Home / Cases / SEC / Page 9 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 $35.5m
Median penalty $150k
Largest $24m
Criminal parallel 34% Action Agency Filed Technique Penalty Status 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 SEC v. Todd Lahr and Thomas Megas (ponzi schemes, 2020) SEC 2020-06-24 Ponzi Schemes — judgment SEC v. Gomes et al. (unregistered distributions, 2020) SEC 2020-06-18 Unregistered Distributions — filed SEC v. Neil Burkholz, et al. (ponzi schemes, 2020) SEC 2020-06-15 Ponzi Schemes — judgment SEC v. Jason C. Nielsen (pump and dump, 2020) SEC 2020-06-10 Pump And Dump , Spoofing — filed SEC v. Dubovoy et al.: settlements with eight defendants (hack to trade, 2020) SEC 2020-06-10 Hack To Trade — judgment SEC v. Daniel F. Putnam, Jean Paul Ramirez Rico, Angel A. Rodriguez, MMT Distribution, LLC, R & D Global (ponzi schemes, 2020) SEC 2020-06-05 Ponzi Schemes — unknown SEC v. Jana Faith Kiena, CPA (insider trading, 2020) SEC 2020-06-05 Insider Trading $125k settled SEC v. BitClave PTE Ltd. (unregistered distributions, 2020) SEC 2020-05-28 Unregistered Distributions $400k settled SEC v. Ares Management LLC (insider trading, 2020) SEC 2020-05-26 Insider Trading $1m settled SEC v. Paul Ewer (boiler rooms, 2020) SEC 2020-05-22 Boiler Rooms — unknown SEC v. Robert Gilbert (boiler rooms, 2020) SEC 2020-05-22 Boiler Rooms — judgment SEC v. Turbo Global Partners, Inc. and Robert W. Singerman (boiler rooms, 2020) SEC 2020-05-14 Boiler Rooms — filed SEC v. Clinton Maurice Tucker II (boiler rooms, 2020) SEC 2020-05-11 Boiler Rooms — filed SEC v. Damon Elliott, et al. (ponzi schemes, 2020) SEC 2020-05-06 Ponzi Schemes — filed SEC v. Zhuobin Hong, et al. (insider trading, 2020) SEC 2020-05-05 Insider Trading — filed SEC v. American Bondholders Foundation, LLC and Jonna Bianco (unregistered distributions, 2020) SEC 2020-04-30 Unregistered Distributions $65k settled SEC v. Wei Duan (insider trading, 2020) SEC 2020-04-30 Insider Trading — settled SEC v. Semper Capital Management, L.P. (mismarking, 2020) SEC 2020-04-28 Mismarking $375k settled SEC v. Aequitas Management, LLC, et al. (ponzi schemes, 2020) SEC 2020-04-24 Ponzi Schemes $625k judgment SEC v. Biltmore International Corporation (naked short selling debate, 2020) SEC 2020-04-24 Naked Short Selling Debate , Unregistered Distributions $125k settled SEC v. Barry R. Bekkedam (ponzi schemes, 2020) SEC 2020-04-22 Ponzi Schemes — unknown SEC v. Amir Waldman, et al. (insider trading, 2020) SEC 2020-04-17 Insider Trading — judgment SEC v. Ieremenko et al.: settlements with Kwon and Sabodakha (hack to trade, 2020) SEC 2020-04-09 Hack To Trade , Insider Trading $149k settled SEC v. Bryan Cohen and George Nikas (insider trading, 2020) SEC 2020-03-30 Insider Trading — judgment SEC v. Benjamin Kirkland (insider trading, 2020) SEC 2020-03-27 Insider Trading $23.1k settled SEC v. David M. Mahan (insider trading, 2020) SEC 2020-03-26 Insider Trading — judgment SEC v. Kendricks, et al., Hamed A. Ettu (insider trading, 2020) SEC 2020-03-23 Insider Trading — judgment SEC v. Scott O. Hirsch and Kenneth L. Friedman (insider trading, 2020) SEC 2020-03-19 Insider Trading — settled SEC v. Denis Georgiyevich Sotnikov, et al. (spoofing, 2020) SEC 2020-03-16 Spoofing — filed SEC v. Stacey Beane, Justin Deckert and Travis Laska (ponzi schemes, 2020) SEC 2020-03-13 Ponzi Schemes $30k judgment SEC v. BMA Securities, LLC (naked short selling debate, 2020) SEC 2020-03-12 Naked Short Selling Debate — settled SEC v. Barry Honig, et al. (pump and dump, 2020) SEC 2020-03-11 