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
$50m
Median penalty
$215k
Largest
$22.5m
Criminal parallel
31%
Action Agency Filed Technique Penalty Status
SEC v. Paul Geraci (boiler rooms, 2022) SEC 2022-11-04 Boiler Rooms — judgment
SEC v. Michael E. Mueller (insider trading, 2022) SEC 2022-11-04 Insider Trading $52.1k settled
SEC v. Jeremy K. Rounsville (Arbitraging.co offering fraud, 2022) SEC 2022-11-03 $207k settled
SEC v. Syed Arham Arbab, Tomas Javier Jimenez, Blake Douglas McKinney, Mushfiqur Rahman, John Ryan Shows, and William Carl Spagnoli (2022) SEC 2022-11-01 $165k 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 $21.3k settled
SEC v. Brent David Willis (2022) SEC 2022-10-18 $175k settled
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, Giorgio Benvenuto and CryptoFX, LLC (ponzi schemes, 2022) SEC 2022-10-03 Ponzi Schemes — filed
SEC v. Arbitrade Ltd., et al. (pump and dump, 2022) SEC 2022-09-30 Pump And Dump — filed
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 $1.6m 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 $453k settled
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 — settled
SEC v. James T. Patten, Peter L. Coker Sr. and Peter L. Coker Jr. (reverse merger schemes, 2022) SEC 2022-09-27 Reverse Merger Schemes , Price Manipulation — filed
SEC v. Damilare Sonoiki and Mark Wayne Ramsey (insider trading, 2022) SEC 2022-09-27 Insider Trading $15k judgment
SEC v. Judith Paris-Pinder (ponzi schemes, 2022) SEC 2022-09-26 Ponzi Schemes — settled
SEC v. Sang N. Phan and Rich N. Phan (free riding and parking, 2022) SEC 2022-09-26 Free Riding And Parking $50k judgment
SEC v. Brian Lam, NineSquare Capital Partners LLC and others (2022) SEC 2022-09-23 $3.2m judgment
SEC v. James Arthur McDonald, Jr. and Hercules Investments, LLC (ponzi schemes, 2022) SEC 2022-09-22 Ponzi Schemes — judgment
SEC v. Michael Weiss (insider trading, 2022) SEC 2022-09-22 Insider Trading — settled
SEC v. Sheng Fu and Ming Xu (insider trading, 2022) SEC 2022-09-21 Insider Trading $757k 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 $750k settled
SEC v. Waddell & Reed, LLC (2022) SEC 2022-09-19 $200k settled
SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2022) SEC 2022-09-16 Unregistered Distributions — judgment
SEC v. Gabriel Edelman, Creative Advancement LLC and Edelman Blockchain Advisors LLC (ponzi schemes, 2022) SEC 2022-09-15 Ponzi Schemes — judgment
SEC v. NPA Asset Management, LLC (2022) SEC 2022-09-08 $300k settled
SEC v. Todd Christopher Doucette (insider trading, 2022) SEC 2022-09-07 Insider Trading $349k 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 $3m settled
SEC v. Nicolas Arkells (unregistered distributions, 2022) SEC 2022-08-24 Unregistered Distributions — judgment
SEC v. Lee Simmons (price manipulation, 2022) SEC 2022-08-19 EDGAR Filing Fraud , Price Manipulation +1 $223k judgment
SEC v. Nicholas Daniel (insider trading, 2022) SEC 2022-08-17 Insider Trading $350k settled
SEC v. Sergei Polevikov (front running, 2022) SEC 2022-08-17 Front Running — judgment
SEC v. Ann M. Dishinger, Jerrold I. Palmer, and Lawrence M. Palmer (insider trading, 2022) SEC 2022-08-16 Insider Trading $162k settled
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 and others (ponzi schemes, 2022) SEC 2022-08-01 Ponzi Schemes — filed
SEC v. Mark Klein, et al. (insider trading, 2022) SEC 2022-07-28 Insider Trading $226k settled
SEC v. Alexandra Robert, Chalala Academy LLC (ponzi schemes, 2022) SEC 2022-07-27 Ponzi Schemes $226k settled
SEC v. Amit Bhardwaj, et al. (insider trading, 2022) SEC 2022-07-26 Insider Trading — settled
SEC v. Seth Markin and Brandon Wong (insider trading, 2022) SEC 2022-07-26 Insider Trading $37k settled
