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
$82.6m
Median penalty
$150k
Largest
$40m
Criminal parallel
33%
Action Agency Filed Technique Penalty Status
SEC v. First Xeris Corp. (undisclosed control blocks, 2015) SEC 2015-08-06 Undisclosed Control Blocks — settled
SEC v. Judy K. Wolf (2015) SEC 2015-08-05 — judgment
SEC v. Pamela S. Smith (2015) SEC 2015-07-30 — settled
SEC v. Timothy Patterson (2015) SEC 2015-07-30 — settled
SEC v. Stephen M. Coleman (2015) SEC 2015-07-29 — settled
SEC v. Donald L. Koch and Koch Asset Management, LLC (marking the close, 2015) SEC 2015-07-20 Marking The Close — judgment
SEC v. Michael R. Enea (ponzi schemes, 2015) SEC 2015-07-20 Ponzi Schemes — judgment
SEC v. Herbert K. Sudfeld, Jr., et al. (insider trading, 2015) SEC 2015-07-16 Insider Trading — settled
SEC v. Timothy J. McGee, et al. (insider trading, 2015) SEC 2015-07-15 Insider Trading — judgment
SEC v. Harold Bailey "B.J." Gallison II et al. (paid stock promotion, 2015) SEC 2015-07-14 Paid Stock Promotion , Pump And Dump — settled
SEC v. Oz Management, LP (rule 105 offering shorts, 2015) SEC 2015-07-14 Rule 105 Offering Shorts $4.3m settled
SEC v. Frank Tamayo (insider trading, 2015) SEC 2015-07-13 Insider Trading — settled
SEC v. Gerard Boudreault (insider trading, 2015) SEC 2015-07-10 Insider Trading $18.4k settled
SEC v. PTG Capital Partners LTD, et al. (sham tender offers, 2015) SEC 2015-07-10 EDGAR Filing Fraud , Sham Tender Offers $1.5m judgment
SEC v. Patrick Lehnert (insider trading, 2015) SEC 2015-07-09 Insider Trading $15.8k settled
SEC v. Luca International Group, Yang and others (ponzi schemes, 2015) SEC 2015-07-06 Ponzi Schemes $426k settled
SEC v. Malcolm Segal (ponzi schemes, 2015) SEC 2015-07-01 Ponzi Schemes — settled
SEC v. DFRF Enterprises, Filho and others (ponzi schemes, 2015) SEC 2015-06-30 Ponzi Schemes — judgment
SEC v. Peter Voutsas (undisclosed control blocks, 2015) SEC 2015-06-30 Undisclosed Control Blocks $50k settled
SEC v. Gregg R. Mulholland (unregistered distributions, 2015) SEC 2015-06-25 Unregistered Distributions , Undisclosed Control Blocks — settled
SEC v. Phil Donnahue Williamson (ponzi schemes, 2015) SEC 2015-06-23 Ponzi Schemes — settled
SEC v. Norstra Energy Inc., Glen Landry and Eric Dany (2015) SEC 2015-06-18 $45.1k settled
SEC v. Dimitry Braverman and Vitaly Pupynin (insider trading, 2015) SEC 2015-06-16 Insider Trading $204k judgment
SEC v. Equity Trust Company (2015) SEC 2015-06-16 — dismissed
SEC v. Helmut Anscheringer (insider trading, 2015) SEC 2015-06-15 Insider Trading $910k settled
SEC v. Capital Financial Partners, Allen and Daub: criminal charges (ponzi schemes, 2015) SEC 2015-06-12 Ponzi Schemes — settled
SEC v. Matthew G. Teeple et al. Andrew Miller (insider trading, 2015) SEC 2015-06-12 Insider Trading — judgment
SEC v. Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd. (insider trading, 2015) SEC 2015-06-11 Insider Trading , Rule 105 Offering Shorts $502k judgment
SEC v. Spectrum Concepts, LLC Worswick and others (unregistered distributions, 2015) SEC 2015-06-11 Unregistered Distributions $120k settled
SEC v. Michael J. Fefferman, Chad E. Wiegand, and Akis C. Eracleous (insider trading, 2015) SEC 2015-06-09 Insider Trading — settled
SEC v. Anthony Andrade, et al. (insider trading, 2015) SEC 2015-06-08 Insider Trading $150k settled
SEC v. Edmond L. Lonergan and Green Planet Group, Inc. (price manipulation, 2015) SEC 2015-06-02 Price Manipulation $25k settled
SEC v. Merrill Lynch (naked short selling debate, 2015) SEC 2015-06-01 Naked Short Selling Debate $9m settled
SEC v. Adam S. Gottbetter, Mitchell G. Adam, and K. David Stevenson (pump and dump, 2015) SEC 2015-05-28 Pump And Dump — settled
