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
$37.6m
Median penalty
$183k
Largest
$6.5m
Criminal parallel
25%
Action Agency Filed Technique Penalty Status
SEC v. CLS Global FZC LLC and Andrey Zhorzhes (paid crypto market making, 2024) SEC 2024-10-09 Paid Crypto Market Making $425k settled
SEC v. Gotbit Consulting LLC a/k/a Gotbit Hedge Fund and Fedor Kedrov (paid crypto market making, 2024) SEC 2024-10-09 Paid Crypto Market Making , Wash Trading — unknown
SEC v. Minerco, Inc., Bobby Shumake Japhia, and Julius Makiri Jenge (pump and dump, 2024) SEC 2024-10-09 Pump And Dump — settled
SEC v. Russell Armand, Maxwell Hernandez, Manpreet Singh Kohli, and Nam Tran (paid crypto market making, 2024) SEC 2024-10-09 Paid Crypto Market Making — settled
SEC v. Vy Pham (paid crypto market making, 2024) SEC 2024-10-09 Paid Crypto Market Making — settled
SEC v. ZM Quant Investment Ltd., Baijun Ou a/k/a Eric Ou, and Ruiqi Lau a/k/a Ricky Liu (paid crypto market making, 2024) SEC 2024-10-09 Paid Crypto Market Making , Wash Trading — unknown
SEC v. Barry Siegel (insider trading, 2024) SEC 2024-10-01 Insider Trading $113k judgment
SEC v. Marathon Asset Management, LP (2024) SEC 2024-09-30 $1.5m settled
SEC v. TD Securities (USA) LLC (spoofing, 2024) SEC 2024-09-30 Spoofing $6.5m settled
SEC v. Austin Kauh (insider trading, 2024) SEC 2024-09-27 Insider Trading $30.3k settled
SEC v. Eric Hannelius (insider trading, 2024) SEC 2024-09-27 Insider Trading $168k settled
SEC v. Mango Labs, LLC, Mango DAO, and Blockworks Foundation (unregistered distributions, 2024) SEC 2024-09-27 Unregistered Distributions — settled
SEC v. Marco Babini, et al. (price manipulation, 2024) SEC 2024-09-27 Price Manipulation — judgment
SEC v. Robert B. Westbrook (hack to trade, 2024) SEC 2024-09-27 Hack To Trade , Insider Trading — filed
SEC v. Bhardwaj et al. (insider trading, 2024) SEC 2024-09-26 Insider Trading — judgment
SEC v. Bryan Scott McMillan (insider trading, 2024) SEC 2024-09-26 Insider Trading $122k settled
SEC v. Karina N. Fernandez and others (ponzi schemes, 2024) SEC 2024-09-26 Ponzi Schemes — judgment
SEC v. Eric J. Watson et al. (insider trading, 2024) SEC 2024-09-24 Insider Trading $75k judgment
SEC v. Benjamin Ballout, Mohamed Zayed, and William Fielding (pump and dump, 2024) SEC 2024-09-23 Pump And Dump $922k judgment
SEC v. Centerline Investment Management Limited (rule 105 offering shorts, 2024) SEC 2024-09-23 Rule 105 Offering Shorts $112k settled
SEC v. Abraxas J. DiScala (pump and dump, 2024) SEC 2024-09-20 Pump And Dump , Unregistered Distributions — judgment
SEC v. Newpoint Financial Corp., Keith D. Beekmeyer and Andrew M. Bye (2024) SEC 2024-09-20 $300k settled
SEC v. Philip Markin (insider trading, 2024) SEC 2024-09-19 Insider Trading $32.7k settled
SEC v. Rari Capital Infrastructure LLC (unregistered distributions, 2024) SEC 2024-09-18 Unregistered Distributions — settled
SEC v. Gates Capital Management, Inc. (rule 105 offering shorts, 2024) SEC 2024-09-17 Rule 105 Offering Shorts $57.6k settled
SEC v. Joel David Castro Leon and Shmuel A. Sherr (spoofing, 2024) SEC 2024-09-17 Spoofing $139k settled
SEC v. NanoBit Limited, Radiant Horizons Limited, Sweet Karma Fashion Inc., Zhao Tropical Deli Inc., Jiajie Liu, Fei Liao, and Hua Zhao (2024) SEC 2024-09-17 $4.8m judgment
SEC v. Federico Nannini, Mauro Nannini, Alejandro Thermiotis, and Francisco Tonarely (insider trading, 2024) SEC 2024-09-16 Insider Trading — settled
SEC v. Flyfish Club, LLC (unregistered distributions, 2024) SEC 2024-09-16 Unregistered Distributions $750k settled
SEC v. Anthony Guarino (2024) SEC 2024-09-12 $100k settled
