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
$224m
Median penalty
$226k
Largest
$125m
Criminal parallel
35%
Action Agency Filed Technique Penalty Status
SEC v. Justin Wallace Herman, Anthony Michael Baker, Ian Horn, and Island Capital Inc (boiler rooms, 2022) SEC 2022-04-12 Boiler Rooms $10k filed
SEC v. Anthony Salandra (false rumors, 2022) SEC 2022-04-11 False Rumors — settled
SEC v. Julie Minuskin, Joshua Stoll, Dennis DiRicco, Tom Casey and Golden Genesis, Inc. (ponzi schemes, 2022) SEC 2022-04-11 Ponzi Schemes $457k judgment
SEC v. Lloyd D. Reed (insider trading, 2022) SEC 2022-04-04 Insider Trading $233k settled
SEC v. Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund (short and distort, 2022) SEC 2022-03-31 Short And Distort $160k judgment
SEC v. Hari Prasad Sure, et al., Civ. Act. (insider trading, 2022) SEC 2022-03-29 Insider Trading — settled
SEC v. Francis Biller, et al. (pump and dump, 2022) SEC 2022-03-17 Pump And Dump , Boiler Rooms — settled
SEC v. Joseph Orazio DeGregorio (2022) SEC 2022-03-02 — settled
SEC v. Andrew T.E. Coldicutt (pump and dump, 2022) SEC 2022-03-01 Pump And Dump — filed
SEC v. John-Michael Havrilla (insider trading, 2022) SEC 2022-02-22 Insider Trading $160k settled
SEC v. Global Wholehealth Partners Corp., Charles Strongo, Brian M. Volmer, Joshua Yafa, Jamie M. Yafa, and Empire Associates, Inc. (paid stock promotion, 2022) SEC 2022-02-17 Paid Stock Promotion , Pump And Dump — filed
SEC v. Nathaniel Brown, Benjamin Wylam, Naveen Sood, Marcus Bannon, Matthew Rauch, And Naresh Ramaiya (insider trading, 2022) SEC 2022-02-11 Insider Trading — judgment
SEC v. Robert Lenard Booth, Michael D'Urso, Daniel T. Wellcome Jr., Alyssa D'Urso, Antonella Chiaramonte, and Jay Garnock) (boiler rooms, 2022) SEC 2022-02-09 Boiler Rooms — filed
SEC v. Michael M. Beck, a/k/a @BigMoneyMike6, and Relief Defendant Helen P. Robinson (newsletter scalping, 2022) SEC 2022-02-07 Newsletter Scalping , Social Media Ramps $230k judgment
SEC v. SeeThruEquity, LLC, Ajay Tandon, and Amit Tandon (newsletter scalping, 2022) SEC 2022-01-28 Analyst Manipulation , Newsletter Scalping $520k judgment
SEC v. Aleksandr Milrud (layering, 2022) SEC 2022-01-26 Layering — judgment
SEC v. David P. Forte, Gregory P. Manning and John D. Younis (insider trading, 2022) SEC 2022-01-19 Insider Trading — filed
SEC v. Douglas A. Roth (insider trading, 2022) SEC 2022-01-13 Insider Trading — judgment
SEC v. David S. Sargent and Christopher M. Klundt (insider trading, 2022) SEC 2022-01-11 Insider Trading $215k settled
SEC v. Tanmaya Kabra et al. (ponzi schemes, 2022) SEC 2022-01-06 Ponzi Schemes — judgment
SEC v. Marco "Sully" Perez and Permian Basin Proppants, Inc. (ponzi schemes, 2021) SEC 2021-12-22 Ponzi Schemes — settled
SEC v. Vladislav Kliushin, Nikolai Rumiantcev, Mikhail Irzak, Igor Sladkov, and Ivan Yermakov (hack to trade, 2021) SEC 2021-12-22 Hack To Trade — judgment
SEC v. Daniel V.T. Catenacci (insider trading, 2021) SEC 2021-12-20 Insider Trading $50k settled
SEC v. J.P. Morgan Securities LLC (2021) SEC 2021-12-17 $125m settled
SEC v. Wedbush Securities Inc. (unregistered distributions, 2021) SEC 2021-12-15 Unregistered Distributions $1m settled
SEC v. Mohammed Pithapurwala, Ammar Kutiyanawalla, and Alifiya Kutiyanawalla (insider trading, 2021) SEC 2021-12-09 Insider Trading $598k settled
SEC v. Auzins (unregistered distributions, 2021) SEC 2021-12-03 Unregistered Distributions — settled
SEC v. Michael J. Starkweather and Andiamo Corporation (fake press releases, 2021) SEC 2021-12-03 Fake Press Releases — judgment
SEC v. Carnovale, et al. (undisclosed control blocks, 2021) SEC 2021-12-02 Undisclosed Control Blocks , Unregistered Distributions $430k judgment
