Market Manipulation. Search

SEC manipulation enforcement actions

This library records 1768 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
$3m
Median penalty
$223k
Largest
$650k
Criminal parallel
26%
Action Agency Filed Technique Penalty Status
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 — judgment
SEC v. Joseph Young (insider trading, 2024) SEC 2024-04-09 Insider Trading — settled
SEC v. Michael Sapraicone (insider trading, 2024) SEC 2024-04-09 Insider Trading — settled
SEC v. Matthew Panuwat (insider trading, 2024) SEC 2024-04-08 Insider Trading — unknown
SEC v. Eduardo Hernandez et al. (free riding and parking, 2024) SEC 2024-04-04 Free Riding And Parking — filed
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
SEC v. Ronald Heineman (price manipulation, 2024) SEC 2024-04-03 Price Manipulation — judgment
SEC v. Senvest Management, LLC (insider trading, 2024) SEC 2024-04-03 Insider Trading — filed
SEC v. Travis Treusch (free riding and parking, 2024) SEC 2024-04-02 Free Riding And Parking — settled
SEC v. Matthew Nicosia, William Reininger, Fabrizio Di Carlo, and Ronald Touchard (paid stock promotion, 2024) SEC 2024-03-28 Paid Stock Promotion $100k judgment
SEC v. Ismael Zarco Sanchez, et al. (ponzi schemes, 2024) SEC 2024-03-14 Ponzi Schemes — judgment
SEC v. Roy M. Cook and others (insider trading, 2024) SEC 2024-03-12 Insider Trading — settled
SEC v. Ishan Wahi et al. (insider listing trading, 2024) SEC 2024-03-11 Insider Listing Trading , Insider Trading — judgment
SEC v. Hemant Agrawal (insider trading, 2024) SEC 2024-03-04 Insider Trading — settled
SEC v. Lordstown Motors Corp. (paid stock promotion, 2024) SEC 2024-02-29 Paid Stock Promotion — settled
SEC v. Harmel S. Rayat, RenovaCare, Inc., Jatinder Bhogal (pump and dump, 2024) SEC 2024-02-27 Pump And Dump — judgment
SEC v. Andrew M. Komarow (free riding and parking, 2024) SEC 2024-02-20 Free Riding And Parking — settled
SEC v. Christian Fernandez (paid stock promotion, 2024) SEC 2024-02-20 Paid Stock Promotion — settled
SEC v. Rafael Vargas (ponzi schemes, 2024) SEC 2024-02-15 Ponzi Schemes — judgment
SEC v. John Feloni et al. (ponzi schemes, 2024) SEC 2024-02-12 Ponzi Schemes $223k judgment
SEC v. TradeStation Crypto, Inc. (unregistered distributions, 2024) SEC 2024-02-07 Unregistered Distributions — settled
SEC v. Tian "Tony" Tian (insider trading, 2024) SEC 2024-01-22 Insider Trading $72.1k settled
SEC v. J. Jeremy Barbera, et. al. (paid stock promotion, 2024) SEC 2024-01-18 Paid Stock Promotion $100k judgment
SEC v. Prosperity, Investments & Lending, LLC (paid stock promotion, 2024) SEC 2024-01-18 Paid Stock Promotion , Ponzi Schemes — settled
SEC v. Jonathan Farber, Aarif Jamani, Brian Keasberry (paid stock promotion, 2024) SEC 2024-01-16 Paid Stock Promotion , Pump And Dump — filed
SEC v. Morgan Stanley & Co. LLC (insider trading, 2024) SEC 2024-01-12 Insider Trading — unknown
SEC v. Pawan Kumar Passi (insider trading, 2024) SEC 2024-01-12 Insider Trading — settled
SEC v. David Schottenstein, Kris Bortnovsky, Ryan Shapiro, Sakal Capital Management, LLC, and Sakal U.S. Fund, LLC (insider trading, 2024) SEC 2024-01-11 Insider Trading — judgment
SEC v. Carnovale, et al. (paid stock promotion, 2024) SEC 2024-01-03 Paid Stock Promotion — judgment
SEC v. Gannon Giguiere (insider trading, 2024) SEC 2024-01-03 Insider Trading — judgment
SEC v. Diana Mae Fernandez (ponzi schemes, 2023) SEC 2023-12-28 Ponzi Schemes — filed
SEC v. BarnBridge DAO (chat group pumps, 2023) SEC 2023-12-22 Chat Group Pumps — settled
SEC v. Tyler Ward and Troy Murray (chat group pumps, 2023) SEC 2023-12-22 Chat Group Pumps — settled
