Home / Cases / SEC / Page 8 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 $65.9m
Median penalty $125k
Largest $25m
Criminal parallel 40% Action Agency Filed Technique Penalty Status 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. (ponzi schemes, 2021) SEC 2021-06-29 Ponzi Schemes — filed SEC v. Nathaniel Brown, Benjamin Wylam, Naveen Sood, Marcus Bannon, Matthew Rauch, and Naresh Ramaiya (insider trading, 2021) SEC 2021-06-25 Insider Trading $281k judgment SEC v. Wang (insider trading, 2021) SEC 2021-06-25 Insider Trading $50k judgment SEC v. Mark A. Miller (fake press releases, 2021) SEC 2021-06-21 Fake Press Releases , Pump And Dump — unknown SEC v. Robert Joseph Armijo, et al. (ponzi schemes, 2021) SEC 2021-06-15 Ponzi Schemes — filed SEC v. Edgar M. Radjabli, Apis Capital Management LLC and My Loan Doctor LLC (sham tender offers, 2021) SEC 2021-06-11 Sham Tender Offers $419k settled SEC v. The Estate of Kenneth J. Casey (ponzi schemes, 2021) SEC 2021-06-02 Ponzi Schemes — filed SEC v. Mohammed A. Bari (insider trading, 2021) SEC 2021-05-27 Insider Trading — settled SEC v. Kai Christian Petersen, et al. (boiler rooms, 2021) SEC 2021-05-25 Boiler Rooms $100k judgment SEC v. BTIG, LLC (naked short selling debate, 2021) SEC 2021-05-20 Naked Short Selling Debate — filed SEC v. LFS Funding Limited Partnership, et al. (undisclosed control blocks, 2021) SEC 2021-05-20 Undisclosed Control Blocks — settled SEC v. David N. Osegueda, et al. (pump and dump, 2021) SEC 2021-05-07 Pump And Dump $400k judgment SEC v. Jonathan P. Maroney, Et. Al (ponzi schemes, 2021) SEC 2021-04-27 Ponzi Schemes — unknown SEC v. Gregory Altieri (ponzi schemes, 2021) SEC 2021-04-23 Ponzi Schemes — judgment SEC v. Ubong Uboh and Tyler Crockett (pump and dump, 2021) SEC 2021-04-22 Pump And Dump — filed SEC v. Edward J. Kosinski (insider trading, 2021) SEC 2021-04-21 Insider Trading — judgment SEC v. Zachary J. Horwitz, et al. (ponzi schemes, 2021) SEC 2021-04-08 Ponzi Schemes — unknown SEC v. Jason P. Wootten, et al. (ponzi schemes, 2021) SEC 2021-03-23 Ponzi Schemes — filed SEC v. Seth P. Levine (ponzi schemes, 2021) SEC 2021-03-19 Ponzi Schemes — settled SEC v. Shawn C. Cutting (ponzi schemes, 2021) SEC 2021-03-11 Ponzi Schemes — unknown SEC v. AT&T, Inc., et al. (insider trading, 2021) SEC 2021-03-05 Insider Trading — filed SEC v. EarthSource Minerals International, LLC et al. (ponzi schemes, 2021) SEC 2021-03-02 Ponzi Schemes $125k settled SEC v. Bruce Schoengood, Medifirst Solutions, Inc. and Joshua Tyrell (paid stock promotion, 2021) SEC 2021-02-24 Paid Stock Promotion — filed SEC v. James T. Booth (ponzi schemes, 2021) SEC 2021-02-22 Ponzi Schemes — judgment SEC v. Isaiah L. Goodman (ponzi schemes, 2021) SEC 2021-02-09 Ponzi Schemes — filed SEC v. CR Intrinsic Investors, et al. (insider trading, 2021) SEC 2021-02-03 Insider Trading — judgment SEC v. Vuuzle Media Corp., Ronald Shane Flynn, and Richard Marchitto (boiler rooms, 2021) SEC 2021-01-27 Boiler Rooms — filed SEC v. William Andrew Stack, Esq. (undisclosed control blocks, 2021) SEC 2021-01-21 Undisclosed Control Blocks , Unregistered Distributions — filed SEC v. Abhi Batra a/k/a Abhimanyu Batra (free riding and parking, 2021) SEC 2021-01-19 Free Riding And Parking — unknown SEC v. Jacob C. Glick (ponzi schemes, 2021) SEC 2021-01-19 Ponzi Schemes — filed SEC v. Advance Practice Advisors, LLC and Paul C. Spitzer (insider trading, 2021) SEC 2021-01-14 