Market Manipulation. Search

SEC manipulation enforcement actions

This library records 1856 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
$7.6m
Median penalty
$207k
Largest
$1.2m
Criminal parallel
37%
Action Agency Filed Technique Penalty Status
SEC v. Douver Torres Braga, Joff Paradise, and Keleionalani Akana Taylor, Jonathan Tetreault (ponzi schemes, 2022) SEC 2022-11-04 Ponzi Schemes — settled
SEC v. Geraci and Paul (boiler rooms, 2022) SEC 2022-11-04 Boiler Rooms — unknown
SEC v. Michael E. Mueller (insider trading, 2022) SEC 2022-11-04 Insider Trading — settled
SEC v. Jeremy K. Rounsville (wash trading, 2022) SEC 2022-11-03 Wash Trading $207k settled
SEC v. Syed Arham Arbab, Tomas Javier Jimenez, Blake Douglas McKinney, Mushfiqur Rahman, John Ryan Shows, and William Carl Spagnoli (ponzi schemes, 2022) SEC 2022-11-01 Ponzi Schemes — settled
SEC v. Mark Alan Lisser a/k/a Mark Alan a/k/a Mark Allen (boiler rooms, 2022) SEC 2022-10-27 Boiler Rooms — judgment
SEC v. Scott A. Woodward, CPA (insider trading, 2022) SEC 2022-10-25 Insider Trading — settled
SEC v. Brent David Willis (insider trading, 2022) SEC 2022-10-18 Insider Trading — unknown
SEC v. Kevin B. Merrill, et al. (ponzi schemes, 2022) SEC 2022-10-18 Ponzi Schemes — judgment
SEC v. National Realty Investment Advisors LLC, Rey E. Grabato II, Daniel Coley O'Brien, Thomas Nicholas Salzano and others (ponzi schemes, 2022) SEC 2022-10-14 Ponzi Schemes — filed
SEC v. Justin Costello and David Ferraro (social media ramps, 2022) SEC 2022-10-06 Social Media Ramps — filed
SEC v. Harpreet Saini and John Lester Mandac Natividad (insider trading, 2022) SEC 2022-10-03 Insider Trading — filed
SEC v. Kimberly Kardashian (paid stock promotion, 2022) SEC 2022-10-03 Paid Stock Promotion $1m settled
SEC v. Mauricio Chavez, et al. (ponzi schemes, 2022) SEC 2022-10-03 Ponzi Schemes — unknown
SEC v. Arbitrade Ltd., et al. (pump and dump, 2022) SEC 2022-09-30 Pump And Dump — unknown
SEC v. Ari Lauer (ponzi schemes, 2022) SEC 2022-09-30 Ponzi Schemes — filed
SEC v. Jonathan William Mikula, et al. (paid stock promotion, 2022) SEC 2022-09-30 Paid Stock Promotion $777k settled
SEC v. Scott Lindell (mismarking, 2022) SEC 2022-09-30 Mismarking — settled
SEC v. Charles Parrino (false rumors, 2022) SEC 2022-09-28 False Rumors — settled
SEC v. Matthew Nicosia, William Reninger, Fabrizio Di Carlo, and Ronald Touchard (boiler rooms, 2022) SEC 2022-09-28 Boiler Rooms , Pump And Dump — filed
SEC v. The Hydrogen Technology Corporation, Michael Ross Kane, and Tyler Ostern (paid crypto market making, 2022) SEC 2022-09-28 Paid Crypto Market Making $1.2m judgment
SEC v. Christian J. Gonzalez (ponzi schemes, 2022) SEC 2022-09-27 Ponzi Schemes — filed
SEC v. James T. Patten, et al. (reverse merger schemes, 2022) SEC 2022-09-27 Reverse Merger Schemes — filed
SEC v. Kendricks, et al., Mark Wayne Ramsey (insider trading, 2022) SEC 2022-09-27 Insider Trading — judgment
SEC v. Judith Paris-Pinder (ponzi schemes, 2022) SEC 2022-09-26 Ponzi Schemes — judgment
SEC v. Sang N. Phan and Rich N. Phan (free riding and parking, 2022) SEC 2022-09-26 Free Riding And Parking — filed
SEC v. Brian Lam, et al. (ponzi schemes, 2022) SEC 2022-09-23 Ponzi Schemes — filed
SEC v. James Arthur McDonald, Jr. and Hercules Investments, LLC (ponzi schemes, 2022) SEC 2022-09-22 Ponzi Schemes — unknown
SEC v. Michael Weiss (insider trading, 2022) SEC 2022-09-22 Insider Trading — judgment
SEC v. Sheng Fu and Ming Xu (insider trading, 2022) SEC 2022-09-21 Insider Trading $557k settled
SEC v. John P. Mendes, et al. (insider trading, 2022) SEC 2022-09-20 Insider Trading $51.6k settled