SEC v. Dishant Gupta (insider trading, 2024) SEC 2024-09-10 Insider Trading — settled
SEC v. Hunter Haithcock (ponzi schemes, 2024) SEC 2024-09-09 Ponzi Schemes — filed
SEC v. James M. Phillips (insider trading, 2024) SEC 2024-09-09 Insider Trading $63.2k settled
SEC v. Matthew P. Forlano (insider trading, 2024) SEC 2024-09-09 Insider Trading $18.2k settled
SEC v. Esmark Inc. and James P. Bouchard (sham tender offers, 2024) SEC 2024-09-06 Sham Tender Offers $600k settled
SEC v. Chanon Gordon (2024) SEC 2024-09-03 $25k settled
SEC v. Drew Morgan Ciccarelli (pump and dump, 2024) SEC 2024-08-30 Pump And Dump — judgment
SEC v. Nutra Pharma Corporation, et al. (unregistered distributions, 2024) SEC 2024-08-30 Unregistered Distributions $100k judgment
SEC v. Shaohua (Michael) Yin, et al. (insider trading, 2024) SEC 2024-08-30 Insider Trading — judgment
SEC v. Tanner S. Adam, Jonathan L. Adam, Triten Financial Group, LLC and GCZ Global LLC (ponzi schemes, 2024) SEC 2024-08-30 Ponzi Schemes — filed
SEC v. Bernardo Mendia-Alcaraz and Toltec Capital LLC (2024) SEC 2024-08-28 $2.2m judgment
SEC v. Maggie Chen (insider trading, 2024) SEC 2024-08-28 Insider Trading $57.7k settled
SEC v. Dileep Murthy (insider trading, 2024) SEC 2024-08-26 Insider Trading $88k settled
SEC v. Sound Point Capital Management LLP (2024) SEC 2024-08-26 $1.8m settled
SEC v. FlowPoint Partners, LLC and Peter J. DeCaprio (2024) SEC 2024-08-21 $290k settled
SEC v. Wells Real Estate Investment, LLC, Janalie C. Bingham and Jean Joseph (ponzi schemes, 2024) SEC 2024-08-20 Ponzi Schemes — filed
SEC v. Drive Planning, LLC and Russell Todd Burkhalter (ponzi schemes, 2024) SEC 2024-08-14 Ponzi Schemes — filed
SEC v. Robert Del Prete (insider trading, 2024) SEC 2024-08-13 Insider Trading — judgment
SEC v. Stephen Durland (pump and dump, 2024) SEC 2024-08-13 Pump And Dump $230k settled
SEC v. OTC Link LLC (suspicious activity reporting, 2024) SEC 2024-08-12 $1.2m settled
SEC v. Kevan Casey, Adrian James, Jonathan Friedlander and Robert Wheat (pump and dump, 2024) SEC 2024-08-09 Pump And Dump , Undisclosed Control Blocks — filed
SEC v. Steven D. Targum et al. (insider trading, 2024) SEC 2024-08-08 Insider Trading $110k settled
SEC v. South Bay Acquisitions, LLC and John N. Matson (ponzi schemes, 2024) SEC 2024-07-31 Ponzi Schemes $1k settled
SEC v. Charles Baugh (insider trading, 2024) SEC 2024-07-30 Insider Trading $474k settled
SEC v. Sivannarayana Barama (insider trading, 2024) SEC 2024-07-29 Insider Trading — judgment
SEC v. Robert Newell and Black Hawk Funding, Inc. (ponzi schemes, 2024) SEC 2024-07-23 Ponzi Schemes — judgment
SEC v. Ricardi Celicourt and Brisly Guillaume (ponzi schemes, 2024) SEC 2024-07-19 Ponzi Schemes — settled
SEC v. Yossi Engel (ponzi schemes, 2024) SEC 2024-07-19 Ponzi Schemes — judgment
SEC v. Eliyahu Weinstein, Aryeh L. Bromberg, Joel L. Wittels, Richard M. Curry, Christopher J. Anderson, Alaa Mohamed Hattab, and Shlomo Erez (ponzi schemes, 2024) SEC 2024-07-15 Ponzi Schemes — filed
SEC v. Gene Daniel Levoff (insider trading, 2024) SEC 2024-07-08 Insider Trading $1.1m judgment
SEC v. John J. Kralik V, JKV Capital, LLC and JKV LLC (2024) SEC 2024-07-02 — settled
SEC v. Adrian J. Kawuba (ponzi schemes, 2024) SEC 2024-07-01 Ponzi Schemes — judgment
SEC v. John Brda and Georgios Palikaras (engineered short squeeze, 2024) SEC 2024-06-25 Engineered Short Squeeze — filed
SEC v. Meta Materials, Inc. ( and others (engineered short squeeze, 2024) SEC 2024-06-25 Engineered Short Squeeze , Reverse Merger Schemes $1m settled
SEC v. Robert J. Schettino (insider trading, 2024) SEC 2024-06-25 Insider Trading $199k settled
