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
$83.3m
Median penalty
$275k
Largest
$24m
Criminal parallel
32%
Action Agency Filed Technique Penalty Status
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 — judgment
SEC v. Neil Burkholz, et al. (ponzi schemes, 2020) SEC 2020-06-15 Ponzi Schemes — judgment
SEC v. Dubovoy et al.: settlements with eight defendants (hack to trade, 2020) SEC 2020-06-10 Hack To Trade — judgment
SEC v. Jason C. Nielsen (pump and dump, 2020) SEC 2020-06-10 Pump And Dump , Spoofing — settled
SEC v. Daniel F. Putnam, et al. (2020) SEC 2020-06-05 $7.2m judgment
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 (2020) SEC 2020-05-26 $1m settled
SEC v. Paul Ewer (boiler rooms, 2020) SEC 2020-05-22 Boiler Rooms — settled
SEC v. Robert Gilbert (boiler rooms, 2020) SEC 2020-05-22 Boiler Rooms — judgment
SEC v. Turbo Global Partners, Inc. and Robert W. Singerman (fake press releases, 2020) SEC 2020-05-14 Fake Press Releases — settled
SEC v. Clinton Maurice Tucker II (boiler rooms, 2020) SEC 2020-05-11 Boiler Rooms — judgment
SEC v. Damon Elliott, et al. (ponzi schemes, 2020) SEC 2020-05-06 Ponzi Schemes $5.4m judgment
SEC v. Zhuobin Hong, et al. (insider trading, 2020) SEC 2020-05-05 Insider Trading $2.3m settled
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 $60k 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 $925k judgment
SEC v. Biltmore International Corporation (naked short selling debate, 2020) SEC 2020-04-24 Naked Short Selling Debate $125k settled
SEC v. Barry R. Bekkedam (2020) SEC 2020-04-22 — settled
SEC v. Amir Waldman, et al. (insider trading, 2020) SEC 2020-04-17 Insider Trading $1.1m judgment
SEC v. Ieremenko et al.: settlements with Kwon and Sabodakha (hack to trade, 2020) SEC 2020-04-09 Hack To Trade $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 $87.3k judgment
SEC v. Mychal Kendricks and 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 $597k settled
SEC v. Denis Georgiyevich Sotnikov, et al. (fake certificate-of-deposit fraud, 2020) SEC 2020-03-16 $8.4m judgment
SEC v. Stacey Beane, Justin Deckert and Travis Laska (2020) SEC 2020-03-13 $30k judgment
SEC v. BMA Securities, LLC (naked short selling debate, 2020) SEC 2020-03-12 Naked Short Selling Debate $275k 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 $3.8m settled
SEC v. Brook Church-Koegel, et al. (ponzi schemes, 2020) SEC 2020-03-05 Ponzi Schemes — settled
SEC v. Bradley Davis (insider trading, 2020) SEC 2020-02-28 Insider Trading $100k judgment
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 $775k judgment
SEC v. Jon L. Aronson and Elliet N. Aronson (insider trading, 2020) SEC 2020-02-20 Insider Trading $40.6k settled
SEC v. Richard Lee, et al. (insider trading, 2020) SEC 2020-02-20 Insider Trading — judgment
SEC v. EquiAlt LLC, et al. (2020) SEC 2020-02-18 $1.5m settled
SEC v. Charlie Jinan Chen and Shui Foon Mok (insider trading, 2020) SEC 2020-02-05 Insider Trading — judgment
SEC v. Cannell Capital, LLC (2020) SEC 2020-02-04 $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 (2020) SEC 2020-01-28 — settled
SEC v. David Aubel and Robert Raffa (pump and dump, 2020) SEC 2020-01-27 Pump And Dump , Undisclosed Control Blocks $150k judgment
SEC v. Jeffrey P. Carpoff and Paulette Carpoff (ponzi schemes, 2020) SEC 2020-01-24 Ponzi Schemes — filed
