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
$193m
Median penalty
$250k
Largest
$83m
Criminal parallel
20%
Action Agency Filed Technique Penalty Status
SEC v. Ronald Heineman (price manipulation, 2024) SEC 2024-04-03 Price Manipulation $25k judgment
SEC v. Senvest Management, LLC (2024) SEC 2024-04-03 $6.5m settled
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 (pump and dump, 2024) SEC 2024-03-28 Pump And Dump $100k judgment
SEC v. Ismael Zarco Sanchez and 16 others (ponzi schemes, 2024) SEC 2024-03-14 Ponzi Schemes — filed
SEC v. Roy M. Cook and others (insider trading, 2024) SEC 2024-03-12 Insider Trading $1.4m settled
SEC v. Ishan Wahi et al. (insider listing trading, 2024) SEC 2024-03-11 Insider Listing Trading , Insider Trading $1.6m judgment
SEC v. Hemant Agrawal (insider trading, 2024) SEC 2024-03-04 Insider Trading $29.8k settled
SEC v. Harmel S. Rayat, RenovaCare, Inc., Jatinder Bhogal (pump and dump, 2024) SEC 2024-02-27 Pump And Dump $2.4m judgment
SEC v. Contrarian Capital Management, L.L.C. (rule 105 offering shorts, 2024) SEC 2024-02-21 Rule 105 Offering Shorts $140k settled
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 (2024) SEC 2024-02-15 — settled
SEC v. John Feloni and Stock Squirrel, Inc. (2024) SEC 2024-02-12 $223k judgment
SEC v. TradeStation Crypto, Inc. (unregistered distributions, 2024) SEC 2024-02-07 Unregistered Distributions $1.5m 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. (2024) SEC 2024-01-18 $100k judgment
SEC v. Prosper E. Beyond Moore and Prosperity Investments & Solutions, LLC (ponzi schemes, 2024) SEC 2024-01-18 Ponzi Schemes — settled
SEC v. Jonathan Farber, Aarif Jamani, Brian Keasberry (pump and dump, 2024) SEC 2024-01-16 Pump And Dump , Undisclosed Control Blocks — filed
SEC v. Morgan Stanley & Co. LLC (insider trading, 2024) SEC 2024-01-12 Insider Trading $83m settled
SEC v. Pawan Kumar Passi (insider trading, 2024) SEC 2024-01-12 Insider Trading $250k 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. (undisclosed control blocks, 2024) SEC 2024-01-03 Undisclosed Control Blocks , Unregistered Distributions — judgment
SEC v. Gannon Giguiere (insider trading, 2024) SEC 2024-01-03 Insider Trading $325k judgment
SEC v. Diana Mae Fernandez (2023) SEC 2023-12-28 — settled
SEC v. BarnBridge DAO (unregistered distributions, 2023) SEC 2023-12-22 Unregistered Distributions — settled
SEC v. Tyler Ward and Troy Murray (unregistered distributions, 2023) SEC 2023-12-22 Unregistered Distributions $250k settled
SEC v. Agridime LLC, Joshua Link, and Jed Wood (ponzi schemes, 2023) SEC 2023-12-18 Ponzi Schemes — judgment
SEC v. Dozy Mmobuosi, et al. (financial-statement fraud, 2023) SEC 2023-12-18 $35.4m judgment
SEC v. Titanium Capital LLC and others (ponzi schemes, 2023) SEC 2023-12-18 Ponzi Schemes — judgment
SEC v. Andrew M. Komarow (free riding and parking, 2023) SEC 2023-12-08 Free Riding And Parking — settled
SEC v. Raymond J. Pirrello, Jr., et al. (2023) SEC 2023-12-07 — 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 $446k judgment
SEC v. Joseph M. Dupont et al. (insider trading, 2023) SEC 2023-11-28 Insider Trading — judgment
SEC v. Nadim Ahmed et al. (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. (2023) SEC 2023-11-14 $25m 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 $73.6k settled
SEC v. Bruce Schoengood, Medifirst Solutions, Inc., and Joshua Tyrell (unregistered distributions, 2023) SEC 2023-10-27 Unregistered Distributions — judgment
SEC v. BlackRock Advisors, LLC (2023) SEC 2023-10-24 $2.5m settled
SEC v. Anson Advisors Inc. (rule 105 offering shorts, 2023) SEC 2023-10-19 Rule 105 Offering Shorts $600k settled
SEC v. Brian Marc Rubin (insider trading, 2023) SEC 2023-10-17 Insider Trading — settled
SEC v. Matthew M. Motil (ponzi schemes, 2023) SEC 2023-10-04 Ponzi Schemes — settled
SEC v. Zera Financial LLC and Luis A. Romero (ponzi schemes, 2023) SEC 2023-10-03 Ponzi Schemes — judgment
SEC v. Bin Hao and Qidian LLC (ponzi schemes, 2023) SEC 2023-09-29 Ponzi Schemes $236k judgment
SEC v. John Feloni and Stock Squirrel, Inc. (2023) SEC 2023-09-29 $223k settled
SEC v. Maxim Group, LLC (naked short selling debate, 2023) SEC 2023-09-29 Naked Short Selling Debate $800k settled
