
SEC v. Cedric Cañas Maillard (insider trading, 2015) SEC 2015-08-13 Insider Trading $834k judgment
SEC v. Palladino and Viking Financial Group (ponzi schemes, 2015) SEC 2015-08-13 Ponzi Schemes — judgment
SEC v. Guggenheim Partners Investment Management, LLC (2015) SEC 2015-08-10 $20m settled