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: $6bn
Median penalty: $155k
Largest: $5.9bn
Criminal parallel: 26%

Action	Agency	Filed	Technique	Penalty	Status
SEC v. David J. Minson (insider trading, 2025)	SEC	2025-08-22	Insider Trading	$551k	settled
SEC v. Rouzbeh “Ross” Haghighat and others (insider trading, 2025)	SEC	2025-08-22	Insider Trading	—	filed
SEC v. Justin Chen and Jun Zhen (insider trading, 2025)	SEC	2025-08-21	Insider Trading	—	judgment
SEC v. Stock Purse Trading LLC and others (ponzi schemes, 2025)	SEC	2025-08-21	Ponzi Schemes	—	settled
SEC v. Brent Cranmer and others (insider trading, 2025)	SEC	2025-08-18	Insider Trading	$50k	settled
SEC v. Robert Alan Yedid, Andrew Kaufman, Mark Jacobs (insider trading, 2025)	SEC	2025-08-18	Insider Trading	—	settled
SEC v. Wendy Swensen (2025)	SEC	2025-08-18		—	judgment
SEC v. Ryan R. Wear and others (ponzi schemes, 2025)	SEC	2025-08-15	Ponzi Schemes	—	filed
SEC v. Bruce Cameron Conway (insider trading, 2025)	SEC	2025-08-11	Insider Trading	$161k	settled
SEC v. Ryan N. Cole (spoofing, 2025)	SEC	2025-08-11	Spoofing	$70.4k	settled
SEC v. Doron A. Tavlin, Afshin Farahan, and David Gantman (insider trading, 2025)	SEC	2025-08-06	Insider Trading	—	judgment
SEC v. Sourcerock Group, LLC (rule 105 offering shorts, 2025)	SEC	2025-08-04	Rule 105 Offering Shorts	$250k	settled
SEC v. Anthony Finale (insider trading, 2025)	SEC	2025-08-01	Insider Trading	$15k	settled
SEC v. Vincent Barbuto (insider trading, 2025)	SEC	2025-08-01	Insider Trading	$19.9k	settled
SEC v. Dishant Gupta (insider trading, 2025)	SEC	2025-07-30	Insider Trading	—	judgment
SEC v. Jose D. Rocha (ponzi schemes, 2025)	SEC	2025-07-30	Ponzi Schemes	—	judgment
SEC v. Brian M. Kashman (insider trading, 2025)	SEC	2025-07-22	Insider Trading	$77.7k	settled
SEC v. Edwin Brant Frost IV and First Liberty Building & Loan LLC (ponzi schemes, 2025)	SEC	2025-07-22	Ponzi Schemes	—	settled
SEC v. Edwin Emmett Lickiss, Jr. (ponzi schemes, 2025)	SEC	2025-07-22	Ponzi Schemes	—	filed
SEC v. Robert Brian Thompson (insider trading, 2025)	SEC	2025-07-21	Insider Trading	—	judgment
SEC v. Suyun Gu, et al. (wash trading, 2025)	SEC	2025-07-21	Wash Trading	$622k	judgment
SEC v. Eric J. Watson (insider trading, 2025)	SEC	2025-07-15	Insider Trading	—	filed
SEC v. Diana Mae Fernandez (2025)	SEC	2025-07-11		—	judgment
SEC v. Trijya Vakil and Neeraj Visen (insider trading, 2025)	SEC	2025-07-11	Insider Trading	—	settled
SEC v. William A. Justice, Keith A. Rosenbaum, Brian D. Shibley, and Randell R. Torno (pump and dump, 2025)	SEC	2025-07-10	Pump And Dump	$70k	judgment
SEC v. Eduardo Hernandez (free riding and parking, 2025)	SEC	2025-07-03	Free Riding And Parking , Matched Orders	—	judgment
SEC v. Benjamin Ballout and Mohamed Zayed (pump and dump, 2025)	SEC	2025-06-20	Pump And Dump	$922k	judgment
SEC v. Ongkaruck Sripetch and others (pump and dump, 2025)	SEC	2025-06-20	Pump And Dump , Unregistered Distributions	$204k	judgment
SEC v. Peter Scalise III and The3rdBevco Inc. (unregistered distributions, 2025)	SEC	2025-06-17	Unregistered Distributions	$236k	settled
SEC v. Jack Brewer (insider trading, 2025)	SEC	2025-06-10	Insider Trading	—	filed
SEC v. Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod’s Cranium, Inc. (paid stock promotion, 2025)	SEC	2025-06-06	Paid Stock Promotion	$4.1m	judgment
SEC v. Kronus Financial Corporation, Finser International Corporation, Andrew H. Jacobus (ponzi schemes, 2025)	SEC	2025-05-29	Ponzi Schemes	—	filed