SEC v. Anthony Viggiano, Stephen A. Forlano, Christopher Salamone, and Nathan Bleckley (insider trading, 2023) SEC 2023-09-28 Insider Trading — settled
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 — filed
SEC v. Robert Del Prete (insider trading, 2023) SEC 2023-09-27 Insider Trading — judgment
SEC v. Philip Verges, James D. Tilton, Jr., Robert F. Malin, Linda Malin and Blue Citi, LLC (pump and dump, 2023) SEC 2023-09-26 Pump And Dump — filed
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. Stephen L. Bailey, Sapphire Exploration LLC, and Harris Exploration Inc. (ponzi schemes, 2023) SEC 2023-09-25 Ponzi Schemes — filed
SEC v. Citadel Securities, LLC (2023) SEC 2023-09-22 $7m settled
SEC v. Empirex Capital LLC and Rafael Alberto Vargas Gonzalez (ponzi schemes, 2023) SEC 2023-09-22 Ponzi Schemes — settled
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 $1m settled
SEC v. Jonathan Becker (insider trading, 2023) SEC 2023-09-21 Insider Trading — settled
SEC v. Aras Investment Business Group S.A.P.I. de C.V., Armando Gutierrez Rosas and others (ponzi schemes, 2023) SEC 2023-09-21 Ponzi Schemes $449k judgment
SEC v. MFB 111 Investment, LLC and Monise François Bien Aimé (ponzi schemes, 2023) SEC 2023-09-19 Ponzi Schemes — settled
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 $40k settled
SEC v. Jonathan J. Ferrie (insider trading, 2023) SEC 2023-09-18 Insider Trading $16k settled
SEC v. Lyft, Inc. (2023) SEC 2023-09-18 $10m settled
SEC v. Xia Hong (insider trading, 2023) SEC 2023-09-14 Insider Trading $75k settled
SEC v. Rand Heckler (2023) SEC 2023-09-13 — settled
SEC v. Stoner Cats 2, LLC (unregistered distributions, 2023) SEC 2023-09-13 Unregistered Distributions $1m settled
SEC v. Esos Rings, Inc. and Michelle Silverstein aka Michelle Silverstein Bisnoff (ponzi schemes, 2023) SEC 2023-09-12 Ponzi Schemes $233k settled
SEC v. George Stubos (undisclosed control blocks, 2023) SEC 2023-09-12 Undisclosed Control Blocks , Pump And Dump — judgment
SEC v. Virtu Financial Inc. and Virtu Americas LLC (2023) SEC 2023-09-12 $2.5m settled
SEC v. Mortgage Industry Advisory Corporation (2023) SEC 2023-09-11 $100k settled
SEC v. Simplex Trading, LLC (naked short selling debate, 2023) SEC 2023-09-11 Naked Short Selling Debate $200k settled
SEC v. Mina Tadrus, et al. (ponzi schemes, 2023) SEC 2023-09-08 Ponzi Schemes — settled
SEC v. Linus Financial, Inc. (unregistered distributions, 2023) SEC 2023-09-07 Unregistered Distributions — settled
SEC v. Jeremy Koski (fake press releases, 2023) SEC 2023-09-01 Fake Press Releases $100k settled
SEC v. Brady Jack Speers, Chatree Thiranon and GHAP, LLC d/b/a Blue Star Texas (2023) SEC 2023-08-31 — settled
SEC v. William V. Conn, Jr. (ponzi schemes, 2023) SEC 2023-08-31 Ponzi Schemes $100k settled
SEC v. Archipelago Trading Services, Inc. (suspicious activity reporting, 2023) SEC 2023-08-29 $1.5m 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 (2023) SEC 2023-08-18 — settled
SEC v. Chad Stickforth (2023) SEC 2023-08-08 $223k settled
SEC v. Charles Rustin Holzer, Maglione International Ltd., Frontenac Investments Ltd. (insider trading, 2023) SEC 2023-08-07 Insider Trading $1.2m judgment
SEC v. Justin Sun, Tron Foundation Limited, BitTorrent Foundation Ltd., Rainberry, Inc., Austin Mahone, and Deandre Cortez Way (paid stock promotion, 2023) SEC 2023-08-07 Paid Stock Promotion , Wash Trading $37.5k judgment
SEC v. Jose D. Rocha (ponzi schemes, 2023) SEC 2023-08-03 Ponzi Schemes — settled
SEC v. Janardhan Nellore, et al. (insider trading, 2023) SEC 2023-08-02 Insider Trading — judgment
SEC v. Mina Tadrus and Tadrus Capital LLC (ponzi schemes, 2023) SEC 2023-08-02 Ponzi Schemes — settled
SEC v. Brent Seaman, Accanito Holdings, LLC, and others (ponzi schemes, 2023) SEC 2023-07-28 Ponzi Schemes — judgment
SEC v. Joseph C. Lewis, et al. (insider trading, 2023) SEC 2023-07-26 Insider Trading $1.9m settled
SEC v. Amit Dagar and Atul Bhiwapurkar (insider trading, 2023) SEC 2023-07-24 Insider Trading $60.3k settled
SEC v. Quantstamp, Inc. (unregistered distributions, 2023) SEC 2023-07-21 Unregistered Distributions $1m settled
SEC v. Eric J. "EJ" Dalius et al. (ponzi schemes, 2023) SEC 2023-07-20 Ponzi Schemes $112k judgment
SEC v. Robert D. Christensen, Anthony M. Matic and four entities (ponzi schemes, 2023) SEC 2023-07-20 Ponzi Schemes $400k judgment