Pump And Dump — judgment SEC v. PTG Capital Partners, Ltd. (sham tender offers, 2020) SEC 2020-03-11 EDGAR Filing Fraud , Sham Tender Offers $1.5m judgment SEC v. Todays Growth Consultant Inc. and Kenneth D. Courtright, III (ponzi schemes, 2020) SEC 2020-03-06 Ponzi Schemes — filed SEC v. Tomer Feingold and Dov Malnik (insider trading, 2020) SEC 2020-03-06 Insider Trading — filed SEC v. Brook Church-Koegel, et al. (ponzi schemes, 2020) SEC 2020-03-05 Ponzi Schemes — filed SEC v. Bradley Davis (insider trading, 2020) SEC 2020-02-28 Insider Trading — unknown SEC v. Shawn Severson (paid stock promotion, 2020) SEC 2020-02-28 Paid Stock Promotion $3.5k settled SEC v. Steven Seagal (paid stock promotion, 2020) SEC 2020-02-27 Paid Stock Promotion $157k settled SEC v. Charles F. Kerwin (insider trading, 2020) SEC 2020-02-24 Insider Trading $47.4k settled SEC v. Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong (matched orders, 2020) SEC 2020-02-21 Matched Orders — judgment SEC v. Jon L. Aronson and Elliet N. Aronson (insider trading, 2020) SEC 2020-02-20 Insider Trading — judgment SEC v. Richard Lee, et al. (insider trading, 2020) SEC 2020-02-20 Insider Trading — judgment SEC v. EquiAlt LLC et al. (ponzi schemes, 2020) SEC 2020-02-18 Ponzi Schemes — filed SEC v. Charlie Jinan Chen and Shui Foon Mok (insider trading, 2020) SEC 2020-02-05 Insider Trading — unknown SEC v. Cannell Capital, LLC (insider trading, 2020) SEC 2020-02-04 Insider Trading $150k settled SEC v. Bill Tsai (insider trading, 2020) SEC 2020-01-31 Insider Trading — judgment SEC v. DFRF Enterprises LLC, et al. (ponzi schemes, 2020) SEC 2020-01-31 Ponzi Schemes — judgment SEC v. Michael Douglas Billings and MDB Group, LLC (ponzi schemes, 2020) SEC 2020-01-31 Ponzi Schemes — settled SEC v. Edward E. Matthes (ponzi schemes, 2020) SEC 2020-01-28 Ponzi Schemes — judgment SEC v. David Aubel and Robert Raffa (paid stock promotion, 2020) SEC 2020-01-27 Paid Stock Promotion $150k judgment SEC v. Jeffrey P. Carpoff and Paulette Carpoff (ponzi schemes, 2020) SEC 2020-01-24 Ponzi Schemes — settled SEC v. Benjamin L. Bunker, Esq. (pump and dump, 2020) SEC 2020-01-23 Pump And Dump , Reverse Merger Schemes +1 — unknown SEC v. Guy Scott Griffithe, Robert William Russell, Renewable Technologies Solution, Inc., Green Acres Pharms, LLC, and others (ponzi schemes, 2020) SEC 2020-01-21 Ponzi Schemes — filed SEC v. Drake et al., Messier et al., Brooks (boiler rooms, 2020) SEC 2020-01-16 Boiler Rooms — judgment SEC v. Lidingo Holdings, LLC, et al. (paid stock promotion, 2020) SEC 2020-01-14 Paid Stock Promotion — judgment SEC v. Robert O. Carr and Katherine M. Hanratty (insider trading, 2020) SEC 2020-01-13 Insider Trading $251k judgment SEC v. Bajic et al., Ciapala et al. (unregistered distributions, 2020) SEC 2020-01-10 Unregistered Distributions — filed SEC v. John James Sheehan, Jr. (unregistered distributions, 2020) SEC 2020-01-10 Unregistered Distributions $37.5k settled SEC v. Donald G. Blakstad (insider trading, 2020) SEC 2020-01-08 Insider Trading — filed SEC v. Edward Espinal and Cash Flow Partners, LLC (ponzi schemes, 2020) SEC 2020-01-07 Ponzi Schemes — filed SEC v. Ulrik Debo (custodianship shell hijacking, 2020) SEC 2020-01-03 Custodianship Shell Hijacking , Pump And Dump +1 — filed SEC v. James V. Mazzo, et al. (insider trading, 2020) SEC 2020-01-02 Insider Trading $56k judgment SEC v. Pinto-Thomaz, et al. (insider trading, 2020) SEC 2020-01-02 Insider Trading — judgment SEC v. Amir Waldman, et al. (insider trading, 2019) SEC 2019-12-23 Insider Trading — judgment SEC v. S. Paul Kelley, et al. (reverse merger schemes, 2019) SEC 2019-12-20 Reverse Merger Schemes , Unregistered Distributions — unknown SEC v. Songjiang Wang (insider trading, 2019) SEC 2019-12-20 Insider Trading — filed SEC v. Retirement Surety LLC Crescendo Financial LLC Rose and others (unregistered distributions, 2019) SEC 2019-12-20 Unregistered Distributions — appealed SEC v. Janardhan Nellore et al. (insider trading, 2019) SEC 2019-12-18 Insider Trading — unknown SEC v. Robert A. Karmann (ponzi schemes, 2019) SEC 2019-12-18 Ponzi Schemes — settled SEC v. Sam A. Antar (ponzi schemes, 2019) SEC 2019-12-18 Ponzi Schemes — filed SEC v. John Special, Defendant, and Michael Murphy, Relief Defendant, John Kenneth Davidson (insider trading, 2019) SEC 2019-12-12 Insider Trading $1.5m judgment SEC v. Christopher Collins, et al. (insider trading, 2019) SEC 2019-12-10 Insider Trading — judgment SEC v. Jeffrey O. Friedland, Global Corporate Strategies LLC., and Intiva Pharma, LLC (paid stock promotion, 2019) SEC 2019-12-09 Paid Stock Promotion $2m judgment SEC v. Lester Burroughs (ponzi schemes, 2019) SEC 2019-12-05 Ponzi Schemes — filed SEC v. Brett Pittsenbargar, et al. (ponzi schemes, 2019) SEC 2019-11-25 Ponzi Schemes — filed SEC v. Kevin B. Merrill, et al. (ponzi schemes, 2019) SEC 2019-11-25 Ponzi Schemes — filed SEC v. Bandimere and others (ponzi schemes, 2019) SEC 2019-11-22 Ponzi Schemes , Unregistered Distributions $130k settled SEC v. Richard Lee, et al. (insider trading, 2019) SEC 2019-11-21 Insider Trading $130k judgment SEC v. Ruless Pierre a/k/a Rules Pierre (ponzi schemes, 2019) SEC 2019-11-21 Ponzi Schemes — unknown SEC v. Burkholz, et al. (ponzi schemes, 2019) SEC 2019-11-20 Ponzi Schemes — unknown SEC v. James S. Kimmel (insider trading, 2019) SEC 2019-11-19 Insider Trading — unknown SEC v. Sebastian Pinto-Thomaz (insider trading, 2019) SEC 2019-11-12 Insider Trading — judgment SEC v. David N. Osegueda, et al. (pump and dump, 2019) SEC 2019-11-06 Pump And Dump — judgment SEC v. Richard Eden, et al. and Dale Pearlman (undisclosed control blocks, 2019) SEC 2019-11-04 Undisclosed Control Blocks $125k settled SEC v. Bovorn Rungruangnavarat (insider trading, 2019) SEC 2019-10-31 Insider Trading — judgment SEC v. DFRF Enterprises LLC, et al. (ponzi schemes, 2019) SEC 2019-10-29 Ponzi Schemes $1m judgment SEC v. Benjamin Taylor, Darina Windsor and Joseph Abdul Noor El-Khouri (insider trading, 2019) SEC 2019-10-22 Insider Trading — filed SEC v. Bryan Cohen and George Nikas (insider trading, 2019) SEC 2019-10-22 Insider Trading — unknown SEC v. Joseph Bayliss and Ronald Roach (ponzi schemes, 2019) SEC 2019-10-22 Ponzi Schemes — settled SEC v. Michael J. Starkweather and Andiamo Corporation, William White (matched orders, 2019) SEC 2019-10-17 Matched Orders , Paid Stock Promotion — filed SEC v. Eric J. "EJ" Dalius et al. (ponzi schemes, 2019) SEC 2019-10-15 Ponzi Schemes , Undisclosed Control Blocks — unknown SEC v. Anton Senderov, et al. (boiler rooms, 2019) SEC 2019-10-10 Boiler Rooms — filed SEC v. Daniel Rivas, et al. (insider trading, 2019) SEC 2019-10-10 Insider Trading — judgment SEC v. Lek Securities Corp., et al. (layering, 2019) SEC 2019-10-10 Layering $1m judgment SEC v. Block.One (unregistered distributions, 2019) SEC 2019-09-30 Unregistered Distributions $24m settled SEC v. Gil Beserglik, et al. (boiler rooms, 2019) SEC 2019-09-30 Boiler Rooms — filed SEC v. James T. Booth (ponzi schemes, 2019) SEC 2019-09-30 Ponzi Schemes — filed
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