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
$27.6m
Median penalty
$75k
Largest
$7.5m
Criminal parallel
11%
Action Agency Filed Technique Penalty Status
SEC v. Michael S. Geist and Brent E. Taylor (insider trading, 2014) SEC 2014-11-12 Insider Trading $27.3k 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. Thomas and Delsa U. The D. Christopher Capital Management Group, LLC (ponzi schemes, 2014) SEC 2014-11-04 Ponzi Schemes $150k judgment
SEC v. Steven Durrelle Williams (insider trading, 2014) SEC 2014-11-04 Insider Trading $75k settled
SEC v. Quan and Marlon Stewardship Investment Advisors, LLC (ponzi schemes, 2014) SEC 2014-10-30 Ponzi Schemes — 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 — 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 judgment
SEC v. Athena Capital Research, LLC (options expiry pinning, 2014) SEC 2014-10-16 Options Expiry Pinning $1m settled
SEC v. Wolf and Judy K. (insider trading, 2014) SEC 2014-10-15 Insider Trading — settled
SEC v. E*Trade Securities, LLC and and G1 Execution Services, LLC (unregistered distributions, 2014) SEC 2014-10-09 Unregistered Distributions $1m settled
SEC v. Filip Szymik (insider trading, 2014) SEC 2014-09-30 Insider Trading $47.1k settled
SEC v. Peixoto and Jordan (insider trading, 2014) SEC 2014-09-30 Insider Trading — unknown
SEC v. David A. Roskein (insider trading, 2014) SEC 2014-09-23 Insider Trading — settled
SEC v. Wells Fargo Advisors, LLC (insider trading, 2014) SEC 2014-09-22 Insider Trading , Wash Trading — dismissed
SEC v. Ambassador Capital Management, LLC Oglesby and Derek H. (benchmark submission rigging, 2014) SEC 2014-09-19 Benchmark Submission Rigging — judgment
SEC v. Advent Capital Management, LLC (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts $65k settled
SEC v. Antipodean Advisors LLC (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts $65k settled
SEC v. Blackrock Institutional Trust Company, N.A. (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts $530k settled
SEC v. East Side Holdings II, Inc. (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts $130k settled
SEC v. Explorador Capital Management, LLC (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts $65k settled
SEC v. Formula Growth, Ltd. (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts $65k settled
SEC v. Great Point Partners, LLC (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts $65k settled
SEC v. Indaba Capital Management, L.P. (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts $97.4k settled
SEC v. Ironman Capital Management, LLC (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts $65k settled
SEC v. James C. Parsons (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts $67.8k settled
SEC v. Midwood Capital Management LLC (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts $65k settled
SEC v. Nob Hill Capital Management, Inc. (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts — settled
SEC v. RA Capital Management, LLC (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts $905k settled
SEC v. Rockwood Investment Management, Inc. (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts $72.1k settled
SEC v. Seawolf Capital, LLC (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts $96.4k settled
SEC v. Solus Alternative Asset Management LP (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts $65k settled