Insider Trading $20k settled SEC v. DeAndre P. Sears et al. (ponzi schemes, 2020) SEC 2020-12-31 Ponzi Schemes — settled SEC v. Anthony Thompson, Jr., et al. (paid stock promotion, 2020) SEC 2020-12-30 Paid Stock Promotion , Pump And Dump — judgment SEC v. Gregory Altieri (ponzi schemes, 2020) SEC 2020-12-30 Ponzi Schemes — filed SEC v. Jason Peltz (insider trading, 2020) SEC 2020-12-29 Insider Trading — filed SEC v. Cormark Securities Inc. (naked short selling debate, 2020) SEC 2020-12-21 Naked Short Selling Debate $800k settled SEC v. ITG Canada Corp. and Virtu ITG Canada Corp. (naked short selling debate, 2020) SEC 2020-12-21 Naked Short Selling Debate $200k settled SEC v. Barton S. Ross (false rumors, 2020) SEC 2020-12-18 False Rumors — settled SEC v. Roland M. Mathys (insider trading, 2020) SEC 2020-12-15 Insider Trading $9.9m unknown SEC v. Christopher Clark and William Wright (insider trading, 2020) SEC 2020-12-11 Insider Trading — filed SEC v. J. Jeremy Barbera, Carl Smith, and Nanobeak Biotech Inc. (paid stock promotion, 2020) SEC 2020-12-09 Paid Stock Promotion — judgment SEC v. Mark Alan Lisser a/k/a Mark Alan a/k/a Mark Allen (boiler rooms, 2020) SEC 2020-12-01 Boiler Rooms — filed SEC v. Garrett M. O'Rourke and Michael J. Black (pump and dump, 2020) SEC 2020-11-30 Pump And Dump — judgment SEC v. Rumbaugh et al (ponzi schemes, 2020) SEC 2020-11-24 Ponzi Schemes — judgment SEC v. American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc. (churning, 2020) SEC 2020-11-13 Churning $650k settled SEC v. Douglas A. Roth (insider trading, 2020) SEC 2020-11-09 Insider Trading — filed SEC v. Ieremenko et al.: settlements with Cho, Olefir and Capyield (hack to trade, 2020) SEC 2020-11-05 Hack To Trade , Insider Trading $425k settled SEC v. Michael J. Pires (insider trading, 2020) SEC 2020-11-05 Insider Trading $18.6k settled SEC v. Terrence Chalk, et al. (ponzi schemes, 2020) SEC 2020-11-03 Ponzi Schemes — filed SEC v. Alex Forester, Michael Hicks, Yarden Krampf, Christopher Lee, Sean O'Neal, Michael Raynor, and Lee Sobel (boiler rooms, 2020) SEC 2020-10-27 Boiler Rooms — filed SEC v. Paul Horton Smith, Sr. and others (ponzi schemes, 2020) SEC 2020-10-22 Ponzi Schemes — judgment SEC v. Jillian Sidoti (undisclosed control blocks, 2020) SEC 2020-10-19 Undisclosed Control Blocks — filed SEC v. Rudden, et al. (ponzi schemes, 2020) SEC 2020-10-16 Ponzi Schemes — judgment SEC v. Andeavor LLC (insider trading, 2020) SEC 2020-10-15 Insider Trading $20m settled SEC v. Alexander Rowland (ponzi schemes, 2020) SEC 2020-10-13 Ponzi Schemes — filed SEC v. McAfee et al. (paid stock promotion, 2020) SEC 2020-10-06 Paid Stock Promotion — filed SEC v. Drew Morgan Ciccarelli (pump and dump, 2020) SEC 2020-09-30 Pump And Dump — filed SEC v. Joel Stohlman, et al. (matched orders, 2020) SEC 2020-09-30 Matched Orders , Paid Stock Promotion — filed SEC v. Michael Staisil (ponzi schemes, 2020) SEC 2020-09-30 Ponzi Schemes — filed SEC v. Morgan Stanley & Co. LLC (naked short selling debate, 2020) SEC 2020-09-30 Naked Short Selling Debate $5m settled SEC v. Thomas J. Gity, et al. (ponzi schemes, 2020) SEC 2020-09-30 Ponzi Schemes — filed SEC v. Todd W. Mixon (ponzi schemes, 2020) SEC 2020-09-30 Ponzi Schemes — filed SEC v. J.P. Morgan Securities LLC (cash vs derivatives schemes, 2020) SEC 2020-09-29 Cash Vs Derivatives Schemes , Layering +1 $25m filed SEC v. Lewis I. Wallach (ponzi schemes, 2020) SEC 2020-09-29 Ponzi