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
44
Total penalties
$26.6m
Median penalty
$160k
Largest
$10m
Criminal parallel
16%
Action Agency Filed Technique Penalty Status
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 (2013) SEC 2013-09-06 $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 — judgment
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 a/k/a 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, Young and Green (ponzi schemes, 2013) SEC 2013-08-02 Ponzi Schemes $780k 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 (2013) SEC 2013-06-11 $6m settled
SEC v. optionsXpress, Inc., Thomas E. Stern and Jonathan I. Feldman (Regulation SHO, 2013) SEC 2013-06-07 Naked Short Selling Debate $4.1m 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 (2013) SEC 2013-05-29 $10m settled
SEC v. Larry Michael Parrish (ponzi schemes, 2013) SEC 2013-05-24 Ponzi Schemes — settled
SEC v. Institutional Shareholder Services Inc. (2013) SEC 2013-05-23 $300k 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 — settled
SEC v. Banco Comercial Português, S.A. (unregistered distributions, 2013) SEC 2013-03-18 Unregistered Distributions $250k settled
SEC v. James S. Tagliaferri (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 (registration revocation, 2012) SEC 2012-06-25 — judgment
SEC v. Peter Emrich and others (2011) SEC 2011-12-30 — judgment
SEC v. Dohan + Company CPA and others (audit conduct, 2011) SEC 2011-06-27 — judgment
SEC v. David W. Baldt (insider trading, 2011) SEC 2011-04-21 Insider Trading — judgment
SEC v. David E. Zilkha (insider trading, 2011) SEC 2011-04-13 Insider Trading — judgment
SEC v. Lexington Resources, Inc. Atkins and others (unregistered distributions, 2009) SEC 2009-06-05 Unregistered Distributions — judgment
SEC v. Anthony C. Snell and Charles E. LeCroy (2007) SEC 2007-05-03 — dismissed
SEC v. James F. Glaza d/b/a Falcon Financial Services, Inc. (unregistered distributions, 2005) SEC 2005-07-21 Unregistered Distributions $110k judgment
SEC v. OTC Live, Inc. and Mark A. Suleymanov (unregistered distributions, 2004) SEC 2004-09-30 Unregistered Distributions — dismissed
SEC v. Lorsin, Inc. and others (unregistered distributions, 2004) SEC 2004-05-11 Unregistered Distributions — judgment