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
$19.2m
Median penalty
$200k
Largest
$9m
Criminal parallel
28%
Action Agency Filed Technique Penalty Status
SEC v. Chad Stickforth (ponzi schemes, 2023) SEC 2023-08-08 Ponzi Schemes — judgment
SEC v. Charles Rustin Holzer, Maglione International Ltd., Frontenac Investments Ltd. (insider trading, 2023) SEC 2023-08-07 Insider Trading — 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 — 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 — filed
SEC v. Moshe aka "Mark" Feuer, Scott A. Taylor (unregistered distributions, 2023) SEC 2023-07-31 Unregistered Distributions — settled
SEC v. Murray A. Huberfeld (unregistered distributions, 2023) SEC 2023-07-31 Unregistered Distributions — settled
SEC v. Brent Seaman, Accanito Holdings, LLC, and others (paid stock promotion, 2023) SEC 2023-07-28 Paid Stock Promotion , Ponzi Schemes — judgment
SEC v. Joseph C. Lewis, et al. (insider trading, 2023) SEC 2023-07-26 Insider Trading — filed
SEC v. Amit Dagar and Atul Bhiwapurkar (insider trading, 2023) SEC 2023-07-25 Insider Trading — unknown
SEC v. Brandon Charnas (insider trading, 2023) SEC 2023-07-25 Insider Trading — unknown
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. Monroe Capital Management Advisors, LLC (undisclosed control blocks, 2023) SEC 2023-07-20 Undisclosed Control Blocks — settled
SEC v. Robert D. Christensen, Anthony M. Matic, Foresee, Inc., The Commission PDX, LLC, The Policy PDX, Innings 150 (ponzi schemes, 2023) SEC 2023-07-20 Ponzi Schemes $200k judgment
SEC v. Chadd L. Evans (free riding and parking, 2023) SEC 2023-07-19 Free Riding And Parking $10k judgment
SEC v. James P. Anglim (boiler rooms, 2023) SEC 2023-07-17 Boiler Rooms — judgment
SEC v. Nirdosh Jagota, Ph.D. (insider trading, 2023) SEC 2023-07-17 Insider Trading — settled
SEC v. Joseph Michael Todd, et al. (ponzi schemes, 2023) SEC 2023-07-13 Ponzi Schemes — settled
SEC v. Nayeem Choudhury and Dream Venture Capital Group, LLC (paid stock promotion, 2023) SEC 2023-07-12 Paid Stock Promotion , Ponzi Schemes — unknown
SEC v. RSE Markets, Inc. (matched orders, 2023) SEC 2023-07-12 Matched Orders — settled
SEC v. Costello et al. (paid stock promotion, 2023) SEC 2023-07-11 Paid Stock Promotion — judgment
SEC v. Legend Venture Partners LLC (boiler rooms, 2023) SEC 2023-07-11 Boiler Rooms — filed
SEC v. Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nikola Faukovic, and Catherine DeFrancesco (pump and dump, 2023) SEC 2023-07-07 Pump And Dump — judgment
SEC v. Empires Consulting Corp., et al. (paid stock promotion, 2023) SEC 2023-07-06 Paid Stock Promotion $6m judgment
SEC v. Bruce Garelick, Michael Shvartsman, Rocket One Capital LLC, and Gerald Shvartsman (insider trading, 2023) SEC 2023-06-30 Insider Trading — unknown
SEC v. Damon R. Durante (undisclosed control blocks, 2023) SEC 2023-06-30 Undisclosed Control Blocks — unknown
SEC v. Jordan Meadow and Steven Teixeira (insider trading, 2023) SEC 2023-06-30 Insider Trading — unknown
SEC v. Juan Roman (insider trading, 2023) SEC 2023-06-30 Insider Trading $97.8k judgment
SEC v. Ashutosh Bhardwaj (insider trading, 2023) SEC 2023-06-29 Insider Trading — settled
SEC v. Wilson Baston (A/K/A Chanon Gordon) (ponzi schemes, 2023) SEC 2023-06-28 Ponzi Schemes — filed
SEC v. Vuuzle Media Corp., Vuuzle Media Corp. Limited, Ronald Shane Flynn, and Richard Marchitto (boiler rooms, 2023) SEC 2023-06-27 Boiler Rooms — judgment
SEC v. Royal Bengal Logistics, Inc. and Sanjay Singh (ponzi schemes, 2023) SEC 2023-06-26 Ponzi Schemes — filed