SEC v. Sparkster, Ltd. and Sajjad Daya (unregistered distributions, 2022) SEC 2022-09-19 Unregistered Distributions $500k settled
SEC v. Waddell & Reed, LLC (churning, 2022) SEC 2022-09-19 Churning $200k settled
SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2022) SEC 2022-09-16 Unregistered Distributions — unknown
SEC v. Gabriel Edelman, Creative Advancement LLC and Edelman Blockchain Advisors LLC (ponzi schemes, 2022) SEC 2022-09-15 Ponzi Schemes — unknown
SEC v. NPA Asset Management, LLC (churning, 2022) SEC 2022-09-08 Churning $300k settled
SEC v. Todd Christopher Doucette (insider trading, 2022) SEC 2022-09-07 Insider Trading — settled
SEC v. Pavel Ruiz (ponzi schemes, 2022) SEC 2022-08-30 Ponzi Schemes — settled
SEC v. Harmel S. Rayat, RenovaCare, Inc., Jatinder Bhogal, Jeetenderjit Singh Sidhu, and Sharon Fleming (newsletter scalping, 2022) SEC 2022-08-29 Newsletter Scalping — unknown
SEC v. Nicolas Arkells (unregistered distributions, 2022) SEC 2022-08-24 Unregistered Distributions — filed
SEC v. Lee Simmons (price manipulation, 2022) SEC 2022-08-19 EDGAR Filing Fraud , Price Manipulation +1 — filed
SEC v. Nicholas Daniel (insider trading, 2022) SEC 2022-08-17 Insider Trading — settled
SEC v. Sergei Polevikov, et al. (front running, 2022) SEC 2022-08-17 Front Running — dismissed
SEC v. Ann M. Dishinger, Jerrold I. Palmer, and Lawrence M. Palmer (insider trading, 2022) SEC 2022-08-16 Insider Trading — judgment
SEC v. Rahim Mohamed, Davies ("Dave") Wong, et al. (hijacked account ramping, 2022) SEC 2022-08-15 Hijacked Account Ramping — filed
SEC v. IMC Chicago, LLC (naked short selling debate, 2022) SEC 2022-08-12 Naked Short Selling Debate $125k settled
SEC v. Vladimir Okhotnikov et al. (ponzi schemes, 2022) SEC 2022-08-01 Ponzi Schemes — settled
SEC v. Mark Klein, et al. (insider trading, 2022) SEC 2022-07-28 Insider Trading — judgment
SEC v. Alexandra Robert, Chalala Academy LLC (ponzi schemes, 2022) SEC 2022-07-27 Ponzi Schemes — filed
SEC v. Amit Bhardwaj, et al. (insider trading, 2022) SEC 2022-07-26 Insider Trading — unknown
SEC v. Seth Markin and Brandon Wong (insider trading, 2022) SEC 2022-07-26 Insider Trading — unknown
SEC v. Todd Lahr and Thomas Megas (ponzi schemes, 2022) SEC 2022-07-26 Ponzi Schemes — judgment
SEC v. Brijesh Goel and Akshay Niranjan (insider trading, 2022) SEC 2022-07-25 Insider Trading — filed
SEC v. Stephen E. Buyer, et al. (insider trading, 2022) SEC 2022-07-25 Insider Trading — unknown
SEC v. Apostolos Trovias (insider trading, 2022) SEC 2022-07-21 Insider Trading — judgment
SEC v. Bruce Schoengood, Medifirst Solutions, Inc., and Joshua Tyrell (paid stock promotion, 2022) SEC 2022-07-18 Paid Stock Promotion — judgment
SEC v. John David McAfee and Jimmy Gale Watson, Jr. (newsletter scalping, 2022) SEC 2022-07-15 Newsletter Scalping — judgment
SEC v. Doron A. Tavlin, Afshin Farahan, and David J. Gantman (insider trading, 2022) SEC 2022-07-07 Insider Trading — unknown
SEC v. George W. Haywood (insider trading, 2022) SEC 2022-07-07 Insider Trading — filed
SEC v. Hugh Lee Sweeney (insider trading, 2022) SEC 2022-07-07 Insider Trading $57.9k settled
SEC v. John W. Pauciulo, Esq. (undisclosed control blocks, 2022) SEC 2022-07-07 Undisclosed Control Blocks $490k settled
SEC v. Matthew Wade Beasley, et al. (ponzi schemes, 2022) SEC 2022-07-01 Ponzi Schemes — filed
SEC v. Prosperity Consultants, LLC (ponzi schemes, 2022) SEC 2022-07-01 Ponzi Schemes — filed
SEC v. Daniel J. Moscatiello (insider trading, 2022) SEC 2022-06-29 Insider Trading — judgment
SEC v. Moynes, et al. (paid stock promotion, 2022) SEC 2022-06-27 Paid Stock Promotion — filed
SEC v. Eric D. Lachow (ponzi schemes, 2022) SEC 2022-06-24 Ponzi Schemes — filed