SEC v. Christopher Aubin and others (ponzi schemes, 2025)	SEC	2025-05-27	Ponzi Schemes	—	filed
SEC v. Joel J. Natario and Jefferson Scott Baker (ponzi schemes, 2025)	SEC	2025-05-23	Ponzi Schemes	—	settled
SEC v. Kenneth Mattson and Relief Defendant KS Mattson Partners LP (ponzi schemes, 2025)	SEC	2025-05-23	Ponzi Schemes	—	filed
SEC v. Kenneth W. Alexander II and others (ponzi schemes, 2025)	SEC	2025-05-02	Ponzi Schemes	—	filed
SEC v. Jenni Yoon Jeong Lee and Evergreen Property Developments LLC (ponzi schemes, 2025)	SEC	2025-04-30	Ponzi Schemes	—	judgment
SEC v. Ramil Ventura Palafox (ponzi schemes, 2025)	SEC	2025-04-29	Ponzi Schemes	—	filed
SEC v. CLS Global FZC LLC (paid crypto market making, 2025)	SEC	2025-04-17	Paid Crypto Market Making	$425k	judgment
SEC v. Mark A. Miller, Saeid Jaberian and Christopher J. Rajkaran (pump and dump, 2025)	SEC	2025-04-17	Pump And Dump	—	judgment
SEC v. Milan V. Patel (false rumors, 2025)	SEC	2025-04-11	False Rumors	—	judgment
SEC v. Eamma Safi and Zhi Ge a/k/a Josh Ge (insider trading, 2025)	SEC	2025-03-14	Insider Trading	—	filed
SEC v. Ronald Pallek (2025)	SEC	2025-03-11		—	settled
SEC v. George N. Demos (insider trading, 2025)	SEC	2025-03-10	Insider Trading	—	settled
SEC v. Rey D. Acosta (free riding and parking, 2025)	SEC	2025-03-06	Free Riding And Parking	$15k	judgment
SEC v. Jeffrey Suchecki (insider trading, 2025)	SEC	2025-03-04	Insider Trading	$64.6k	settled
SEC v. Robert Allen Stanford and others (ponzi schemes, 2025)	SEC	2025-02-24	Ponzi Schemes	$5.9bn	judgment
SEC v. Thurman P. Bryant, III and others (ponzi schemes, 2025)	SEC	2025-02-20	Ponzi Schemes	—	judgment
SEC v. Charlie Jinan Chen (insider trading, 2025)	SEC	2025-02-13	Insider Trading	$893k	judgment
SEC v. Anthony Marsico and others (insider trading, 2025)	SEC	2025-02-10	Insider Trading	—	filed
SEC v. Airborne Wireless Network and others (pump and dump, 2025)	SEC	2025-02-07	Pump And Dump , Undisclosed Control Blocks	$22.6m	judgment
SEC v. Frank T. Poerio, Jr. (insider trading, 2025)	SEC	2025-02-06	Insider Trading	—	judgment
SEC v. Andre Wong (insider trading, 2025)	SEC	2025-02-04	Insider Trading	$93.9k	judgment
SEC v. John A. Heropoulos (insider trading, 2025)	SEC	2025-01-24	Insider Trading	$60.6k	settled
SEC v. Kenneth G. Miccio (insider trading, 2025)	SEC	2025-01-24	Insider Trading	$10k	settled
SEC v. Gabriel Rebeiz (insider trading, 2025)	SEC	2025-01-22	Insider Trading	$361k	settled
SEC v. Barry A. Ruffalo (insider trading, 2025)	SEC	2025-01-17	Insider Trading	$123k	settled
SEC v. Investview, Inc. (unregistered distributions, 2025)	SEC	2025-01-17	Unregistered Distributions	$375k	settled
SEC v. Naufal Sanaullah (2025)	SEC	2025-01-17		—	settled
SEC v. Robert L. Ruffalo and others (insider trading, 2025)	SEC	2025-01-17	Insider Trading	$70.9k	settled
SEC v. William R. Ruffalo (insider trading, 2025)	SEC	2025-01-17	Insider Trading	$108k	settled
SEC v. Eric Zhu (rug pulls, 2025)	SEC	2025-01-16	Rug Pulls	$150k	settled
SEC v. Hari Prasad Sure, et al. (insider trading, 2025)	SEC	2025-01-14	Insider Trading	—	judgment
SEC v. Alfred V. Tobia, Jr. and Elizabeth Lee (insider trading, 2025)	SEC	2025-01-13	Insider Trading	$1.4m	settled
SEC v. Robinhood Financial LLC and Robinhood Securities, LLC (naked short selling debate, 2025)	SEC	2025-01-13	Naked Short Selling Debate	$45m	settled