Schemes — settled SEC v. Laksha Bohra, Viky Bohra, and Gotham Bohra (insider trading, 2020) SEC 2020-09-28 Insider Trading — judgment SEC v. Christopher D. Bachinski (insider trading, 2020) SEC 2020-09-25 Insider Trading $23.1k settled SEC v. Eric M. Hill (insider trading, 2020) SEC 2020-09-25 Insider Trading — filed SEC v. Rachelle A. Thatcher (insider trading, 2020) SEC 2020-09-25 Insider Trading $11.6k settled SEC v. Craig A. Zabala (ponzi schemes, 2020) SEC 2020-09-24 Ponzi Schemes — filed SEC v. Edward T. Kelly (insider trading, 2020) SEC 2020-09-23 Insider Trading — judgment SEC v. PowerTradersPress.com, Inc., et al. (boiler rooms, 2020) SEC 2020-09-21 Boiler Rooms — judgment SEC v. Robert Hoddes Jacobs (insider trading, 2020) SEC 2020-09-21 Insider Trading $157k judgment SEC v. Palmer Square Capital Management LLC (matched orders, 2020) SEC 2020-09-21 Matched Orders $450k settled SEC v. Scott Allen Fries (ponzi schemes, 2020) SEC 2020-09-17 Ponzi Schemes — filed SEC v. Steven J. Sheinfeld (insider trading, 2020) SEC 2020-09-17 Insider Trading — filed SEC v. Henry Sargent et al. (undisclosed control blocks, 2020) SEC 2020-09-16 Undisclosed Control Blocks — judgment SEC v. Craig P. Moyes (insider trading, 2020) SEC 2020-09-10 Insider Trading $116k settled SEC v. Richard M. Kirsch and Adam Terris (insider trading, 2020) SEC 2020-09-10 Insider Trading $1.1m settled SEC v. Covalent Collective, Inc. (unregistered distributions, 2020) SEC 2020-09-03 Unregistered Distributions — settled SEC v. Peter DiChiara (reverse merger schemes, 2020) SEC 2020-09-03 Reverse Merger Schemes $40k judgment SEC v. Phillip W. Conley (ponzi schemes, 2020) SEC 2020-09-03 Ponzi Schemes — filed SEC v. Steven Fitzgerald Brown (ponzi schemes, 2020) SEC 2020-09-03 Ponzi Schemes — settled SEC v. Yue Li (insider trading, 2020) SEC 2020-09-03 Insider Trading $43.2k settled SEC v. Sepehr Sarshar (insider trading, 2020) SEC 2020-08-25 Insider Trading — filed SEC v. Dale Tenhulzen et al. (ponzi schemes, 2020) SEC 2020-08-13 Ponzi Schemes — settled SEC v. Sean R. Stewart et al. (insider trading, 2020) SEC 2020-08-13 Insider Trading — judgment SEC v. Vu Anh Nguyen, et al. (free riding and parking, 2020) SEC 2020-08-11 Free Riding And Parking — settled SEC v. Nicholas Mejia Scrivener (layering, 2020) SEC 2020-08-10 Layering , Spoofing $50k settled SEC v. Jack Brewer (insider trading, 2020) SEC 2020-08-06 Insider Trading — filed SEC v. Victor Lee Farias and Integrity Aviation & Leasing, LLC (ponzi schemes, 2020) SEC 2020-08-04 Ponzi Schemes — filed SEC v. Mustafa David Sayid (pump and dump, 2020) SEC 2020-07-29 Pump And Dump $160k judgment SEC v. Celadon Financial Group LLC (naked short selling debate, 2020) SEC 2020-07-27 Naked Short Selling Debate $125k settled SEC v. Harold L. Altvater (insider trading, 2020) SEC 2020-07-24 Insider Trading — judgment SEC v. IRTH Communications, LLC and Andrew Haag (paid stock promotion, 2020) SEC 2020-07-22 Paid Stock Promotion $35k settled SEC v. Edmond Leung (insider trading, 2020) SEC 2020-07-21 Insider Trading $69.6k settled SEC v. Joseph Zhang (insider trading, 2020) SEC 2020-07-21 Insider Trading $66.7k settled SEC v. Abetterfinancialplan.Com, LLC (unregistered distributions, 2020) SEC 2020-07-14 Unregistered Distributions $8.7k settled SEC v. Michelle Dipp (reverse merger schemes, 2020) SEC 2020-06-30 Reverse Merger Schemes — settled
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