Market Manipulation. Search

SEC manipulation enforcement actions

This library records 1768 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
$12.9m
Median penalty
$125k
Largest
$9.9m
Criminal parallel
36%
Action Agency Filed Technique Penalty Status
SEC v. Cetera Advisor Networks LLC (spoofing, 2021) SEC 2021-08-30 Spoofing — settled
SEC v. Donald G. Blakstad, et al. (insider trading, 2021) SEC 2021-08-30 Insider Trading — unknown
SEC v. KMS Financial Services, Inc. (spoofing, 2021) SEC 2021-08-30 Spoofing — settled
SEC v. Roger E. Dobrovodsky (unregistered distributions, 2021) SEC 2021-08-30 Unregistered Distributions $50k settled
SEC v. Scott and Lisa Chasin (insider trading, 2021) SEC 2021-08-30 Insider Trading — settled
SEC v. William B. McHenry Jr. and First South Investments, LLC (ponzi schemes, 2021) SEC 2021-08-27 Ponzi Schemes — filed
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 — unknown
SEC v. Sung Mo Jun, Joon Jun, Junwoo Chon, Ayden Lee, and Jae Hyeon Bae (insider trading, 2021) SEC 2021-08-25 Insider Trading — judgment
SEC v. Denise Grevas (insider trading, 2021) SEC 2021-08-18 Insider Trading — filed
SEC v. William Scott Lawler, Esq. (matched orders, 2021) SEC 2021-08-18 Matched Orders , Wash Trading — judgment
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 — 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. (ponzi schemes, 2021) SEC 2021-08-13 Ponzi Schemes — unknown
SEC v. MJ Capital Funding, LLC, et al, (ponzi schemes, 2021) SEC 2021-08-13 Ponzi Schemes — unknown
SEC v. Zorayr Mikael Manukyan-Zakaryan (insider trading, 2021) SEC 2021-08-10 Insider Trading — settled
SEC v. Leonard R. Barr (insider trading, 2021) SEC 2021-08-09 Insider Trading — judgment
SEC v. Blockchain Credit Partners d/b/a DeFi Money Market and Gregory Keough and Derek Acree (undisclosed control blocks, 2021) SEC 2021-08-06 Undisclosed Control Blocks — settled
SEC v. Virland A. Johnson (paid stock promotion, 2021) SEC 2021-08-03 Paid Stock Promotion — filed
SEC v. George Heckler (ponzi schemes, 2021) SEC 2021-07-28 Ponzi Schemes — filed
SEC v. Alan L. Alexander (insider trading, 2021) SEC 2021-07-23 Insider Trading — settled
SEC v. Charlie Abujudeh (paid stock promotion, 2021) SEC 2021-07-22 Paid Stock Promotion , Pump And Dump — unknown
SEC v. Outdoor Capital Partners, LLC (ponzi schemes, 2021) SEC 2021-07-22 Ponzi Schemes — unknown
SEC v. Profit Connect Wealth Services, Inc., Joy I. Kovar, and Brent C. Kovar (ponzi schemes, 2021) SEC 2021-07-20 Ponzi Schemes — unknown
SEC v. Blotics Ltd. f/d/b/a Coinschedule Ltd. (paid stock promotion, 2021) SEC 2021-07-14 Paid Stock Promotion — settled
SEC v. Chancey and Paul L. Jr., CPA (wash trading, 2021) SEC 2021-07-13 Wash Trading $1.5m judgment
SEC v. Jonathan Mimun a/k/a Jonathan Maymon and Ronn BenHarav (boiler rooms, 2021) SEC 2021-07-13 Boiler Rooms — unknown
SEC v. Contrarian Press, LLC, Scott S. Fraser, and Nathan Yeung (paid stock promotion, 2021) SEC 2021-07-01 Paid Stock Promotion — dismissed
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 — 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 — 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. 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. Peter J. Decaprio (undisclosed control blocks, 2021) SEC 2021-05-10 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. Amit Tandon, Esq. (paid stock promotion, 2021) SEC 2021-04-22 Paid Stock Promotion — 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. Morrie Tobin et al. (paid stock promotion, 2021) SEC 2021-04-19 Paid Stock Promotion — 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 (paid stock promotion, 2021) SEC 2021-03-11 Paid Stock Promotion , 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. Rosedale Asset Management, LLC and Princeton Advisory Wealth Management, LLC (undisclosed control blocks, 2021) SEC 2021-02-05 Undisclosed Control Blocks — settled
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 — 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 — settled
SEC v. ITG Canada Corp. and Virtu ITG Canada Corp. (naked short selling debate, 2020) SEC 2020-12-21 Naked Short Selling Debate — settled
SEC v. Barton S. Ross (false rumors, 2020) SEC 2020-12-18 False Rumors — settled
SEC v. Laksha Bohra (insider trading, 2020) SEC 2020-12-17 Insider Trading — judgment
SEC v. Mancera (wash trading, 2020) SEC 2020-12-17 Wash Trading — judgment
SEC v. Ronald Phillips, Esq. (matched orders, 2020) SEC 2020-12-17 Matched Orders — judgment
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 — settled
SEC v. Douglas A. Roth (insider trading, 2020) SEC 2020-11-09 Insider Trading — filed
SEC v. Ieremenko et al. (insider trading, 2020) SEC 2020-11-05 Insider Trading $175k judgment
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. Mustafa David Sayid, Esq. (paid stock promotion, 2020) SEC 2020-10-22 Paid Stock Promotion — judgment
SEC v. Paul Horton Smith, Sr. and others (ponzi schemes, 2020) SEC 2020-10-22 Ponzi Schemes — judgment
SEC v. Reynolds and Norman T., Esq. (paid stock promotion, 2020) SEC 2020-10-22 Paid Stock Promotion — 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 — 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