SEC v. Luis Chang and Everbright Development Overseas, Limited (sham tender offers, 2015) SEC 2015-05-28 Sham Tender Offers $2.9m judgment
SEC v. Mike Taxon and Itamar Cohen (paid stock promotion, 2015) SEC 2015-05-28 Paid Stock Promotion — settled
SEC v. China Valves Technology, Inc., Siping Fang and Renrui Tang (2015) SEC 2015-05-20 $690k judgment
SEC v. Brian D. Jorgenson, et al. (insider trading, 2015) SEC 2015-05-14 Insider Trading — judgment
SEC v. North Dakota Developments, Gavin and Hogan (ponzi schemes, 2015) SEC 2015-05-05 Ponzi Schemes $1m judgment
SEC v. Xiaoyu Xia and Yanting Hu (insider trading, 2015) SEC 2015-04-29 Insider Trading $750k settled
SEC v. Frank Perkins Hixon, Jr., et al. (insider trading, 2015) SEC 2015-04-28 Insider Trading $683k judgment
SEC v. Houston American Energy Corp., John F. Terwilliger, Undiscovered Equities, Inc. and Kevin T. McKnight (paid stock promotion, 2015) SEC 2015-04-23 Paid Stock Promotion $22.5k settled
SEC v. Tracy Morgan Spaeth (2015) SEC 2015-04-23 — settled
SEC v. Veros Partners, Haab, Risinger and Senefeld (ponzi schemes, 2015) SEC 2015-04-22 Ponzi Schemes — settled
SEC v. Joseph John Labadia (unregistered distributions, 2015) SEC 2015-04-17 Unregistered Distributions — settled
SEC v. Daniel P. McKelvey, Alvin S. Mirman, Steven Sanders and others (blank check shells, 2015) SEC 2015-04-16 Reverse Merger Schemes — judgment
SEC v. eCareer Holdings, Inc., eCareer, Inc., Joseph J. Azzata, Dean A. Esposito, Joseph DeVito, and Frederick J. Birks, et al. (boiler rooms, 2015) SEC 2015-04-16 Boiler Rooms — settled
SEC v. Edward T. Farmer (undisclosed control blocks, 2015) SEC 2015-04-16 Undisclosed Control Blocks — settled
SEC v. Kevin D. Miller (undisclosed control blocks, 2015) SEC 2015-04-16 Undisclosed Control Blocks — settled
SEC v. Ronald A. Warren (undisclosed control blocks, 2015) SEC 2015-04-16 Undisclosed Control Blocks — settled
SEC v. William J. Gaffney (undisclosed control blocks, 2015) SEC 2015-04-16 Undisclosed Control Blocks — settled
SEC v. James A. Evans, Jr., d/b/a Cashflowbot.com, d/b/a DollarMonster (ponzi schemes, 2015) SEC 2015-04-13 Ponzi Schemes $60k judgment
SEC v. Team Resources, Inc., et al. (unregistered distributions, 2015) SEC 2015-04-06 Unregistered Distributions — settled
SEC v. Capital Financial Partners, Allen and Daub (ponzi schemes, 2015) SEC 2015-04-01 Ponzi Schemes — judgment
SEC v. David Craven and Alexander J. Craven (pump and dump, 2015) SEC 2015-04-01 Pump And Dump , Wash Trading $4.9m judgment
SEC v. Gregory W. Gray, Jr., et al. (ponzi schemes, 2015) SEC 2015-03-27 Ponzi Schemes — settled
SEC v. Keypoint Capital Management, LLC (rule 105 offering shorts, 2015) SEC 2015-03-19 Rule 105 Offering Shorts $65k settled
SEC v. Randal Kent Hansen (ponzi schemes, 2015) SEC 2015-03-18 Ponzi Schemes — judgment
SEC v. David Craven and Alexander J. Craven (pump and dump, 2015) SEC 2015-03-12 Pump And Dump , Wash Trading — unknown
SEC v. Bonan Huang and Nan Huang (insider trading, 2015) SEC 2015-03-10 Insider Trading — judgment
SEC v. Julieann Palmer Martin (ponzi schemes, 2015) SEC 2015-03-09 Ponzi Schemes , Unregistered Distributions $1.1m judgment
SEC v. Zeringue, et al. (insider trading, 2015) SEC 2015-03-06 Insider Trading $64k settled
SEC v. Gary S. Williky (insider trading, 2015) SEC 2015-03-02 Insider Trading , Newsletter Scalping +2 $1.7m judgment
SEC v. Joseph A. Noel (pump and dump, 2015) SEC 2015-02-26 Pump And Dump — judgment
SEC v. Mark A. Lefkowitz, et al. (unregistered distributions, 2015) SEC 2015-02-24 Unregistered Distributions — judgment
