Market Manipulation. Search

SEC manipulation enforcement actions

This library records 1768 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
68
Total penalties
$4.1m
Median penalty
$133k
Largest
$1.6m
Criminal parallel
21%
Action Agency Filed Technique Penalty Status
SEC v. Matthew G. Teeple et al. Andrew Miller (insider trading, 2015) SEC 2015-06-12 Insider Trading $133k judgment
SEC v. Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd. (insider trading, 2015) SEC 2015-06-11 Insider Trading $193k judgment
SEC v. Spectrum Concepts, LLC Worswick and others (unregistered distributions, 2015) SEC 2015-06-11 Unregistered Distributions — 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 $39.6k settled
SEC v. Edmond L. Lonergan and Green Planet Group, Inc. (paid stock promotion, 2015) SEC 2015-06-02 Paid Stock Promotion — unknown
SEC v. Merrill Lynch (naked short selling debate, 2015) SEC 2015-06-01 Naked Short Selling Debate — filed
SEC v. Adam S. Gottbetter, Mitchell G. Adam, and K. David Stevenson (paid stock promotion, 2015) SEC 2015-05-28 Paid Stock Promotion — settled
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., et al. (reverse merger schemes, 2015) SEC 2015-05-20 Reverse Merger Schemes $575k judgment
SEC v. Mitchell J. Stein (wash trading, 2015) SEC 2015-05-15 Wash Trading — unknown
SEC v. Brian D. Jorgenson, et al. (insider trading, 2015) SEC 2015-05-14 Insider Trading — judgment
SEC v. North Dakota Developments, LLC, Robert L. Gavin, and Daniel J. Hogan, et. al. (ponzi schemes, 2015) SEC 2015-05-06 Ponzi Schemes — filed
SEC v. Xiaoyu Xia and Yanting Hu (insider trading, 2015) SEC 2015-04-29 Insider Trading — judgment
SEC v. Frank Perkins Hixon, Jr., et al. (insider trading, 2015) SEC 2015-04-28 Insider Trading — judgment
SEC v. Veros Partners, Inc., et al. (ponzi schemes, 2015) SEC 2015-04-24 Ponzi Schemes — filed
SEC v. Houston American Energy Corp. Terwilliger and others (paid stock promotion, 2015) SEC 2015-04-23 Paid Stock Promotion $22.5k settled
SEC v. Tracy Morgan Spaeth (unregistered distributions, 2015) SEC 2015-04-23 Unregistered Distributions — settled
SEC v. Joseph John Labadia (undisclosed control blocks, 2015) SEC 2015-04-17 Unregistered Distributions — settled
SEC v. Schalk and Russell C., Jr. (undisclosed control blocks, 2015) SEC 2015-04-17 Undisclosed Control Blocks $1.6m settled
SEC v. Daniel P. McKelvey, et al. (pump and dump, 2015) SEC 2015-04-16 Pump And Dump , Reverse Merger Schemes — settled
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 — unknown
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 — unknown
SEC v. Mieka Energy Corporation, et al. (paid stock promotion, 2015) SEC 2015-04-10 Paid Stock Promotion — filed
SEC v. Capital Financial Partners, LLC et al. (ponzi schemes, 2015) SEC 2015-04-07 Ponzi Schemes — unknown
SEC v. Team Resources, Inc., et al. (unregistered distributions, 2015) SEC 2015-04-06 Unregistered Distributions — settled
SEC v. David Craven et al. (pump and dump, 2015) SEC 2015-04-01 Pump And Dump , Wash Trading — filed
SEC v. Gregory W. Gray, Jr., et al. (ponzi schemes, 2015) SEC 2015-03-27 Ponzi Schemes — filed
SEC v. Anthony J. Ciabattoni (undisclosed control blocks, 2015) SEC 2015-03-13 Undisclosed Control Blocks — settled
SEC v. Berjaya Lottery Management (H.K.) Ltd. (undisclosed control blocks, 2015) SEC 2015-03-13 Undisclosed Control Blocks — settled