SEC v. Agridime LLC, Joshua Link, and Jed Wood (ponzi schemes, 2023) SEC 2023-12-18 Ponzi Schemes — unknown
SEC v. Dozy Mmobuosi, et al. (insider trading, 2023) SEC 2023-12-18 Insider Trading — filed
SEC v. Titanium Capital LLC and others (ponzi schemes, 2023) SEC 2023-12-18 Ponzi Schemes — filed
SEC v. Andrew M. Komarow (free riding and parking, 2023) SEC 2023-12-08 Free Riding And Parking — judgment
SEC v. Raymond J. Pirrello, Jr., et al. (insider trading, 2023) SEC 2023-12-07 Insider Trading — filed
SEC v. Marc E. Wexler (price manipulation, 2023) SEC 2023-12-05 Price Manipulation , Pump And Dump — judgment
SEC v. Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nicola Faukovic, and Catherine DeFrancesco (pump and dump, 2023) SEC 2023-11-29 Pump And Dump $223k judgment
SEC v. Joseph M. Dupont et al. (insider trading, 2023) SEC 2023-11-28 Insider Trading — judgment
SEC v. unnamed respondents (unregistered distributions, 2023) SEC 2023-11-21 Unregistered Distributions — filed
SEC v. Laidlaw and Company (UK) Ltd. (churning, 2023) SEC 2023-11-20 Churning $223k settled
SEC v. Matthew Melton (ponzi schemes, 2023) SEC 2023-11-15 Ponzi Schemes — filed
SEC v. Charter Communications, Inc. (insider trading, 2023) SEC 2023-11-14 Insider Trading — settled
SEC v. John A. Masanotti, Jr. and Middlesex Mortgage Group, LLC (ponzi schemes, 2023) SEC 2023-11-09 Ponzi Schemes — filed
SEC v. SafeMoon LLC, SafeMoon US LLC, Kyle Nagy, Braden John Karony, Thomas Glenn Smith (wash trading, 2023) SEC 2023-11-01 Wash Trading — filed
SEC v. Joseph Conlan (insider trading, 2023) SEC 2023-10-30 Insider Trading — settled
SEC v. Bruce Schoengood, Medifirst Solutions, Inc., and Joshua Tyrell (paid stock promotion, 2023) SEC 2023-10-27 Paid Stock Promotion — judgment
SEC v. BlackRock Advisors, LLC (benchmark submission rigging, 2023) SEC 2023-10-24 Benchmark Submission Rigging — settled
SEC v. Brian Marc Rubin (insider trading, 2023) SEC 2023-10-17 Insider Trading — judgment
SEC v. Matthew M. Motil, et al. (ponzi schemes, 2023) SEC 2023-10-04 Ponzi Schemes — filed
SEC v. Zera Financial LLC (ponzi schemes, 2023) SEC 2023-10-03 Ponzi Schemes — unknown
SEC v. Bin Hao and Qidian LLC (ponzi schemes, 2023) SEC 2023-09-29 Ponzi Schemes — filed
SEC v. John Feloni and Stock Squirrel, Inc. (ponzi schemes, 2023) SEC 2023-09-29 Ponzi Schemes — filed
SEC v. Maxim Group, LLC (naked short selling debate, 2023) SEC 2023-09-29 Naked Short Selling Debate — settled
SEC v. Nano-x Imaging Ltd. and Ran Poliakine (paid stock promotion, 2023) SEC 2023-09-29 Paid Stock Promotion $650k judgment
SEC v. Anthony Viggiano, Stephen A. Forlano, Christopher Salamone, and Nathan Bleckley (insider trading, 2023) SEC 2023-09-28 Insider Trading — unknown
SEC v. Marco A Perez, Pedro Perez Jr., and Olivia Perez Durbin (insider trading, 2023) SEC 2023-09-28 Insider Trading — settled
SEC v. Michael Blumer, John Kuprianchik, David Page, Steven Thompson, Joseph Todaro (churning, 2023) SEC 2023-09-28 Churning — unknown
SEC v. Cloudastructure, Inc. (paid stock promotion, 2023) SEC 2023-09-27 Paid Stock Promotion $558k settled
SEC v. Hightimes Holding Corp. (paid stock promotion, 2023) SEC 2023-09-27 Paid Stock Promotion — settled
SEC v. Peixin Xu (undisclosed control blocks, 2023) SEC 2023-09-27 Undisclosed Control Blocks — settled
SEC v. Robert Del Prete (insider trading, 2023) SEC 2023-09-27 Insider Trading — judgment
SEC v. Bruderman Asset Management, LLC and Gary Goldberg Planning Services, LLC and Matthew J. Bruderman (undisclosed control blocks, 2023) SEC 2023-09-26 Undisclosed Control Blocks — settled