SEC v. Suttonbrook Capital Management LP (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts — settled
SEC v. Troubh Partners LP (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts $107k settled
SEC v. Vinci Partners Investimentos Ltda. (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts $142k settled
SEC v. Whitebox Advisors LLC (rule 105 offering shorts, 2014) SEC 2014-09-16 Rule 105 Offering Shorts $366k settled
SEC v. Advanced Cell Technology, Inc. (unregistered distributions, 2014) SEC 2014-09-10 Unregistered Distributions $375k settled
SEC v. Herbert Steven Fouke (churning, 2014) SEC 2014-08-29 Churning — judgment
SEC v. Timbervest, LLC Shapiro and others (insider trading, 2014) SEC 2014-08-20 Insider Trading — appealed
SEC v. Monness and others (front running, 2014) SEC 2014-08-20 Front Running , Insider Trading $150k settled
SEC v. LavaFlow, Inc. (naked short selling debate, 2014) SEC 2014-07-25 Naked Short Selling Debate $2.9m settled
SEC v. Erik H. Perry (reverse merger schemes, 2014) SEC 2014-07-16 Reverse Merger Schemes $75k judgment
SEC v. Carmela Brocco (rule 105 offering shorts, 2014) SEC 2014-07-02 Rule 105 Offering Shorts $129k settled
SEC v. Derek W. Bakarich (rule 105 offering shorts, 2014) SEC 2014-07-02 Rule 105 Offering Shorts $9.7k settled
SEC v. Steven J. Niemis (rule 105 offering shorts, 2014) SEC 2014-07-02 Rule 105 Offering Shorts $78.5k settled
SEC v. Tina M. Lizzio (rule 105 offering shorts, 2014) SEC 2014-07-02 Rule 105 Offering Shorts $17.3k settled
SEC v. William W. Vowell (rule 105 offering shorts, 2014) SEC 2014-07-02 Rule 105 Offering Shorts $30.9k settled
SEC v. unnamed respondents (insider trading, 2014) SEC 2014-06-27 Insider Trading $6.4m settled
SEC v. Montanino and David J. (ponzi schemes, 2014) SEC 2014-06-24 Ponzi Schemes — filed
SEC v. Diamond Lane, Inc. (undisclosed control blocks, 2014) SEC 2014-06-16 Undisclosed Control Blocks — unknown
SEC v. ShopEye, Inc. and others (undisclosed control blocks, 2014) SEC 2014-06-16 Undisclosed Control Blocks — unknown
SEC v. Sunchip Technology, Inc. (undisclosed control blocks, 2014) SEC 2014-06-16 Undisclosed Control Blocks — unknown
SEC v. Thomas E. Meade (insider trading, 2014) SEC 2014-06-11 Insider Trading $100k settled
SEC v. Erik T. Voorhees (unregistered distributions, 2014) SEC 2014-06-03 Unregistered Distributions — settled
SEC v. George Louis Theodule (ponzi schemes, 2014) SEC 2014-06-02 Ponzi Schemes $250k judgment
SEC v. Hegedus and Shawn C. (insider trading, 2014) SEC 2014-05-30 Insider Trading — unknown
SEC v. G-2 Trading LLC (rule 105 offering shorts, 2014) SEC 2014-05-22 Rule 105 Offering Shorts $75k settled
SEC v. Genesis Advisory Services Corp., ABJ Societe Anonyme Corp. and Bruce J. Fixelle (rule 105 offering shorts, 2014) SEC 2014-05-21 Rule 105 Offering Shorts $492k settled
SEC v. Ironbird Capital LLC (rule 105 offering shorts, 2014) SEC 2014-05-21 Rule 105 Offering Shorts — settled
SEC v. Delaney and others (naked short selling debate, 2014) SEC 2014-05-19 Naked Short Selling Debate — unknown
SEC v. Johnson and Michael H. (naked short selling debate, 2014) SEC 2014-05-19 Naked Short Selling Debate $125k settled
SEC v. Lindsey Alan Wetzig (naked short selling debate, 2014) SEC 2014-05-19 Naked Short Selling Debate — settled
SEC v. Daniels and others (fake press releases, 2014) SEC 2014-05-15 Fake Press Releases , Unregistered Distributions — dismissed
SEC v. Christopher D. Wiest (insider trading, 2014) SEC 2014-05-13 Insider Trading $56.3k settled
