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
$35.7m
Median penalty
$91.7k
Largest
$15m
Criminal parallel
26%
Action Agency Filed Technique Penalty Status
SEC v. Yue Han, et al. (insider trading, 2016) SEC 2016-03-16 Insider Trading — judgment
SEC v. Royal Alliance Associates, Inc. and Sagepoint Financial, Inc. and Fsc Securities Corporation (churning, 2016) SEC 2016-03-14 Churning $7.5m settled
SEC v. Aequitas Management, LLC, et al. (ponzi schemes, 2016) SEC 2016-03-11 Ponzi Schemes — dismissed
SEC v. PTG Capital Partners LTD, et al. (sham tender offers, 2016) SEC 2016-03-11 EDGAR Filing Fraud , Sham Tender Offers — filed
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 others (naked short selling debate, 2016) SEC 2016-03-07 Naked Short Selling Debate — dismissed
SEC v. Daryl M. Payton, et al. (insider trading, 2016) SEC 2016-03-02 Insider Trading — filed
SEC v. Craig N. Salamone (insider trading, 2016) SEC 2016-03-01 Insider Trading $4.7k settled
SEC v. Zachary Zwerko and David L. Post (insider trading, 2016) SEC 2016-03-01 Insider Trading — judgment
SEC v. Garfield M. Taylor (ponzi schemes, 2016) SEC 2016-03-01 Ponzi Schemes — judgment
SEC v. Bonan Huang, et al. (insider trading, 2016) SEC 2016-02-26 Insider Trading — 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. 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. L&L Energy, Inc. and Dickson Lee, CPA (reverse merger schemes, 2016) SEC 2016-02-17 Reverse Merger Schemes $2.7m settled
SEC v. Zavodchiko et al. (hack to trade, 2016) SEC 2016-02-17 Hack To Trade — filed
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. ( and others (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 — filed
SEC v. Vlad B. Spivak, et al. (insider trading, 2016) SEC 2016-01-27 Insider Trading — judgment
SEC v. Marquis Properties, LLC (ponzi schemes, 2016) SEC 2016-01-21 Ponzi Schemes — unknown
SEC v. Goldman and 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 $39.2k settled
SEC v. Morgan Stanley Investment Management Inc. and Sheila Huang (matched orders, 2015) SEC 2015-12-22 Matched Orders $125k settled
SEC v. Traci J. Anderson, Timothy W. Carnahan and CYIOS Corporation (reverse merger schemes, 2015) SEC 2015-12-21 Reverse Merger Schemes $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 — filed
SEC v. Jessica Gilbertson (reverse merger schemes, 2015) SEC 2015-12-15 Reverse Merger Schemes — unknown
SEC v. Jehu Hand and Antonio Katz (paid stock promotion, 2015) SEC 2015-12-11 Paid Stock Promotion , Pump And Dump — filed
SEC v. Jeffrey K. Skilling et al. (insider trading, 2015) SEC 2015-12-08 Insider Trading — judgment
SEC v. Trudy R. Gilmond (ponzi schemes, 2015) SEC 2015-12-08 Ponzi Schemes — unknown
SEC v. National Note of Utah and Wayne L. Palmer (ponzi schemes, 2015) SEC 2015-12-04 Ponzi Schemes $1.1m unknown
SEC v. Homero Joshua Garza (ponzi schemes, 2015) SEC 2015-12-01 Ponzi Schemes — filed
SEC v. James A. Torchia et al. (ponzi schemes, 2015) SEC 2015-12-01 Ponzi Schemes — settled
SEC v. Marwood Group Research, LLC (insider trading, 2015) SEC 2015-11-24 Insider Trading $375k unknown
SEC v. Steven C. Watson (insider trading, 2015) SEC 2015-11-17 Insider Trading — settled
SEC v. Zhichen Zhou and Yannan Liu (insider trading, 2015) SEC 2015-11-10 Insider Trading — judgment
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 — settled
SEC v. William M. Apostelos, et al. (ponzi schemes, 2015) SEC 2015-10-30 Ponzi Schemes — unknown
SEC v. Diverse Financial Corp., et al. (ponzi schemes, 2015) SEC 2015-10-29 Ponzi Schemes — unknown
