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
$110m
Median penalty
$200k
Largest
$27.9m
Criminal parallel
37%
Action Agency Filed Technique Penalty Status
SEC v. Nathaniel Brown, Benjamin Wylam, Naveen Sood, Marcus Bannon, Matthew Rauch, and Naresh Ramaiya (insider trading, 2021) SEC 2021-06-25 Insider Trading $654k settled
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 — judgment
SEC v. Robert Joseph Armijo, et al. (ponzi schemes, 2021) SEC 2021-06-15 Ponzi Schemes $75k settled
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 — judgment
SEC v. Mohammed A. Bari (insider trading, 2021) SEC 2021-05-27 Insider Trading $238k 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 $315k settled
SEC v. LFS Funding Limited Partnership, Stephen Thompson, Steven Comisar, Dale Engelhardt and Ross Erskine (undisclosed control blocks, 2021) SEC 2021-05-20 Undisclosed Control Blocks — filed
SEC v. David N. Osegueda, et al. (pump and dump, 2021) SEC 2021-05-07 Pump And Dump $664k judgment
SEC v. Jonathan P. Maroney, Et. Al (ponzi schemes, 2021) SEC 2021-04-27 Ponzi Schemes — filed
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 — settled
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 — judgment
SEC v. Jason P. Wootten, et al. (ponzi schemes, 2021) SEC 2021-03-23 Ponzi Schemes — settled
SEC v. Seth P. Levine (2021) SEC 2021-03-19 — settled
SEC v. Shawn C. Cutting (2021) SEC 2021-03-11 $6.9m judgment
SEC v. AT&T, Inc., et al. (2021) SEC 2021-03-05 — 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 (2021) SEC 2021-02-09 — 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 $27.9m judgment
SEC v. William Andrew Stack, Esq. (undisclosed control blocks, 2021) SEC 2021-01-21 Undisclosed Control Blocks , Unregistered Distributions $333k judgment
SEC v. Abhi Batra a/k/a Abhimanyu Batra (free riding and parking, 2021) SEC 2021-01-19 Free Riding And Parking $195k judgment
SEC v. Jacob C. Glick (2021) SEC 2021-01-19 $725k judgment
SEC v. Advanced Practice Advisors, LLC and Paul C. Spitzer (2021) SEC 2021-01-14 $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 — settled
SEC v. Jason Peltz (insider trading, 2020) SEC 2020-12-29 Insider Trading — settled
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 judgment
SEC v. Christopher Clark and William Wright (insider trading, 2020) SEC 2020-12-11 Insider Trading $482k settled
SEC v. J. Jeremy Barbera, Carl Smith, and Nanobeak Biotech Inc. (2020) SEC 2020-12-09 — filed
SEC v. Mark Alan Lisser a/k/a Mark Alan a/k/a Mark Allen (boiler rooms, 2020) SEC 2020-12-01 Boiler Rooms — settled
SEC v. Garrett M. O'Rourke and Michael J. Black (pump and dump, 2020) SEC 2020-11-30 Pump And Dump — judgment
SEC v. Craig Rumbaugh, et al. (2020) SEC 2020-11-24 $193k judgment
SEC v. American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc. (2020) SEC 2020-11-13 $650k settled
SEC v. Douglas A. Roth (insider trading, 2020) SEC 2020-11-09 Insider Trading — settled
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. (2020) SEC 2020-11-03 — settled
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 $1.8m judgment
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 $22k settled
SEC v. Rudden, et al. (ponzi schemes, 2020) SEC 2020-10-16 Ponzi Schemes — judgment
SEC v. Andeavor LLC (2020) SEC 2020-10-15 $20m settled
SEC v. Alexander Rowland (2020) SEC 2020-10-13 — settled
SEC v. McAfee et al. (paid stock promotion, 2020) SEC 2020-10-06 Paid Stock Promotion — settled
SEC v. Drew Morgan Ciccarelli (pump and dump, 2020) SEC 2020-09-30 Pump And Dump — settled
SEC v. Joel Stohlman, et al. (matched orders, 2020) SEC 2020-09-30 Matched Orders — filed
SEC v. Michael Staisil (ponzi schemes, 2020) SEC 2020-09-30 Ponzi Schemes $200k settled
SEC v. Morgan Stanley & Co. LLC (2020) SEC 2020-09-30 $5m settled
SEC v. Thomas J. Gity, et al. (2020) SEC 2020-09-30 $193k settled
SEC v. Todd W. Mixon (2020) SEC 2020-09-30 — judgment
SEC v. J.P. Morgan Securities LLC (layering and spoofing, 2020) SEC 2020-09-29 Layering , Spoofing $25m settled
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 $1.1m 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 — settled
SEC v. Rachelle A. Thatcher (insider trading, 2020) SEC 2020-09-25 Insider Trading $11.6k settled
SEC v. Craig A. Zabala (2020) SEC 2020-09-24 — settled
SEC v. Edward T. Kelly (insider trading, 2020) SEC 2020-09-23 Insider Trading $170k settled
SEC v. Palmer Square Capital Management LLC (cross trading, 2020) SEC 2020-09-21 $450k settled
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 settled
SEC v. Scott Allen Fries (2020) SEC 2020-09-17 $209k judgment
SEC v. Steven J. Sheinfeld (insider trading, 2020) SEC 2020-09-17 Insider Trading $305k settled
SEC v. Frederick Mintz and Alan Fraade (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 $2.5m settled
SEC v. Ryan Felton, FLiK, and CoinSpark (price manipulation, 2020) SEC 2020-09-10 Price Manipulation — judgment
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 , Undisclosed Control Blocks $40k settled
SEC v. Phillip W. Conley (2020) SEC 2020-09-03 — judgment
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 $56.2k settled
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, Adam Michael Reed and Anthony Xavier Moya (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 — judgment
SEC v. Mustafa David Sayid and Norman Reynolds (pump and dump, 2020) SEC 2020-07-29 Pump And Dump $235k 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 $42.5k 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 (2020) SEC 2020-06-30 $75k settled
SEC v. BNP Paribas Securities Corp. (naked short selling debate, 2020) SEC 2020-06-29 Naked Short Selling Debate $250k settled
SEC v. Dandan Wu (insider trading, 2020) SEC 2020-06-29 Insider Trading $41.9k settled