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
$119m
Median penalty
$192k
Largest
$25.8m
Criminal parallel
30%
Action Agency Filed Technique Penalty Status
SEC v. Chadd L. Evans (free riding and parking, 2023) SEC 2023-07-19 Free Riding And Parking $10k settled
SEC v. James P. Anglim (price manipulation, 2023) SEC 2023-07-17 Price Manipulation — judgment
SEC v. Nirdosh Jagota, Ph.D. (insider trading, 2023) SEC 2023-07-17 Insider Trading $39.7k settled
SEC v. Celsius Network Limited and Alexander "Alex" Mashinsky (price manipulation, 2023) SEC 2023-07-13 Price Manipulation — filed
SEC v. Joseph Michael Todd, Todd Financial Services, LLC and TFS Insurance Services LLC (2023) SEC 2023-07-13 — settled
SEC v. Nayeem Choudhury and Dream Venture Capital Group, LLC (ponzi schemes, 2023) SEC 2023-07-12 Ponzi Schemes — filed
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 $2m judgment
SEC v. Bruce Garelick, Michael Shvartsman, Rocket One Capital LLC, and Gerald Shvartsman (insider trading, 2023) SEC 2023-06-30 Insider Trading — settled
SEC v. Damon R. Durante (2023) SEC 2023-06-30 — settled
SEC v. Jordan Meadow and Steven Teixeira (insider trading, 2023) SEC 2023-06-30 Insider Trading — filed
SEC v. Juan Roman (insider trading, 2023) SEC 2023-06-30 Insider Trading $97.8k settled
SEC v. Ashutosh Bhardwaj (insider trading, 2023) SEC 2023-06-29 Insider Trading $9k settled
SEC v. Wilson Baston (ponzi schemes, 2023) SEC 2023-06-28 Ponzi Schemes — settled
SEC v. Vuuzle Media Corp., Vuuzle Media Corp. Limited, Ronald Shane Flynn, and Richard Marchitto (boiler rooms, 2023) SEC 2023-06-27 Boiler Rooms $25.8m judgment
SEC v. Royal Bengal Logistics, Inc. and Sanjay Singh (ponzi schemes, 2023) SEC 2023-06-26 Ponzi Schemes — judgment
SEC v. Infinity Q Capital Management, LLC (mismarking, 2023) SEC 2023-06-16 Mismarking — settled
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 (2023) SEC 2023-06-14 — settled
SEC v. Chimene Van Gundy and others (ponzi schemes, 2023) SEC 2023-05-31 Ponzi Schemes $6.5m judgment
SEC v. Francis Sabo (social media ramps, 2023) SEC 2023-05-26 Social Media Ramps — 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. (WeedGenics), Rolf Max Hirschmann and Patrick Earl Williams (ponzi schemes, 2023) SEC 2023-05-23 Ponzi Schemes $17.8m judgment
SEC v. Thomas Carter Ronk (paid stock promotion, 2023) SEC 2023-05-22 Paid Stock Promotion $75k judgment
SEC v. Sam A. Antar (ponzi schemes, 2023) SEC 2023-05-19 Ponzi Schemes — judgment
SEC v. Brian Callahan, Adam Manson and others (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 $75k settled
SEC v. LiveWire Ergogenics, Inc. (unregistered distributions, 2023) SEC 2023-05-16 Unregistered Distributions $50k settled
SEC v. Principal Solar, Inc. (unregistered distributions, 2023) SEC 2023-05-16 Unregistered Distributions $40k settled
SEC v. SFLMaven Corp. (unregistered distributions, 2023) SEC 2023-05-16 Unregistered Distributions $25k settled
SEC v. Verde Bio Holdings, Inc. (unregistered distributions, 2023) SEC 2023-05-16 Unregistered Distributions $90k settled
SEC v. Matthew Bell (CodeSmart price manipulation, 2023) SEC 2023-05-12 Price Manipulation — judgment
SEC v. Joshua Sason, et al. (Corrected) (unregistered distributions, 2023) SEC 2023-05-12 Unregistered Distributions $290k settled