SEC v. John A. Geringer and GLR Advisors (ponzi schemes, 2015) SEC 2015-02-23 Ponzi Schemes — settled
SEC v. Scott Zeringue and Jesse Roberts, III (insider trading, 2015) SEC 2015-02-19 Insider Trading $64k settled
SEC v. Steven B. Hart (2015) SEC 2015-02-18 — judgment
SEC v. Kristine L. Johnson, Troy A. Barnes and Work With Troy Barnes, Inc. (ponzi schemes, 2015) SEC 2015-02-12 Ponzi Schemes — settled
SEC v. Caledonian Bank Ltd., et al. (unregistered distributions, 2015) SEC 2015-02-11 Unregistered Distributions — judgment
SEC v. Hill and Charles L., Jr. (insider trading, 2015) SEC 2015-02-11 Insider Trading — unknown
SEC v. John Gray et al. (insider trading, 2015) SEC 2015-02-05 Insider Trading — settled
SEC v. Joel J. Epstein (insider trading, 2015) SEC 2015-02-03 Insider Trading $237k settled
SEC v. Phillip Cory Roberts (subpoena enforcement, 2015) SEC 2015-02-03 $10k settled
SEC v. Fujinaga and MRI International (ponzi schemes, 2015) SEC 2015-01-30 Ponzi Schemes $40m judgment
SEC v. Francisco Illarramendi, Highview Point, Michael Kenwood (ponzi schemes, 2015) SEC 2015-01-30 Ponzi Schemes $1m judgment
SEC v. Marlon Quan and Stewardship Investment Advisors, LLC (2015) SEC 2015-01-30 — judgment
SEC v. International Capital Group, LLC (reverse merger schemes, 2015) SEC 2015-01-29 Reverse Merger Schemes , Unregistered Distributions $1.5m settled
SEC v. Oppenheimer & Co. Inc. (unregistered distributions, 2015) SEC 2015-01-27 Unregistered Distributions $5.1m settled
SEC v. du Pasquier & Co., Inc. (2015) SEC 2015-01-21 $50k settled
SEC v. Loren W. Holzhueter and Insurance Service Center (ponzi schemes, 2015) SEC 2015-01-21 Ponzi Schemes — settled
SEC v. Robert A. Ramsey, CPA (insider trading, 2015) SEC 2015-01-21 Insider Trading $130k settled
SEC v. Gary Harrison Lane (ponzi schemes, 2015) SEC 2015-01-20 Ponzi Schemes — judgment
SEC v. Frederic Elm and Elm Tree Investment Advisors (ponzi schemes, 2015) SEC 2015-01-15 Ponzi Schemes $160k settled
SEC v. Aleksandr Milrud (layering, 2015) SEC 2015-01-13 Layering — settled
SEC v. Nicholas D. Skaltsounis (ponzi schemes, 2014) SEC 2014-12-31 Ponzi Schemes , Unregistered Distributions $1.5m judgment
SEC v. Robert A. Hemm (insider trading, 2014) SEC 2014-12-05 Insider Trading $21.8k settled
SEC v. Wedbush Securities Inc., Jeffrey Bell and Christina Fillhart (market access controls, 2014) SEC 2014-11-20 $25k settled
SEC v. Michael S. Geist and Brent E. Taylor (insider trading, 2014) SEC 2014-11-12 Insider Trading $121k settled
SEC v. Pennington Capital Management LLC and Robert J. Evans (rule 105 offering shorts, 2014) SEC 2014-11-12 Rule 105 Offering Shorts $65k settled
SEC v. Eureeca Capital SPC (unregistered distributions, 2014) SEC 2014-11-10 Unregistered Distributions $25k settled
SEC v. Steven Durrelle Williams (insider trading, 2014) SEC 2014-11-04 Insider Trading $75k settled
SEC v. Thomas and Delsa U. The D. Christopher Capital Management Group, LLC (ponzi schemes, 2014) SEC 2014-11-04 Ponzi Schemes $150k judgment
SEC v. Marlon Quan and Stewardship Investment Advisors, LLC (2014) SEC 2014-10-30 — judgment
SEC v. Eli D. Okman (churning, 2014) SEC 2014-10-28 Churning $32k settled
SEC v. Thrasos Tommy Petrou (rule 105 offering shorts, 2014) SEC 2014-10-27 Rule 105 Offering Shorts — settled
SEC v. Alicia Bryan (ponzi schemes, 2014) SEC 2014-10-22 Ponzi Schemes $150k judgment
SEC v. Armand R. Franquelin (ponzi schemes, 2014) SEC 2014-10-22 Ponzi Schemes , Unregistered Distributions — judgment
SEC v. Anthony Coronati and Bidtoask LLC (ponzi schemes, 2014) SEC 2014-10-17 Ponzi Schemes $100k settled
SEC v. Athena Capital Research, LLC (marking the close, 2014) SEC 2014-10-16 Marking The Close $1m settled