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
$63m
Median penalty
$97.4k
Largest
$15m
Criminal parallel
9%
Action Agency Filed Technique Penalty Status
SEC v. Judy K. Wolf (2014) SEC 2014-10-15 — dismissed
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. Jordan Peixoto (insider trading, 2014) SEC 2014-09-30 Insider Trading — dismissed
SEC v. David A. Roskein (insider trading, 2014) SEC 2014-09-23 Insider Trading $42.8k settled
SEC v. Wells Fargo Advisors, LLC (insider trading controls, 2014) SEC 2014-09-22 Insider Trading $5m settled
SEC v. Ambassador Capital Management, LLC and Derek H. Oglesby (2014) SEC 2014-09-19 $821k 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. (2014) SEC 2014-09-10 $375k settled
SEC v. Herbert Steven Fouke (2014) SEC 2014-08-29 — judgment
SEC v. Monness and others (2014) SEC 2014-08-20 $150k settled
SEC v. Timbervest, LLC Shapiro and others (2014) SEC 2014-08-20 — appealed
SEC v. LavaFlow, Inc. (2014) SEC 2014-07-25 $2.9m settled
SEC v. Erik H. Perry (undisclosed control blocks, 2014) SEC 2014-07-16 Undisclosed Control Blocks $150k settled
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. S.A.C. Capital Advisors, L.P. and affiliated entities (2014) SEC 2014-06-27 Insider Trading — settled
SEC v. Montanino and David J. (2014) SEC 2014-06-24 $25k judgment
SEC v. Diamond Lane, Inc. (undisclosed control blocks, 2014) SEC 2014-06-16 Undisclosed Control Blocks — judgment
SEC v. ShopEye, Inc. and others (undisclosed control blocks, 2014) SEC 2014-06-16 Undisclosed Control Blocks — judgment
SEC v. Sunchip Technology, Inc. (undisclosed control blocks, 2014) SEC 2014-06-16 Undisclosed Control Blocks — judgment
SEC v. Thomas E. Meade (2014) SEC 2014-06-11 $100k settled
SEC v. Erik T. Voorhees (unregistered distributions, 2014) SEC 2014-06-03 Unregistered Distributions $35k settled
SEC v. George Louis Theodule (ponzi schemes, 2014) SEC 2014-06-02 Ponzi Schemes $250k judgment
SEC v. Shawn C. Hegedus (insider trading, 2014) SEC 2014-05-30 Insider Trading — settled
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 Yancey (naked short selling debate, 2014) SEC 2014-05-19 Naked Short Selling Debate $20k judgment
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. Joseph P. Doxey and William J. Daniels (fake press releases, 2014) SEC 2014-05-15 Fake Press Releases , Unregistered Distributions — judgment
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 (2014) SEC 2014-05-01 $4.5m settled
SEC v. Aharon R. Yehuda (insider trading, 2014) SEC 2014-04-25 Insider Trading $20.7k 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 $22.4k 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 — dismissed
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, Lightspeed Trading LLC and five individuals (layering, 2014) SEC 2014-04-04 Layering , Spoofing $1m 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 — judgment
SEC v. Lions Gate Entertainment Corp. (2014) SEC 2014-03-13 $7.5m settled
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 — settled
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 $220k settled
SEC v. BDO China Dahua CPA Co., Ltd. and four other China-based audit firms (2014) SEC 2014-01-22 — judgment
SEC v. Richard D. Hicks (ponzi schemes, 2014) SEC 2014-01-14 Ponzi Schemes — settled
SEC v. Marcus S. Spillson (insider trading, 2014) SEC 2014-01-09 Insider Trading $155k 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. Julieann Palmer Martin (ponzi schemes, 2013) SEC 2013-11-13 Ponzi Schemes $1.1m judgment
SEC v. Michael Bresner, Ralph Calabro, Jason Konner and Dimitrios Koutsoubos (churning, 2013) SEC 2013-11-08 Churning $435k judgment
SEC v. Charles M. Raspa (price manipulation, 2013) SEC 2013-11-05 Price Manipulation — settled
SEC v. Steven Markowitz (price manipulation, 2013) SEC 2013-11-05 Price Manipulation — settled
SEC v. Knight Capital Americas LLC (2013) SEC 2013-10-16 $12m 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 — settled
SEC v. TD Bank, N.A. (2013) SEC 2013-09-23 $15m settled
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
SEC v. Credentia Group, LLC (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $65k settled
SEC v. D. E. Shaw & Co., L.P. (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $202k settled
SEC v. Deerfield Management Company, L.P. (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $609k settled
SEC v. G-2 Trading LLC (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $75k settled
SEC v. Hudson Bay Capital Management LP (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $272k settled
SEC v. JGP Global Gestão de Recursos Ltda. (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $514k settled
SEC v. M.S. Junior, Inc. (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $165k settled
SEC v. Manikay Partners LLC (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $680k settled
SEC v. Meru Capital Group, LP (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $131k settled
SEC v. Merus Capital Partners, LLC (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $65k settled
SEC v. Ontario Teachers’ Pension Plan Board (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $68.3k settled
SEC v. Pan Capital AB (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $221k settled