SEC v. Mary Beth Knight and Rebecca Norton (insider trading, 2015) SEC 2015-10-28 Insider Trading $25k judgment
SEC v. Summit Trust Company, et al. (ponzi schemes, 2015) SEC 2015-10-27 Ponzi Schemes — judgment
SEC v. James N. Fry (ponzi schemes, 2015) SEC 2015-10-26 Ponzi Schemes — settled
SEC v. Joseph Catapano and Michael Piervinanzi (paid stock promotion, 2015) SEC 2015-10-26 Paid Stock Promotion $44k 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 — unknown
SEC v. Francis J. van Steenberge and Nicolas Zanen (insider trading, 2015) SEC 2015-10-09 Insider Trading — judgment
SEC v. Allen Ross Smith (unregistered distributions, 2015) SEC 2015-10-08 Unregistered Distributions $43.3k judgment
SEC v. Briargate Trading, LLC and and Eric Oscher (spoofing, 2015) SEC 2015-10-08 Spoofing $350k judgment
SEC v. Garfield Taylor, Inc., et al. (ponzi schemes, 2015) SEC 2015-10-08 Ponzi Schemes $150k judgment
SEC v. Wolverine Trading, LLC and and Wolverine Asset Management, LLC (insider trading, 2015) SEC 2015-10-08 Insider Trading , Naked Short Selling Debate $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 — unknown
SEC v. Saleem Khan et al. (insider trading, 2015) SEC 2015-10-01 Insider Trading — judgment
SEC v. Spencer Pharmaceutical Inc., Jean-François Amyot, Maximilien Arella, Ian Morrice, IAB Media Inc., and Hilbroy Advisory Inc. (pump and dump, 2015) SEC 2015-10-01 Pump And Dump — judgment
SEC v. Charles Riel III and REinvest LLC (ponzi schemes, 2015) SEC 2015-09-30 Ponzi Schemes — filed
SEC v. David P. Godwin and Anthony G. Roth (wash trading, 2015) SEC 2015-09-30 Wash Trading — judgment
SEC v. James Goodland and Securus Wealth Management, LLC (marking the close, 2015) SEC 2015-09-30 Marking The Close , Reverse Merger Schemes $30k settled
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 $32.9k 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 — unknown
SEC v. Jason W. Galanis (matched orders, 2015) SEC 2015-09-24 Matched Orders — judgment
SEC v. Richard Condon, et al. (insider trading, 2015) SEC 2015-09-24 Insider Trading — filed
SEC v. Idle Media, Inc. and and Marcus Frasier (reverse merger schemes, 2015) SEC 2015-09-22 Reverse Merger Schemes $50k settled
SEC v. Eric McPhail, et al. (insider trading, 2015) SEC 2015-09-21 Insider Trading — settled
SEC v. Frank Morelli III and Louis Buonocore (paid stock promotion, 2015) SEC 2015-09-21 Paid Stock Promotion — filed
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 — filed
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 — judgment
SEC v. Jason Mogler, et al. (ponzi schemes, 2015) SEC 2015-09-15 Ponzi Schemes — filed
SEC v. Marco Babini et al. (paid stock promotion, 2015) SEC 2015-09-14 Paid Stock Promotion , Pump And Dump — judgment
SEC v. Dubovoy, et al. (hack to trade, 2015) SEC 2015-09-14 Hack To Trade — settled
SEC v. Joseph Paul Zada (ponzi schemes, 2015) SEC 2015-09-11 Ponzi Schemes — appealed
SEC v. Benjamin Wey, et al. (reverse merger schemes, 2015) SEC 2015-09-10 Reverse Merger Schemes — 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 Bennett and Dawn J. (churning, 2015) SEC 2015-09-09 Churning — unknown
SEC v. John McEnery III et al. (insider trading, 2015) SEC 2015-09-09 Insider Trading $64.2k settled
SEC v. Timothy M. Roberts, Terrance F. Taylor, and Craig Constantinou (unregistered distributions, 2015) SEC 2015-09-09 Unregistered Distributions — filed
SEC v. Caribbean Pacific Marketing, Inc. (reverse merger schemes, 2015) SEC 2015-09-08 Reverse Merger Schemes — settled
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