SEC v. Brian Potiker (undisclosed control blocks, 2015) SEC 2015-03-13 Undisclosed Control Blocks — settled
SEC v. Jane G. Ciabattoni (undisclosed control blocks, 2015) SEC 2015-03-13 Undisclosed Control Blocks — settled
SEC v. Shuipan Lin (undisclosed control blocks, 2015) SEC 2015-03-13 Undisclosed Control Blocks — settled
SEC v. SMP Investments I, LLC (undisclosed control blocks, 2015) SEC 2015-03-13 Undisclosed Control Blocks — settled
SEC v. The Ciabattoni Living Trust Dated August 17 and 2000 (undisclosed control blocks, 2015) SEC 2015-03-13 Undisclosed Control Blocks — settled
SEC v. William A. Houlihan (undisclosed control blocks, 2015) SEC 2015-03-13 Undisclosed Control Blocks — settled
SEC v. Bonan Huang and Nan Huang (insider trading, 2015) SEC 2015-03-10 Insider Trading — judgment
SEC v. Zeringue, et al. (insider trading, 2015) SEC 2015-03-06 Insider Trading — settled
SEC v. Gary Eugene Patterson, Esq. (undisclosed control blocks, 2015) SEC 2015-03-03 Undisclosed Control Blocks — settled
SEC v. Gary S. Williky (insider trading, 2015) SEC 2015-03-02 Insider Trading , Newsletter Scalping +3 — settled
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 (paid stock promotion, 2015) SEC 2015-02-23 Paid Stock Promotion , Ponzi Schemes — judgment
SEC v. Scott Zeringue and Jesse Roberts, III (insider trading, 2015) SEC 2015-02-19 Insider Trading $64k judgment
SEC v. Kristine L. Johnson, Troy A. Barnes, Work with Troy Barnes, Inc. (d/b/a) The Achieve Community, Defendants, and Achieve International, LLC, Relief Defendant (ponzi schemes, 2015) SEC 2015-02-18 Ponzi Schemes — unknown
SEC v. Steven B. Hart (insider trading, 2015) SEC 2015-02-18 Insider Trading — settled
SEC v. Caledonian Bank Ltd., et al. (unregistered distributions, 2015) SEC 2015-02-11 Unregistered Distributions — filed
SEC v. Hill and Charles L., Jr. (insider trading, 2015) SEC 2015-02-11 Insider Trading — unknown
SEC v. Mountain Share Transfer, LLC and Erik Sterling Nelson (undisclosed control blocks, 2015) SEC 2015-02-06 Undisclosed Control Blocks $10k settled
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 — judgment
SEC v. Phillip Cory Roberts (reverse merger schemes, 2015) SEC 2015-02-03 Reverse Merger Schemes — judgment
SEC v. Edwin Yoshihiro Fujinaga and MRI International, Inc., et al. (ponzi schemes, 2015) SEC 2015-01-30 Ponzi Schemes — judgment
SEC v. Francisco Illarramendi, et al. (ponzi schemes, 2015) SEC 2015-01-30 Ponzi Schemes — 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. Loren W. Holzhueter, et al. (ponzi schemes, 2015) SEC 2015-01-29 Ponzi Schemes — unknown
SEC v. Oppenheimer & Co. Inc. (pump and dump, 2015) SEC 2015-01-27 Pump And Dump , Unregistered Distributions — filed
SEC v. du Pasquier & Co., Inc. (naked short selling debate, 2015) SEC 2015-01-21 Naked Short Selling Debate — settled
SEC v. Frederic Elm f/k/a Frederic Elmaleh, et al. (ponzi schemes, 2015) SEC 2015-01-21 Ponzi Schemes — judgment
SEC v. Robert A. Ramsey, CPA (insider trading, 2015) SEC 2015-01-21 Insider Trading — settled
SEC v. Charles Irizarry (undisclosed control blocks, 2015) SEC 2015-01-15 Undisclosed Control Blocks — settled
SEC v. Stuart Carnie (undisclosed control blocks, 2015) SEC 2015-01-15 Undisclosed Control Blocks — settled
SEC v. Wayne Middleton (undisclosed control blocks, 2015) SEC 2015-01-15 Undisclosed Control Blocks — settled
SEC v. Aleksandr Milrud (layering, 2015) SEC 2015-01-13 Layering — judgment