SEC v. New York Stock Exchange LLC and others (insider trading, 2014) SEC 2014-05-01 Insider Trading — settled
SEC v. Aharon R. Yehuda (insider trading, 2014) SEC 2014-04-25 Insider Trading — settled
SEC v. Oded Gabay (insider trading, 2014) SEC 2014-04-25 Insider Trading $22.2k settled
SEC v. Shimul A. Shah (insider trading, 2014) SEC 2014-04-25 Insider Trading — settled
SEC v. Suken A. Shah (insider trading, 2014) SEC 2014-04-25 Insider Trading $65k settled
SEC v. Chalmers and Julianne (ponzi schemes, 2014) SEC 2014-04-17 Ponzi Schemes , Unregistered Distributions — filed
SEC v. Empire Stock Transfer, Inc. and Patrick R. Mokros (undisclosed control blocks, 2014) SEC 2014-04-08 Undisclosed Control Blocks $50k settled
SEC v. Matthew J. Blevins (undisclosed control blocks, 2014) SEC 2014-04-08 Undisclosed Control Blocks $25k settled
SEC v. Visionary Trading LLC and others (layering, 2014) SEC 2014-04-04 Layering , Spoofing $100k settled
SEC v. Wilfred J. Halpern, CPA (insider trading, 2014) SEC 2014-03-19 Insider Trading $41k settled
SEC v. Coplan and Jenny E. (ponzi schemes, 2014) SEC 2014-03-18 Ponzi Schemes , Unregistered Distributions — filed
SEC v. Lions Gate Entertainment Corp. (insider trading, 2014) SEC 2014-03-13 Insider Trading $7.5m unknown
SEC v. Worldwide Capital, Inc. and Jeffrey W. Lynn (rule 105 offering shorts, 2014) SEC 2014-03-05 Rule 105 Offering Shorts $2.5m settled
SEC v. John W. Femenia (insider trading, 2014) SEC 2014-02-26 Insider Trading — unknown
SEC v. Timothy J. Geidel (ponzi schemes, 2014) SEC 2014-02-20 Ponzi Schemes — judgment
SEC v. Gonul Colak and Milen K. Kostov (naked short selling debate, 2014) SEC 2014-01-31 Naked Short Selling Debate $150k settled
SEC v. unnamed respondents (insider trading, 2014) SEC 2014-01-22 Insider Trading , Ponzi Schemes — dismissed
SEC v. Hicks and Richard D. (ponzi schemes, 2014) SEC 2014-01-14 Ponzi Schemes — settled
SEC v. Marcus S. Spillson (insider trading, 2014) SEC 2014-01-09 Insider Trading — settled
SEC v. Axius Holdings, LLC and Henry Robertelli (rule 105 offering shorts, 2014) SEC 2014-01-06 Rule 105 Offering Shorts $26k settled
SEC v. John Durrett (rule 105 offering shorts, 2014) SEC 2014-01-06 Rule 105 Offering Shorts $26k settled
SEC v. Frank Bluestein (ponzi schemes, 2013) SEC 2013-11-26 Ponzi Schemes — appealed
SEC v. Curt Kramer and others (unregistered distributions, 2013) SEC 2013-11-25 Unregistered Distributions — settled
SEC v. Martin and Julieann Palmer (ponzi schemes, 2013) SEC 2013-11-13 Ponzi Schemes — settled
SEC v. Bresner and others (churning, 2013) SEC 2013-11-08 Churning $5k settled
SEC v. Charles M. Raspa (price manipulation, 2013) SEC 2013-11-05 Price Manipulation — filed
SEC v. Steven Markowitz (price manipulation, 2013) SEC 2013-11-05 Price Manipulation — unknown
SEC v. Knight Capital Americas LLC (naked short selling debate, 2013) SEC 2013-10-16 Naked Short Selling Debate — settled
SEC v. Adam Troy Dooly (paid stock promotion, 2013) SEC 2013-09-30 Paid Stock Promotion , Ponzi Schemes $3k settled
SEC v. Scott London, CPA (insider trading, 2013) SEC 2013-09-27 Insider Trading — unknown
SEC v. TD Bank, N.A. (ponzi schemes, 2013) SEC 2013-09-23 Ponzi Schemes — dismissed
SEC v. Blackthorn Investment Group, LLC (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $260k settled
SEC v. Claritas Investment, Ltd. (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $65k settled