SEC v. Hal D. Mintz and Sabby Management LLC (naked short selling debate, 2023) SEC 2023-06-14 Naked Short Selling Debate — filed
SEC v. Josh S. Verne (ponzi schemes, 2023) SEC 2023-06-14 Ponzi Schemes — unknown
SEC v. Chimene Van Gundy and others (ponzi schemes, 2023) SEC 2023-05-31 Ponzi Schemes — judgment
SEC v. RTW Investments, LP (undisclosed control blocks, 2023) SEC 2023-05-30 Undisclosed Control Blocks — settled
SEC v. Eleazar Kauderer, GPL Ventures LLC, et al. (paid stock promotion, 2023) SEC 2023-05-24 Paid Stock Promotion — judgment
SEC v. Integrated National Resources, Inc. dba WeedGenics, Rolf Max Hirschmann aka "Max Bergmann," and Patrick Earl Williams (ponzi schemes, 2023) SEC 2023-05-23 Ponzi Schemes — unknown
SEC v. Thomas Carter Ronk (paid stock promotion, 2023) SEC 2023-05-22 Paid Stock Promotion — judgment
SEC v. Sam A. Antar (ponzi schemes, 2023) SEC 2023-05-19 Ponzi Schemes — judgment
SEC v. Brian Raymond Callahan et al. (ponzi schemes, 2023) SEC 2023-05-17 Ponzi Schemes — judgment
SEC v. Green Stream Holdings, Inc. (unregistered distributions, 2023) SEC 2023-05-16 Unregistered Distributions — settled
SEC v. LiveWire Ergogenics, Inc. (unregistered distributions, 2023) SEC 2023-05-16 Unregistered Distributions — settled
SEC v. Principal Solar, Inc. (unregistered distributions, 2023) SEC 2023-05-16 Unregistered Distributions — settled
SEC v. SFLMaven Corp. (unregistered distributions, 2023) SEC 2023-05-16 Unregistered Distributions — settled
SEC v. Verde Bio Holdings, Inc. (unregistered distributions, 2023) SEC 2023-05-16 Unregistered Distributions — settled
SEC v. Alexander J. Dillon (undisclosed control blocks, 2023) SEC 2023-05-12 Undisclosed Control Blocks — judgment
SEC v. Cosmin I. Panait (undisclosed control blocks, 2023) SEC 2023-05-12 Undisclosed Control Blocks — judgment
SEC v. Discala et al. (price manipulation, 2023) SEC 2023-05-12 Price Manipulation — judgment
SEC v. Joshua David Nicholas, et al. (paid stock promotion, 2023) SEC 2023-05-12 Paid Stock Promotion — judgment
SEC v. Joshua Sason, et al. (Corrected) (unregistered distributions, 2023) SEC 2023-05-12 Unregistered Distributions — dismissed
SEC v. Todd Dobberfuhl (insider trading, 2023) SEC 2023-05-12 Insider Trading — settled
SEC v. Charles T. Lawrence, Jr., et al. (ponzi schemes, 2023) SEC 2023-05-11 Ponzi Schemes — filed
SEC v. Cedric Dewayne Griffin (ponzi schemes, 2023) SEC 2023-05-04 Ponzi Schemes — unknown
SEC v. Brett M. Bartlett and others (ponzi schemes, 2023) SEC 2023-05-03 Ponzi Schemes — filed
SEC v. Carlos Eduardo Reyes Alvarez (wash trading, 2023) SEC 2023-05-01 Wash Trading — judgment
SEC v. Neil Bergquist; Up and Global SEZC; Coinme, Inc. (paid stock promotion, 2023) SEC 2023-04-28 Paid Stock Promotion , Unregistered Distributions $150k settled
SEC v. Betterment LLC (wash trading, 2023) SEC 2023-04-18 Wash Trading $9m settled
SEC v. No Respondents (insider trading, 2023) SEC 2023-04-18 Insider Trading — judgment
SEC v. Matthew Nicosia, William Reininger, Fabrizio Di Carlo, and Ronald Touchard (boiler rooms, 2023) SEC 2023-04-10 Boiler Rooms — judgment
SEC v. Darren L. Ofsink (reverse merger schemes, 2023) SEC 2023-04-04 Reverse Merger Schemes , Unregistered Distributions — judgment
SEC v. Michael J. French, et al. (ponzi schemes, 2023) SEC 2023-04-04 Ponzi Schemes — filed
SEC v. Michael T. Morris (price manipulation, 2023) SEC 2023-04-04 Price Manipulation — judgment
SEC v. Chatham Asset Management, LLC and Anthony Melchiorre (benchmark submission rigging, 2023) SEC 2023-04-03 Benchmark Submission Rigging $600k settled