SEC v. Steven J. Sheinfeld (insider trading, 2022) SEC 2022-06-21 Insider Trading — judgment
SEC v. Lek Securities Corporation, et. al. (layering, 2022) SEC 2022-06-17 Layering , Spoofing — appealed
SEC v. David Roda and Andrew Larkin (insider trading, 2022) SEC 2022-06-15 Insider Trading — judgment
SEC v. Michael Mooney, Britt Wright, and Penny Flippen (ponzi schemes, 2022) SEC 2022-06-14 Ponzi Schemes — filed
SEC v. Weiss Asset Management LP (rule 105 offering shorts, 2022) SEC 2022-06-14 Rule 105 Offering Shorts $200k settled
SEC v. Lijuan "Sandra" Hao, CPA (insider trading, 2022) SEC 2022-06-09 Insider Trading $47.9k settled
SEC v. Patrick Churchville, et al. (ponzi schemes, 2022) SEC 2022-06-09 Ponzi Schemes $225k judgment
SEC v. Puneet Dikshit (insider trading, 2022) SEC 2022-06-09 Insider Trading — judgment
SEC v. Jae Cheol Oh (reverse merger schemes, 2022) SEC 2022-06-08 Reverse Merger Schemes $150k settled
SEC v. Stubos, et al. (paid stock promotion, 2022) SEC 2022-06-08 Paid Stock Promotion — filed
SEC v. Mohammed Pithapurwala, Ammar Kutiyanawalla, and Alifiya Kutiyanawalla (insider trading, 2022) SEC 2022-06-01 Insider Trading $523k judgment
SEC v. Hugues Pierre Joublin (insider trading, 2022) SEC 2022-05-27 Insider Trading — judgment
SEC v. Andrew M, Middlebrooks, et al (ponzi schemes, 2022) SEC 2022-05-25 Ponzi Schemes — filed
SEC v. Frank B. Glassner (insider trading, 2022) SEC 2022-05-24 Insider Trading — filed
SEC v. Wynn Charlebois et al. (ponzi schemes, 2022) SEC 2022-05-19 Ponzi Schemes — unknown
SEC v. Jillian Sidoti (undisclosed control blocks, 2022) SEC 2022-05-17 Undisclosed Control Blocks $22k judgment
SEC v. Manuel A. Romero (ponzi schemes, 2022) SEC 2022-05-10 Ponzi Schemes — judgment
SEC v. Sepehr Sarshar (insider trading, 2022) SEC 2022-05-09 Insider Trading — judgment
SEC v. TKO Farms, Inc., et al. (undisclosed control blocks, 2022) SEC 2022-05-09 Undisclosed Control Blocks — filed
SEC v. Derek J. Slattery and TradeSmart Software RIC Corporation (ponzi schemes, 2022) SEC 2022-05-05 Ponzi Schemes — unknown
SEC v. Mark Marchi (ponzi schemes, 2022) SEC 2022-05-05 Ponzi Schemes — settled
SEC v. BTIG, LLC (naked short selling debate, 2022) SEC 2022-05-03 Naked Short Selling Debate — judgment
SEC v. Balasubrahmanya Kuchibhotla (insider trading, 2022) SEC 2022-05-02 Insider Trading $586k settled
SEC v. Maplelane Capital LLC (naked short selling debate, 2022) SEC 2022-05-02 Naked Short Selling Debate $250k settled
SEC v. American Equities, Inc., American Eagle Mortgage Management, LLC, Ross C. Miles and Maureen T. Wile (ponzi schemes, 2022) SEC 2022-04-27 Ponzi Schemes — settled
SEC v. Wealth Plus, Inc. (unregistered distributions, 2022) SEC 2022-04-27 Unregistered Distributions $30k settled
SEC v. Bernard L. Compton (insider trading, 2022) SEC 2022-04-22 Insider Trading — judgment
SEC v. Moshe Strugano and Rinat Gazit (insider trading, 2022) SEC 2022-04-20 Insider Trading — filed
SEC v. Domenic Calabrigo et al. (pump and dump, 2022) SEC 2022-04-19 Pump And Dump , Undisclosed Control Blocks — filed
SEC v. The Legal Funding Group of Georgia, LLC and Benjamin S. Eichholz (unregistered distributions, 2022) SEC 2022-04-19 Unregistered Distributions $37.5k settled
SEC v. Carl Iberger and Timothy Iberger (insider trading, 2022) SEC 2022-04-15 Insider Trading $69.2k judgment
SEC v. Damon Elliott, et al. (ponzi schemes, 2022) SEC 2022-04-15 Ponzi Schemes — judgment
SEC v. Dean Shah et al. (paid stock promotion, 2022) SEC 2022-04-15 Paid Stock Promotion , Undisclosed Control Blocks — filed
SEC v. Mark Loman (insider trading, 2022) SEC 2022-04-14 Insider Trading — judgment