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 — settled
SEC v. Stephen E. Buyer, et al. (insider trading, 2022) SEC 2022-07-25 Insider Trading — dismissed
SEC v. Apostolos Trovias (2022) SEC 2022-07-21 — judgment
SEC v. Bruce Schoengood, Medifirst Solutions, Inc., and Joshua Tyrell (paid stock promotion, 2022) SEC 2022-07-18 Paid Stock Promotion $100k 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 — settled
SEC v. George W. Haywood (insider trading, 2022) SEC 2022-07-07 Insider Trading — judgment
SEC v. Hugh Lee Sweeney (insider trading, 2022) SEC 2022-07-07 Insider Trading $57.9k settled
SEC v. John W. Pauciulo, Esq. (2022) SEC 2022-07-07 $125k settled
SEC v. Matthew Wade Beasley, et al. (ponzi schemes, 2022) SEC 2022-07-01 Ponzi Schemes — filed
SEC v. Justin R. Kimbrough, Terry Nikopoulos and others (ponzi schemes, 2022) SEC 2022-07-01 Ponzi Schemes — settled
SEC v. Daniel J. Moscatiello (insider trading, 2022) SEC 2022-06-29 Insider Trading $89.9k settled
SEC v. Moynes, et al. (undisclosed control blocks, 2022) SEC 2022-06-27 Undisclosed Control Blocks , Pump And Dump $307k settled
SEC v. StraightPath Venture Partners LLC, et al. (2022) SEC 2022-06-24 — filed
SEC v. Steven J. Sheinfeld (insider trading, 2022) SEC 2022-06-21 Insider Trading $305k judgment
SEC v. Vali Management Partners (Avalon FA Ltd), Nathan Fayyer and Sergey Pustelnik (layering, 2022) SEC 2022-06-17 Layering , Spoofing $22.5m judgment
SEC v. David Roda and Andrew Larkin (insider trading, 2022) SEC 2022-06-15 Insider Trading $5.6k settled
SEC v. Michael Mooney, Britt Wright and Penny Flippen (2022) SEC 2022-06-14 $230k judgment
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 — judgment
SEC v. Puneet Dikshit (insider trading, 2022) SEC 2022-06-09 Insider Trading — judgment
SEC v. Jae Cheol Oh (2022) SEC 2022-06-08 $150k settled
SEC v. Stubos, et al. (undisclosed control blocks, 2022) SEC 2022-06-08 Undisclosed Control Blocks , Pump And Dump — settled
SEC v. Mohammed Pithapurwala, Ammar Kutiyanawalla, and Alifiya Kutiyanawalla (insider trading, 2022) SEC 2022-06-01 Insider Trading $598k judgment
SEC v. Hugues Pierre Joublin (insider trading, 2022) SEC 2022-05-27 Insider Trading — settled
SEC v. Andrew M. Middlebrooks, et al. (2022) SEC 2022-05-25 — filed
SEC v. Frank B. Glassner (insider trading, 2022) SEC 2022-05-24 Insider Trading — settled
SEC v. Wynn Charlebois et al. (ponzi schemes, 2022) SEC 2022-05-19 Ponzi Schemes — filed
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 $50k judgment
SEC v. Sepehr Sarshar (insider trading, 2022) SEC 2022-05-09 Insider Trading $56.2k judgment
SEC v. TKO Farms, Inc., Agravitae, Inc., Kenneth Owen and others (undisclosed control blocks, 2022) SEC 2022-05-09 Undisclosed Control Blocks — filed
SEC v. Derek J. Slattery and TradeSmart Software RIC Corporation (2022) SEC 2022-05-05 $1.1m judgment
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 $315k 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 $1.9m judgment
SEC v. Moshe Strugano and Rinat Gazit (insider trading, 2022) SEC 2022-04-20 Insider Trading — filed
SEC v. Domenic Calabrigo, Curtis Lehner, Courtney Vasseur and Hasan Sario (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 $50k settled
SEC v. Carl Iberger and Timothy Iberger (insider trading, 2022) SEC 2022-04-15 Insider Trading $138k settled
SEC v. Damon Elliott, et al. (ponzi schemes, 2022) SEC 2022-04-15 Ponzi Schemes $5.4m judgment
SEC v. Dean Shah et al. (undisclosed control blocks, 2022) SEC 2022-04-15 Undisclosed Control Blocks , Pump And Dump — filed
SEC v. Mark Loman (insider trading, 2022) SEC 2022-04-14 Insider Trading $482k judgment
SEC v. Ronald Bauer and seven others (pump and dump, 2022) SEC 2022-04-14 Pump And Dump — filed