SEC v. Giguiere et al. (undisclosed control blocks, 2024) SEC 2024-06-13 Undisclosed Control Blocks , Matched Orders +1 $875k judgment
SEC v. Janusz (John) Zukowski and Jerry Samaras (2024) SEC 2024-06-13 $700k settled
SEC v. Kerry Lee Broderick (free riding and parking, 2024) SEC 2024-06-12 Free Riding And Parking — settled
SEC v. Mario Gogliormella, Steven Lacaj, and Karim Ibrahim a/k/a/ Chris Hayes (boiler rooms, 2024) SEC 2024-06-12 Boiler Rooms — filed
SEC v. Marc Henry Menard and Laesha Jean-Louis (2024) SEC 2024-06-11 $361k judgment
SEC v. Anders J. Lindgren (insider trading, 2024) SEC 2024-06-06 Insider Trading $682k settled
SEC v. HF Foods Group Inc. (2024) SEC 2024-06-06 $3.9m settled
SEC v. Andre Wong (insider trading, 2024) SEC 2024-06-04 Insider Trading $93.9k settled
SEC v. Andreas Bechtolsheim (insider trading, 2024) SEC 2024-06-03 Insider Trading $924k judgment
SEC v. Tyler Loudon (insider trading, 2024) SEC 2024-05-31 Insider Trading — judgment
SEC v. Frank Lynold Mercado and Tiger Wolf Capital, LLC (ponzi schemes, 2024) SEC 2024-05-30 Ponzi Schemes — settled
SEC v. Ian Balina (paid stock promotion, 2024) SEC 2024-05-23 Paid Stock Promotion — dismissed
SEC v. Teresa Perez De Madrid (insider trading, 2024) SEC 2024-05-21 Insider Trading — settled
SEC v. Kershner Trading Americas, LLC (rule 105 offering shorts, 2024) SEC 2024-05-20 Rule 105 Offering Shorts $812k settled
SEC v. Pedram Abraham Mehrian, Strategic Legacy Investment Group, Inc., and SLIG High-Interest Liquid Savings Company (ponzi schemes, 2024) SEC 2024-05-20 Ponzi Schemes $2.3m judgment
SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2024) SEC 2024-05-15 Unregistered Distributions $30k judgment
SEC v. Michael M. Beck and Helen Robinson (social media ramps, 2024) SEC 2024-05-13 Social Media Ramps $230k judgment
SEC v. Tyrone Johnny Lacy, Jr. (free riding and parking, 2024) SEC 2024-05-13 Free Riding And Parking $25k judgment
SEC v. Frank T. Poerio, Jr. (insider trading, 2024) SEC 2024-05-10 Insider Trading — settled
SEC v. C-Bond Systems, Inc. and Scott Silverman (2024) SEC 2024-05-09 $225k settled
SEC v. Steven Masterson (insider trading, 2024) SEC 2024-05-06 Insider Trading $50k settled
SEC v. Ahmed Alomari and MCM Consulting (paid stock promotion, 2024) SEC 2024-05-03 Paid Stock Promotion — filed
SEC v. John M. Moretz (insider trading, 2024) SEC 2024-05-03 Insider Trading $115k settled
SEC v. Sanjay Bhandari, Vinod Singhi, Rakesh Jain (insider trading, 2024) SEC 2024-04-30 Insider Trading $93.6k settled
SEC v. Kevin Crotty (insider trading, 2024) SEC 2024-04-26 Insider Trading $30.7k settled
SEC v. George Stubos, et al. (undisclosed control blocks, 2024) SEC 2024-04-15 Undisclosed Control Blocks , Pump And Dump — judgment
SEC v. Gil Friedman (insider trading, 2024) SEC 2024-04-15 Insider Trading $298k judgment
SEC v. Zachary J. Horwitz (ponzi schemes, 2024) SEC 2024-04-11 Ponzi Schemes — judgment
SEC v. Anthony Manna (insider trading, 2024) SEC 2024-04-09 Insider Trading $3.5k settled
SEC v. Joseph Young (insider trading, 2024) SEC 2024-04-09 Insider Trading $16.6k settled
SEC v. Michael Sapraicone (insider trading, 2024) SEC 2024-04-09 Insider Trading $14.1k settled
SEC v. Matthew Panuwat (insider trading, 2024) SEC 2024-04-08 Insider Trading — judgment
SEC v. Eduardo Hernandez, Christopher Flagg, Daquan Lloyd and Corey Ortiz (free riding and parking, 2024) SEC 2024-04-04 Free Riding And Parking , Matched Orders — settled
SEC v. ClearPath Wealth Management, LLC and Patrick Churchville (ponzi schemes, 2024) SEC 2024-04-03 Ponzi Schemes — judgment
SEC v. Jason Nielsen (spoofing, 2024) SEC 2024-04-03 Spoofing — judgment