SEC v. Philip Verges, James D. Tilton, Jr., Robert F. Malin, Linda Malin, and others (pump and dump, 2023) SEC 2023-09-26 Pump And Dump — unknown
SEC v. William B. McHenry, Jr. and First South Investments, LLC (ponzi schemes, 2023) SEC 2023-09-26 Ponzi Schemes , Unregistered Distributions — judgment
SEC v. Michael Caridi (paid stock promotion, 2023) SEC 2023-09-25 Paid Stock Promotion — unknown
SEC v. Stephen L. Bailey, Sapphire Exploration LLC, and Harris Exploration Inc. (paid stock promotion, 2023) SEC 2023-09-25 Paid Stock Promotion , Ponzi Schemes — filed
SEC v. Citadel Securities, LLC (naked short selling debate, 2023) SEC 2023-09-22 Naked Short Selling Debate — settled
SEC v. Empirex Capital LLC and Rafael Alberto Vargas Gonzalez, a/k/a Rafael Vargas (ponzi schemes, 2023) SEC 2023-09-22 Ponzi Schemes — unknown
SEC v. Nathalia I. Burgos, Christian A. Cuesta, Steven A. Fernandez et. al. (ponzi schemes, 2023) SEC 2023-09-22 Ponzi Schemes — settled
SEC v. Jon P. Kubler, Kubler Consulting LLC, Aksarben Evolution LLC, AV Bhill LLC, CFH Texas LLC, Green Saddle LLC (ponzi schemes, 2023) SEC 2023-09-21 Ponzi Schemes — filed
SEC v. Jonathan Becker (insider trading, 2023) SEC 2023-09-21 Insider Trading — settled
SEC v. Luis Ricardo Quiroz Gardea (ponzi schemes, 2023) SEC 2023-09-21 Ponzi Schemes — settled
SEC v. MFB 111 Investment, LLC and Monise François Bien Aimé (ponzi schemes, 2023) SEC 2023-09-19 Ponzi Schemes — filed
SEC v. Tilila Walker Sumchai (ponzi schemes, 2023) SEC 2023-09-19 Ponzi Schemes — filed
SEC v. GGToor, Inc. (unregistered distributions, 2023) SEC 2023-09-18 Unregistered Distributions — settled
SEC v. Jonathan J. Ferrie (insider trading, 2023) SEC 2023-09-18 Insider Trading — settled
SEC v. Lyft, Inc. (insider trading, 2023) SEC 2023-09-18 Insider Trading — settled
SEC v. Xia Hong (insider trading, 2023) SEC 2023-09-14 Insider Trading — settled
SEC v. Rand Heckler (ponzi schemes, 2023) SEC 2023-09-13 Ponzi Schemes — judgment
SEC v. Stoner Cats 2, LLC (unregistered distributions, 2023) SEC 2023-09-13 Unregistered Distributions — settled
SEC v. Esos Rings, Inc. and Michelle Silverstein aka Michelle Silverstein Bisnoff (ponzi schemes, 2023) SEC 2023-09-12 Ponzi Schemes $233k judgment
SEC v. George Stubos (paid stock promotion, 2023) SEC 2023-09-12 Paid Stock Promotion — judgment
SEC v. Virtu Financial Inc. and Virtu Americas LLC (insider trading, 2023) SEC 2023-09-12 Insider Trading — filed
SEC v. Mortgage Industry Advisory Corporation (insider trading, 2023) SEC 2023-09-11 Insider Trading $100k settled
SEC v. Simplex Trading, LLC (naked short selling debate, 2023) SEC 2023-09-11 Naked Short Selling Debate — settled
SEC v. Mina Tadrus, et al. (ponzi schemes, 2023) SEC 2023-09-08 Ponzi Schemes — filed
SEC v. Linus Financial, Inc. (unregistered distributions, 2023) SEC 2023-09-07 Unregistered Distributions — settled
SEC v. Brady Jack Speers, Chatree Thiranon, and GHAP, LLC d/b/a Blue Star Texas (ponzi schemes, 2023) SEC 2023-08-31 Ponzi Schemes — judgment
SEC v. William V. Conn, Jr. (ponzi schemes, 2023) SEC 2023-08-31 Ponzi Schemes — filed
SEC v. Archipelago Trading Services, Inc. (layering, 2023) SEC 2023-08-29 Layering , Spoofing +1 — settled
SEC v. Deyonte Jahtori Anthony (free riding and parking, 2023) SEC 2023-08-28 Free Riding And Parking — settled
SEC v. Impact Theory, LLC (unregistered distributions, 2023) SEC 2023-08-28 Unregistered Distributions $500k settled
SEC v. Romero Cabral da Costa Neto (insider trading, 2023) SEC 2023-08-24 Insider Trading — unknown
SEC v. Daniel V.T. Catenacci (insider trading, 2023) SEC 2023-08-21 Insider Trading $50k judgment
SEC v. Carla Lea Chastain (churning, 2023) SEC 2023-08-18 Churning — settled