SEC v. Todd Dobberfuhl (insider trading, 2023) SEC 2023-05-12 Insider Trading $72.8k settled
SEC v. Charles T. Lawrence, Jr. and others (2023) SEC 2023-05-11 — settled
SEC v. Cedric Dewayne Griffin (ponzi schemes, 2023) SEC 2023-05-04 Ponzi Schemes — filed
SEC v. Brett M. Bartlett and others (ponzi schemes, 2023) SEC 2023-05-03 Ponzi Schemes $4m judgment
SEC v. Carlos Eduardo Reyes Alvarez (wash trading, 2023) SEC 2023-05-01 Wash Trading $160k judgment
SEC v. Neil Bergquist; Up and Global SEZC; Coinme, Inc. (unregistered distributions, 2023) SEC 2023-04-28 Unregistered Distributions — settled
SEC v. Betterment LLC (tax-loss harvesting disclosures, 2023) SEC 2023-04-18 $9m settled
SEC v. Donald G. Blakstad, Energy Sources International Corporation and Xact Holdings Corporation (2023) SEC 2023-04-18 — judgment
SEC v. Matthew Nicosia, William Reininger, Fabrizio Di Carlo, and Ronald Touchard (boiler rooms, 2023) SEC 2023-04-10 Boiler Rooms $223k judgment
SEC v. Michael J. French, MJF Holdings, LLC and MJF Capital, LLC (ponzi schemes, 2023) SEC 2023-04-04 Ponzi Schemes $6.2m judgment
SEC v. Darren Ofsink and Michael T. Morris (CodeSmart, 2023) SEC 2023-04-03 Reverse Merger Schemes , Undisclosed Control Blocks +1 — judgment
SEC v. Carnovale, et al. (undisclosed control blocks, 2023) SEC 2023-03-31 Undisclosed Control Blocks , Unregistered Distributions — judgment
SEC v. Sean Wygovsky and Christopher Matthaei (insider trading, 2023) SEC 2023-03-31 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 — settled
SEC v. Aaron Cain McKnight and others (2023) SEC 2023-03-27 — filed
SEC v. Justin Sun et al. (paid stock promotion, 2023) SEC 2023-03-24 Paid Stock Promotion , Unregistered Distributions +1 $10m settled
SEC v. Aliaune Damala Badara Akon Thiam (paid stock promotion, 2023) SEC 2023-03-22 Paid Stock Promotion $126k settled
SEC v. Jake Joseph Paul (paid stock promotion, 2023) SEC 2023-03-22 Paid Stock Promotion $75.1k settled
SEC v. Lindsay Dee Lohan (paid stock promotion, 2023) SEC 2023-03-22 Paid Stock Promotion $30k settled
SEC v. Michele Anne Mason (paid stock promotion, 2023) SEC 2023-03-22 Paid Stock Promotion $2.9k settled
SEC v. Miles Parks McCollum (paid stock promotion, 2023) SEC 2023-03-22 Paid Stock Promotion $30k settled
SEC v. Shaffer Chimere Smith (paid stock promotion, 2023) SEC 2023-03-22 Paid Stock Promotion $36k 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 settled
SEC v. Moynes, et al. (undisclosed control blocks, 2023) SEC 2023-03-09 Undisclosed Control Blocks , Pump And Dump $307k judgment
SEC v. Terren S. Peizer and Acuitas Group Holdings, LLC (insider trading, 2023) SEC 2023-03-08 Insider Trading — dismissed
SEC v. BKCoin Management, LLC and Kevin Kang (ponzi schemes, 2023) SEC 2023-03-06 Ponzi Schemes — settled
SEC v. Adam S. Kaplan and Daniel E. Kaplan (2023) SEC 2023-03-03 — filed
SEC v. Cambria Capital, LLC (2023) SEC 2023-03-02 $100k settled
SEC v. Stephen Keith Woodard, Sr. (ponzi schemes, 2023) SEC 2023-03-01 Ponzi Schemes $5.9m settled
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 settled
SEC v. James Andrew Stiles, Jr. & Edward Gray Stiles, Jr. (insider trading, 2023) SEC 2023-02-23 Insider Trading $45.5k settled
SEC v. Kevin A. Van de Grift and Gil Friedman (insider trading, 2023) SEC 2023-02-23 Insider Trading $596k settled