SEC v. DiScala et al. (reverse merger schemes, 2023) SEC 2023-04-03 Reverse Merger Schemes — judgment
SEC v. Carnovale, et al. (paid stock promotion, 2023) SEC 2023-03-31 Paid Stock Promotion — judgment
SEC v. Sean Wygovsky and Christopher Matthaei (front running, 2023) SEC 2023-03-31 Front Running , Insider Trading — settled
SEC v. William Andrew Stack, Esq. (undisclosed control blocks, 2023) SEC 2023-03-31 Undisclosed Control Blocks , Unregistered Distributions $333k judgment
SEC v. Surage Kamal Roshan Perera and Janues Capital Incorporated (ponzi schemes, 2023) SEC 2023-03-29 Ponzi Schemes — filed
SEC v. Aaron Cain McKnight, et al. (ponzi schemes, 2023) SEC 2023-03-27 Ponzi Schemes — judgment
SEC v. Justin Sun et al. (paid stock promotion, 2023) SEC 2023-03-24 Paid Stock Promotion , Unregistered Distributions +1 — settled
SEC v. Aliaune Damala Badara Akon Thiam (paid stock promotion, 2023) SEC 2023-03-22 Paid Stock Promotion — settled
SEC v. Jake Joseph Paul (paid stock promotion, 2023) SEC 2023-03-22 Paid Stock Promotion — settled
SEC v. Lindsay Dee Lohan (paid stock promotion, 2023) SEC 2023-03-22 Paid Stock Promotion — settled
SEC v. Michele Anne Mason (paid stock promotion, 2023) SEC 2023-03-22 Paid Stock Promotion — settled
SEC v. Miles Parks McCollum (paid stock promotion, 2023) SEC 2023-03-22 Paid Stock Promotion — settled
SEC v. Shaffer Chimere Smith (paid stock promotion, 2023) SEC 2023-03-22 Paid Stock Promotion — settled
SEC v. Brian Robert Sodi, et al. (newsletter scalping, 2023) SEC 2023-03-14 Newsletter Scalping , Pump And Dump — judgment
SEC v. Mahmoud Ali Abdelkader (insider trading, 2023) SEC 2023-03-09 Insider Trading $81.6k judgment
SEC v. Terren S. Peizer and Acuitas Group Holdings, LLC (insider trading, 2023) SEC 2023-03-08 Insider Trading — filed
SEC v. BKCoin Management, LLC, et al. (ponzi schemes, 2023) SEC 2023-03-06 Ponzi Schemes — unknown
SEC v. Adam S. Kaplan and Daniel E. Kaplan (ponzi schemes, 2023) SEC 2023-03-03 Ponzi Schemes — filed
SEC v. Cambria Capital, LLC (unregistered distributions, 2023) SEC 2023-03-02 Unregistered Distributions $100k settled
SEC v. Stephen Keith Woodard, Sr. (ponzi schemes, 2023) SEC 2023-03-01 Ponzi Schemes — filed
SEC v. Shawn E. Good (ponzi schemes, 2023) SEC 2023-02-27 Ponzi Schemes — settled
SEC v. Energy & Environmental Investments, LLC and others (ponzi schemes, 2023) SEC 2023-02-24 Ponzi Schemes $1m judgment
SEC v. James Andrew Stiles, Jr. & Edward Gray Stiles, Jr. (insider trading, 2023) SEC 2023-02-23 Insider Trading — filed
SEC v. Kevin A. Van de Grift and Gil Friedman (insider trading, 2023) SEC 2023-02-23 Insider Trading — filed
SEC v. Paul Anthony Pierce (paid stock promotion, 2023) SEC 2023-02-17 Paid Stock Promotion — settled
SEC v. Milan Patel (false rumors, 2023) SEC 2023-02-16 False Rumors — filed
SEC v. Olga Kuprina (insider trading, 2023) SEC 2023-02-08 Insider Trading , Spoofing — filed
SEC v. Randy Herschaft (insider trading, 2023) SEC 2023-01-30 Insider Trading $35.2k settled
SEC v. Donna Matuizek (insider trading, 2023) SEC 2023-01-27 Insider Trading — settled
SEC v. Austin D. Ellison-Meade (ponzi schemes, 2023) SEC 2023-01-24 Ponzi Schemes — filed
SEC v. Charlie Abujudeh (paid stock promotion, 2023) SEC 2023-01-23 Paid Stock Promotion $414k judgment
SEC v. David S.Y. Chang (unregistered distributions, 2023) SEC 2023-01-23 Unregistered Distributions — settled
SEC v. Caroline Ellison and Zixiao "Gary" Wang (paid stock promotion, 2023) SEC 2023-01-19 Paid Stock Promotion — settled
SEC v. Nexo Capital Inc. (unregistered distributions, 2023) SEC 2023-01-19 Unregistered Distributions — settled