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
56
Total penalties
$8.4m
Median penalty
$141k
Largest
$2m
Criminal parallel
14%
Action Agency Filed Technique Penalty Status
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 — unknown
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
SEC v. PEAK6 Capital Management LLC (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $65k settled
SEC v. Philadelphia Financial Management of San Francisco, LLC (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $65k settled
SEC v. Polo Capital International Gestão de Recursos Ltda. (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $76k settled
SEC v. Soundpost Partners, LP (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $65k settled
SEC v. Southpoint Capital Advisors LP (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $170k settled
SEC v. Talkot Capital LLC (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $65k settled
SEC v. Vollero Beach Capital Partners LLC (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $215k settled
SEC v. War Chest Capital Partners LLC (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $130k settled
SEC v. Western Standard, LLC (rule 105 offering shorts, 2013) SEC 2013-09-16 Rule 105 Offering Shorts $65k settled
SEC v. David G. Bartholomew (ponzi schemes, 2013) SEC 2013-09-06 Ponzi Schemes — settled
SEC v. Lawrence D. Polizzotto (insider trading, 2013) SEC 2013-09-06 Insider Trading $50k settled
SEC v. Anthony John Johnson (ponzi schemes, 2013) SEC 2013-09-05 Ponzi Schemes — judgment
SEC v. Ricardo Bonilla Rojas (ponzi schemes, 2013) SEC 2013-09-04 Ponzi Schemes , Unregistered Distributions — unknown
SEC v. North East Capital and LLCand Anthony T. Vicidomine (unregistered distributions, 2013) SEC 2013-08-16 Unregistered Distributions $150k settled
SEC v. Joseph Hilton and Joseph Yurkin (boiler rooms, 2013) SEC 2013-08-09 Boiler Rooms , Unregistered Distributions — judgment
SEC v. New Horizon Publishing Inc. (boiler rooms, 2013) SEC 2013-08-09 Boiler Rooms — settled
SEC v. Bogar and others (ponzi schemes, 2013) SEC 2013-08-02 Ponzi Schemes — judgment
SEC v. ABN AMRO Bank, N.V. (unregistered distributions, 2013) SEC 2013-07-31 Unregistered Distributions $2m settled
SEC v. Jennifer E. Thoennes (ponzi schemes, 2013) SEC 2013-07-01 Ponzi Schemes $45k judgment
SEC v. Ward Onsa (ponzi schemes, 2013) SEC 2013-06-17 Ponzi Schemes — judgment
SEC v. Chicago Board Options Exchange and others (naked short selling debate, 2013) SEC 2013-06-11 Naked Short Selling Debate — settled
SEC v. optionsXpress, Inc. Stern and others (matched orders, 2013) SEC 2013-06-07 Matched Orders , Naked Short Selling Debate +1 — judgment
SEC v. UBS O’Connor, LLC (rule 105 offering shorts, 2013) SEC 2013-06-03 Rule 105 Offering Shorts $1.1m settled
SEC v. Scuderi Group, Inc. and Salvatore Scuderi (unregistered distributions, 2013) SEC 2013-05-30 Unregistered Distributions $100k settled
SEC v. NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC (naked short selling debate, 2013) SEC 2013-05-29 Naked Short Selling Debate — settled
SEC v. Larry Michael Parrish (ponzi schemes, 2013) SEC 2013-05-24 Ponzi Schemes — judgment
SEC v. Institutional Shareholder Services Inc. (insider trading, 2013) SEC 2013-05-23 Insider Trading — settled
SEC v. Patrick Merrill Brody (ponzi schemes, 2013) SEC 2013-05-22 Ponzi Schemes , Unregistered Distributions — judgment
SEC v. Scott Reiman (insider trading, 2013) SEC 2013-04-15 Insider Trading $398k settled
SEC v. Sean Nathan Healy (ponzi schemes, 2013) SEC 2013-04-08 Ponzi Schemes — unknown
SEC v. Banco Comercial Português, S.A. (unregistered distributions, 2013) SEC 2013-03-18 Unregistered Distributions $250k settled
SEC v. Tagliaferri and James S. (ponzi schemes, 2013) SEC 2013-02-21 Ponzi Schemes — judgment
SEC v. Ardsley Advisory Partners (rule 105 offering shorts, 2013) SEC 2013-02-05 Rule 105 Offering Shorts $253k settled
SEC v. Kris Chellam (insider trading, 2013) SEC 2013-01-10 Insider Trading — judgment
SEC v. Jetronic Industries, Inc. ( and others (custodianship shell hijacking, 2012) SEC 2012-06-25 Custodianship Shell Hijacking , Pump And Dump +1 — dismissed
SEC v. Peter Emrich and others (unregistered distributions, 2011) SEC 2011-12-30 Unregistered Distributions — dismissed
SEC v. Dohan + Company CPA and others (wash trading, 2011) SEC 2011-06-27 Wash Trading — dismissed
SEC v. David W. Baldt (insider trading, 2011) SEC 2011-04-21 Insider Trading — dismissed
SEC v. David E. Zilkha (insider trading, 2011) SEC 2011-04-13 Insider Trading $120k settled
SEC v. Lexington Resources, Inc. Atkins and others (unregistered distributions, 2009) SEC 2009-06-05 Unregistered Distributions — dismissed
SEC v. Anthony C. Snell and Charles E. LeCroy (insider trading, 2007) SEC 2007-05-03 Insider Trading — dismissed
SEC v. James F. Glaza d/b/a Falcon Financial Services, Inc. (unregistered distributions, 2005) SEC 2005-07-21 Unregistered Distributions — dismissed
SEC v. OTC Live, Inc. and Mark A. Suleymanov (paid stock promotion, 2004) SEC 2004-09-30 Paid Stock Promotion , Unregistered Distributions — dismissed
SEC v. Lorsin, Inc. and others (unregistered distributions, 2004) SEC 2004-05-11 Unregistered Distributions — judgment