SEC v. Benjamin L. Bunker, Esq. (pump and dump, 2020) SEC 2020-01-23 Pump And Dump , Undisclosed Control Blocks +1 — settled
SEC v. Guy Scott Griffithe, et al. (2020) SEC 2020-01-21 $3.3m judgment
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 — settled
SEC v. John James Sheehan, Jr. (ponzi schemes, 2020) SEC 2020-01-10 Ponzi Schemes $37.5k settled
SEC v. Donald G. Blakstad (2020) SEC 2020-01-08 — settled
SEC v. Edward Espinal and Cash Flow Partners, LLC (ponzi schemes, 2020) SEC 2020-01-07 Ponzi Schemes — filed
SEC v. Ulrik Debo (pump and dump, 2020) SEC 2020-01-03 Pump And Dump , Undisclosed Control Blocks — filed
SEC v. James V. Mazzo, et al. (insider trading, 2020) SEC 2020-01-02 Insider Trading $56k settled
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. Retirement Surety LLC Crescendo Financial LLC Rose and others (unregistered distributions, 2019) SEC 2019-12-20 Unregistered Distributions $11.3k appealed
SEC v. S. Paul Kelley, et al. (reverse merger schemes, 2019) SEC 2019-12-20 Reverse Merger Schemes , Unregistered Distributions — settled
SEC v. Songjiang Wang (insider trading, 2019) SEC 2019-12-20 Insider Trading $50k settled
SEC v. Janardhan Nellore et al. (insider trading, 2019) SEC 2019-12-18 Insider Trading — settled
SEC v. Robert A. Karmann (ponzi schemes, 2019) SEC 2019-12-18 Ponzi Schemes — settled
SEC v. Sam A. Antar (2019) SEC 2019-12-18 — settled
SEC v. John Special and John Kenneth Davidson (insider trading, 2019) SEC 2019-12-12 Insider Trading $1.6m settled
SEC v. Christopher Collins, et al. (insider trading, 2019) SEC 2019-12-10 Insider Trading — settled
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 — settled
SEC v. Brett Pittsenbargar, et al. (ponzi schemes, 2019) SEC 2019-11-25 Ponzi Schemes $100k settled
SEC v. Kevin B. Merrill, et al. (ponzi schemes, 2019) SEC 2019-11-25 Ponzi Schemes — filed
SEC v. David F. Bandimere (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 $1.8m judgment
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 $835k judgment
SEC v. Richard Eden, Christopher Neumann and Dale Pearlman (matched orders, 2019) SEC 2019-11-04 Matched Orders $225k 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 $4.8m judgment
SEC v. Bryan Cohen and George Nikas (insider trading, 2019) SEC 2019-10-22 Insider Trading — settled
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 , Fake Press Releases $150k settled
SEC v. Eric J. "EJ" Dalius et al. (ponzi schemes, 2019) SEC 2019-10-15 Ponzi Schemes $3.1m settled
SEC v. Anton Senderov, et al. (boiler rooms, 2019) SEC 2019-10-10 Boiler Rooms $700k settled
SEC v. Daniel Rivas, et al. (insider trading, 2019) SEC 2019-10-10 Insider Trading — judgment
SEC v. Lek Securities Corporation and Samuel Lek (layering, 2019) SEC 2019-10-10 Layering $1.4m 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 $865k settled
SEC v. James T. Booth (ponzi schemes, 2019) SEC 2019-09-30 Ponzi Schemes — settled
SEC v. iQuantifi, Inc. and Thomas F. White (unregistered distributions, 2019) SEC 2019-09-27 Unregistered Distributions $25k settled
SEC v. Sean Stewart, et al. (insider trading, 2019) SEC 2019-09-26 Insider Trading — settled
SEC v. Andres Fernandez and Edison Denizard (ponzi schemes, 2019) SEC 2019-09-25 Ponzi Schemes — judgment