SEC v. Robert C. Dobkin, Cynthia Braun, Michael Fiorillo and Jeffrey S. Gregersen (insider trading, 2021) SEC 2021-12-01 Insider Trading $936k settled
SEC v. Marc Demane Debih (insider trading, 2021) SEC 2021-11-30 Insider Trading — settled
SEC v. Guy Scott Griffithe and Robert William Russell (ponzi schemes, 2021) SEC 2021-11-24 Ponzi Schemes $2.9m judgment
SEC v. Carol E. Cohen and Austin Rotter (insider trading, 2021) SEC 2021-11-23 Insider Trading $137k settled
SEC v. Tomer Feingold and Dov Malnik (insider trading, 2021) SEC 2021-11-23 Insider Trading $2.8m judgment
SEC v. ProPetro Holding Corp. and Dale Redman (2021) SEC 2021-11-22 $195k settled
SEC v. MIO Partners, Inc. (2021) SEC 2021-11-19 $18m settled
SEC v. William E. Gericke, Esq. (insider trading, 2021) SEC 2021-11-19 Insider Trading $20k settled
SEC v. Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund (short and distort, 2021) SEC 2021-11-08 Short And Distort — judgment
SEC v. David P. Godwin (financial statement fraud, 2021) SEC 2021-11-04 — judgment
SEC v. Mark A. Miller, Saeid Jaberian and Christopher J. Rajkaran (pump and dump, 2021) SEC 2021-11-01 Pump And Dump — judgment
SEC v. BNZ One Capital, LLC, et al. (ponzi schemes, 2021) SEC 2021-10-29 Ponzi Schemes — filed
SEC v. Ann M. Vick (2021) SEC 2021-10-26 $570k settled
SEC v. Denis Georgiyevich Sotnikov, et al. (fake certificate-of-deposit fraud, 2021) SEC 2021-10-26 $8.4m judgment
SEC v. Steven M. Gallagher, a/k/a "Alexander Delarge" (social media ramps, 2021) SEC 2021-10-26 Social Media Ramps $473k judgment
SEC v. Steven Pagartanis (ponzi schemes, 2021) SEC 2021-10-07 Ponzi Schemes — judgment
SEC v. Keith A. Wakefield (unauthorized trading and fictitious commissions, 2021) SEC 2021-10-01 — settled
SEC v. Adam Heimann (paid stock promotion, 2021) SEC 2021-09-30 Paid Stock Promotion $1.3m settled
SEC v. Gregory L. Ciccone, et al. (2021) SEC 2021-09-29 — filed
SEC v. Sky Group, et al. (ponzi schemes, 2021) SEC 2021-09-29 Ponzi Schemes — settled
SEC v. Jaeson Birnbaum (2021) SEC 2021-09-28 — settled
SEC v. Tradition Securities and Derivatives, LLC (naked short selling debate, 2021) SEC 2021-09-28 Naked Short Selling Debate $842k settled
SEC v. Suyun Gu, et al. (wash trading, 2021) SEC 2021-09-27 Wash Trading $25k settled
SEC v. Timothy Page et al., Daniel Cattlin and William R. Shupe (boiler rooms, 2021) SEC 2021-09-27 Boiler Rooms $11.1m judgment
SEC v. Xuepeng Xie (layering, 2021) SEC 2021-09-27 Layering , Spoofing $600k settled
SEC v. Frantz Simeon and First Black Enterprises, Inc. (ponzi schemes, 2021) SEC 2021-09-23 Ponzi Schemes — judgment
SEC v. Helikon Investments Ltd. (rule 105 offering shorts, 2021) SEC 2021-09-21 Rule 105 Offering Shorts $97.5k settled
SEC v. James Wallace Nall, III, Michael Hale Smith, Michael Dwaine Smith, Robert Walter Smith and Walter Vice Tutt (insider trading, 2021) SEC 2021-09-21 Insider Trading $221k judgment
SEC v. Jason Dodd Bullard, Angela Romero-Bullard, and Bullard Enterprises LLC (ponzi schemes, 2021) SEC 2021-09-16 Ponzi Schemes $230k settled
SEC v. Charles Parkinson Lloyd (reverse merger schemes, 2021) SEC 2021-09-15 Reverse Merger Schemes , Unregistered Distributions $40k settled
SEC v. Simon Piers Thurlow, Roger Fidler and others (reverse merger schemes, 2021) SEC 2021-09-15 Reverse Merger Schemes — filed
SEC v. App Annie Inc. and Bertrand Schmitt (2021) SEC 2021-09-14 $10.3m settled
SEC v. Mark Ahn (insider trading, 2021) SEC 2021-09-10 Insider Trading — judgment
SEC v. Todd Elliott Hitt et al. (ponzi schemes, 2021) SEC 2021-09-10 Ponzi Schemes — judgment
SEC v. Cavco Industries, Inc., Joseph Stegmayer, and Daniel Urness, Robert Scott Parkhurst (insider trading, 2021) SEC 2021-09-03 Insider Trading $1.5m settled
SEC v. Zeeshawn S. Zia (boiler rooms, 2021) SEC 2021-09-01 Boiler Rooms — filed