SEC v. SpeedRoute LLC (suspicious activity reporting, 2025)	SEC	2025-01-10		$600k	settled
SEC v. Joseph M. Dupont and others (insider trading, 2025)	SEC	2025-01-03	Insider Trading	$36k	judgment
SEC v. Dale B. Chappell, et al. (insider trading, 2024)	SEC	2024-12-30	Insider Trading	—	filed
SEC v. Silver Point Capital, L.P. (2024)	SEC	2024-12-20		—	dismissed
SEC v. Tai Mo Shan Limited (unregistered distributions, 2024)	SEC	2024-12-20	Unregistered Distributions	$36.7m	settled
SEC v. Curt L Dewitz (insider trading, 2024)	SEC	2024-12-19	Insider Trading	$70.4k	settled
SEC v. Ronald Bauer and seven others (pump and dump, 2024)	SEC	2024-12-19	Pump And Dump	$1m	judgment
SEC v. Snow Lake Capital (HK) Limited (rule 105 offering shorts, 2024)	SEC	2024-12-19	Rule 105 Offering Shorts	$525k	settled
SEC v. Ken Peterman (insider trading, 2024)	SEC	2024-12-18	Insider Trading	—	filed
SEC v. Sai-Hong Ignatius Ou (insider trading, 2024)	SEC	2024-12-18	Insider Trading	$1.5m	settled
SEC v. SogoTrade, Inc. (2024)	SEC	2024-12-17		$125k	settled
SEC v. Zachary Stevenson (spoofing, 2024)	SEC	2024-12-13	Spoofing	$150k	settled
SEC v. Frederick Tayton Dencer, Luke Abelard Dencer and others (2024)	SEC	2024-12-11		—	filed
SEC v. John S. Clayton and others (insider trading, 2024)	SEC	2024-12-11	Insider Trading , Paid Stock Promotion	—	filed
SEC v. David Banister, et al. (social media ramps, 2024)	SEC	2024-12-10	Social Media Ramps	—	filed
SEC v. David C. Underwood (unregistered distributions, 2024)	SEC	2024-12-09	Unregistered Distributions	$50k	settled
SEC v. Marc J. Toomey (unregistered distributions, 2024)	SEC	2024-12-09	Unregistered Distributions	$50k	settled
SEC v. Stephen R. Bishop (unregistered distributions, 2024)	SEC	2024-12-09	Unregistered Distributions	—	settled
SEC v. Jordan Qsar, Grant Witherspoon, Austin Bernard, and Chase Lambert (insider trading, 2024)	SEC	2024-12-05	Insider Trading	$198k	judgment
SEC v. Dow Rockwell LLC and Richard Dow Rockwell (2024)	SEC	2024-12-03		$80k	judgment
SEC v. FiveT Capital AG (rule 105 offering shorts, 2024)	SEC	2024-11-26	Rule 105 Offering Shorts	$805k	settled
SEC v. Lightspeed Financial Services Group LLC (suspicious activity reporting, 2024)	SEC	2024-11-22		$75k	settled
SEC v. Paulson Investment Company LLC (suspicious activity reporting, 2024)	SEC	2024-11-22		$75k	settled
SEC v. Webull Financial LLC (2024)	SEC	2024-11-22		$125k	settled
SEC v. Timothy Page, Trevor Page and others (boiler rooms, 2024)	SEC	2024-11-20	Boiler Rooms , Undisclosed Control Blocks	$7.7m	judgment
SEC v. Robert Brian Thompson (insider trading, 2024)	SEC	2024-11-19	Insider Trading	—	settled
SEC v. Epic Capital Wealth Advisors, LLC (2024)	SEC	2024-11-08		—	judgment
SEC v. Carlos Sacanell (insider trading, 2024)	SEC	2024-10-31	Insider Trading	—	filed
SEC v. Dusan Varga and Pannon Investment Advisors LLC (ponzi schemes, 2024)	SEC	2024-10-31	Ponzi Schemes	—	settled
SEC v. Unisys Corporation (2024)	SEC	2024-10-22		$4m	settled
SEC v. Brian Quinn and David Skriloff (Environmental Packaging, 2024)	SEC	2024-10-18	Reverse Merger Schemes , Undisclosed Control Blocks	$461k	judgment
SEC v. Ruimin Xie (insider trading, 2024)	SEC	2024-10-17	Insider Trading	$59.4k	settled
SEC v. Umapathi Kakkera (insider trading, 2024)	SEC	2024-10-17	Insider Trading	$206k	settled
SEC v. Baris Cabalar (churning, 2024)	SEC	2024-10-16	Churning	—	filed
SEC v. Matthew Groom (insider trading, 2024)	SEC	2024-10-15	Insider Trading	$12.9k	settled