SEC v. Candlestick Capital Management LP (rule 105 offering shorts, 2023) SEC 2023-02-21 Rule 105 Offering Shorts — settled
SEC v. HITE Hedge Asset Management LLC (rule 105 offering shorts, 2023) SEC 2023-02-21 Rule 105 Offering Shorts — settled
SEC v. Candlestick Capital Management LP et al. (rule 105 offering shorts, 2023) SEC 2023-02-17 Rule 105 Offering Shorts $810k settled
SEC v. HITE Hedge Asset Management LLC et al. (rule 105 offering shorts, 2023) SEC 2023-02-17 Rule 105 Offering Shorts $104k settled
SEC v. Paul Anthony Pierce (paid stock promotion, 2023) SEC 2023-02-17 Paid Stock Promotion $1.2m settled
SEC v. Milan Patel (false rumors, 2023) SEC 2023-02-16 False Rumors — judgment
SEC v. Olga Kuprina (insider trading, 2023) SEC 2023-02-08 Insider Trading , Hack To Trade — settled
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 $27.8k settled
SEC v. Austin D. Ellison-Meade (2023) SEC 2023-01-24 — judgment
SEC v. Charlie Abujudeh (pump and dump, 2023) SEC 2023-01-23 Pump And Dump $414k judgment
SEC v. David S.Y. Chang (2023) SEC 2023-01-23 — settled
SEC v. Nexo Capital Inc. (unregistered distributions, 2023) SEC 2023-01-19 Unregistered Distributions $22.5m settled
SEC v. Yossi Engel (ponzi schemes, 2023) SEC 2023-01-12 Ponzi Schemes — settled
SEC v. Melville Peter ten Cate (sham tender offers, 2023) SEC 2023-01-03 Sham Tender Offers $500k judgment
SEC v. Caroline Ellison and Zixiao "Gary" Wang (price manipulation, 2022) SEC 2022-12-21 Price Manipulation — settled
SEC v. Lawrence Billimek and Alan Williams (front running, 2022) SEC 2022-12-20 Front Running — settled
SEC v. Honeywell International Inc. (foreign bribery, 2022) SEC 2022-12-19 — unknown
SEC v. Edward Constantin, et al. (social media ramps, 2022) SEC 2022-12-14 Social Media Ramps — filed
SEC v. In Ovations Holdings, Inc. and Mark Goldberg (fake press releases, 2022) SEC 2022-12-09 Fake Press Releases — judgment
SEC v. Vincent Issier (insider trading, 2022) SEC 2022-12-06 Insider Trading $6.3k settled
SEC v. Joseph R. Earle Jr, Barry D. Reagh, William Clayton, Francis T. Dudley, Steven E. Bryant, Upper Street Marketing, Inc. and Project Growth International, Inc. (boiler rooms, 2022) SEC 2022-12-05 Boiler Rooms , Pump And Dump — filed
SEC v. PFP Entrust Corp. (unregistered distributions, 2022) SEC 2022-12-05 Unregistered Distributions $255k settled
SEC v. Yinghang "James" Yang and Yuanbiao Chen (insider trading, 2022) SEC 2022-11-30 Insider Trading $246k judgment
SEC v. Legal & General Investment Management America, Inc. (cross trading, 2022) SEC 2022-11-21 $500k settled
SEC v. Charles Rustin Holzer, Fernando Motta Moraes (insider trading, 2022) SEC 2022-11-16 Insider Trading $812k judgment
SEC v. Adrian J. Kawuba (ponzi schemes, 2022) SEC 2022-11-14 Ponzi Schemes — judgment
SEC v. Brian Wong (insider trading, 2022) SEC 2022-11-10 Insider Trading — settled
SEC v. Infinity Q Diversified Alpha Fund (mismarking, 2022) SEC 2022-11-10 Mismarking — settled
SEC v. PIC Renegade Properties, LLC (unregistered distributions, 2022) SEC 2022-11-09 Unregistered Distributions $400k settled
SEC v. Douver Torres Braga, Joff Paradise, Keleionalani Akana Taylor and Jonathan Tetreault (ponzi schemes, 2022) SEC 2022-11-04 Ponzi Schemes — filed