SEC v. Steven Fitzgerald Brown (ponzi schemes, 2021) SEC 2021-08-31 Ponzi Schemes — judgment
SEC v. Beth Mueller (insider trading, 2021) SEC 2021-08-30 Insider Trading $28k settled
SEC v. Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (customer information safeguards, 2021) SEC 2021-08-30 $250k settled
SEC v. Cetera Advisor Networks LLC and four affiliates (customer information safeguards, 2021) SEC 2021-08-30 $300k settled
SEC v. Donald G. Blakstad, et al. (insider trading, 2021) SEC 2021-08-30 Insider Trading — filed
SEC v. KMS Financial Services, Inc. (customer information safeguards, 2021) SEC 2021-08-30 $200k settled
SEC v. Roger E. Dobrovodsky (unregistered distributions, 2021) SEC 2021-08-30 Unregistered Distributions $150k settled
SEC v. Scott and Lisa Chasin (insider trading, 2021) SEC 2021-08-30 Insider Trading $28k settled
SEC v. Andrew L. Fassari (social media ramps, 2021) SEC 2021-08-27 Social Media Ramps $195k judgment
SEC v. William B. McHenry Jr. and First South Investments, LLC (ponzi schemes, 2021) SEC 2021-08-27 Ponzi Schemes — judgment
SEC v. John J. Woods, Livingston Group Asset Management Company d/b/a Southport Capital, and Horizon Private Equity, III, LLC (ponzi schemes, 2021) SEC 2021-08-25 Ponzi Schemes — settled
SEC v. Sung Mo Jun, Joon Jun, Junwoo Chon, Ayden Lee, and Jae Hyeon Bae (insider trading, 2021) SEC 2021-08-25 Insider Trading $72.9k settled
SEC v. Denise Grevas (insider trading, 2021) SEC 2021-08-18 Insider Trading — settled
SEC v. Matthew Panuwat (insider trading, 2021) SEC 2021-08-17 Insider Trading — filed
SEC v. Murchinson Ltd. and Marc Bistricer and Paul Zogala (naked short selling debate, 2021) SEC 2021-08-17 Naked Short Selling Debate $900k settled
SEC v. Lawrence B. Adams (paid stock promotion, 2021) SEC 2021-08-16 Paid Stock Promotion — filed
SEC v. Ahmad Haris Tajyar and Eric Leo Marsoubian (marking the close, 2021) SEC 2021-08-13 Marking The Close , Matched Orders +1 $220k settled
SEC v. Martin Adrian Ruiz, et al. (2021) SEC 2021-08-13 — filed
SEC v. MJ Capital Funding, LLC, et al, (ponzi schemes, 2021) SEC 2021-08-13 Ponzi Schemes — judgment
SEC v. Zorayr Mikael Manukyan-Zakaryan (insider trading, 2021) SEC 2021-08-10 Insider Trading $41k settled
SEC v. Leonard R. Barr (insider trading, 2021) SEC 2021-08-09 Insider Trading $68.4k settled
SEC v. Live Ventures Incorporated et al. (financial reporting fraud, 2021) SEC 2021-08-03 — filed
SEC v. George Heckler (2021) SEC 2021-07-28 — settled
SEC v. Alan L. Alexander (insider trading, 2021) SEC 2021-07-23 Insider Trading $9.1k settled
SEC v. Charlie Abujudeh (pump and dump, 2021) SEC 2021-07-22 Pump And Dump $414k settled
SEC v. Outdoor Capital Partners, LLC (ponzi schemes, 2021) SEC 2021-07-22 Ponzi Schemes — filed
SEC v. Profit Connect Wealth Services, Inc., et al. (2021) SEC 2021-07-20 — filed
SEC v. Blotics Ltd. f/d/b/a Coinschedule Ltd. (paid stock promotion, 2021) SEC 2021-07-14 Paid Stock Promotion $154k settled
SEC v. Jonathan Mimun a/k/a Jonathan Maymon and Ronn BenHarav (boiler rooms, 2021) SEC 2021-07-13 Boiler Rooms $25.8m judgment
SEC v. Contrarian Press, LLC, Scott S. Fraser, and Nathan Yeung (paid stock promotion, 2021) SEC 2021-07-01 Paid Stock Promotion $200k judgment
SEC v. Mounir N. Gad (insider trading, 2021) SEC 2021-06-30 Insider Trading $51.7k settled
SEC v. Nathan E. Guido (insider trading, 2021) SEC 2021-06-30 Insider Trading $40.7k settled
SEC v. Reuben Robert Goldman and Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research (paid stock promotion, 2021) SEC 2021-06-30 Paid Stock Promotion $39.9k settled
SEC v. Ron Phillips (matched orders, 2021) SEC 2021-06-30 Matched Orders $30k judgment
SEC v. Matthew J. Skinner, et al. (2021) SEC 2021-06-29 $4.8m judgment