Market Manipulation. Search

Respondents named in more than one action

This list ranks the respondents named in more than one enforcement action in our library. Appearing more than once means a regulator has brought separate actions naming the same respondent; it is not a finding about any of them, and where an action's status is "filed" the allegations remain unproven.

Read this before reading the table. Being named in an enforcement action is an allegation until a court or tribunal resolves it. Some of the actions below are settled without any admission; some are pending; some may have been dismissed since we recorded them. This page counts appearances in filings and asserts nothing beyond that. If a matter here has resolved in a respondent's favour, tell us and we will record it.

Method and its limits. Names are taken verbatim from each regulator's release and matched case-insensitively after stripping punctuation. We do not merge names that differ in spelling, and we do not attempt to establish that two identical names refer to the same person. Common names may therefore be conflated, and one person recorded two ways will appear twice. Verify against the linked primary documents before drawing any conclusion.

Respondents appearing in two or more recorded actions
Respondent Type Actions Penalties recorded Actions
His Company entity 5 2018-01-19 · 2023-09-29 · 2021-10-27 · 2026-07-07 · 2023-08-23
the Bank of Nova Scotia entity 4 $67.8m 2018-10-01 · 2020-08-19 · 2020-08-19 · 2024-09-25
Morrie Tobin et al. individual 4 $230k 2018-11-28 · 2019-08-30 · 2021-04-19 · 2024-10-18
His Firm individual 4 $150k 2021-10-20 · 2022-05-13 · 2021-12-10 · 2020-05-07
His Companies individual 4 2022-05-10 · 2017-02-15 · 2014-09-30 · 2015-05-01
Craig H. Carton, et al. individual 4 2017-09-06 · 2018-11-08 · 2019-05-31 · 2017-10-31
Deutsche Bank Securities Inc. entity 3 $79.1m 2018-02-01 · 2020-06-18 · 2016-10-12
Futures Trader individual 3 $2.3m 2018-09-19 · 2018-09-27 · 2019-09-16
Steven Metro individual 3 $1.2m 2016-09-14 · 2018-03-19 · 2016-09-30
DFRF Enterprises LLC, et al. entity 3 $1m 2015-07-23 · 2019-10-29 · 2020-01-31
Christopher R. Esposito, et al. individual 3 $775k 2016-05-26 · 2017-04-14 · 2018-04-30
Mark A. Jones individual 3 $160k 2016-03-16 · 2016-09-20 · 2017-05-25
Ronald Touchard individual 3 $100k 2023-04-10 · 2022-09-28 · 2024-03-28
Bruce Schoengood, Medifirst Solutions, Inc. entity 3 2021-02-24 · 2022-07-18 · 2023-10-27
Joshua Tyrell individual 3 2021-02-24 · 2022-07-18 · 2023-10-27
Capital Financial Partners, LLC et al. entity 3 2015-04-07 · 2016-11-22 · 2017-11-17
Carnovale, et al. individual 3 2021-12-02 · 2023-03-31 · 2024-01-03
Discala et al. individual 3 2023-05-12 · 2024-09-20 · 2023-04-03
Douglas A. Roth individual 3 2020-11-09 · 2021-11-10 · 2022-01-13
Edward J. Kosinski individual 3 2016-08-04 · 2018-09-28 · 2021-04-21
Edwin Yoshihiro Fujinaga individual 3 2015-01-30 · 2016-03-09 · 2017-06-15
MRI International, Inc., et al. entity 3 2015-01-30 · 2016-03-09 · 2017-06-15
Harold L. Altvater individual 3 2017-07-28 · 2018-10-11 · 2020-07-24
Imran Husain, et al. individual 3 2016-05-12 · 2019-08-06 · 2017-05-24
Jehu Hand individual 3 2017-06-15 · 2015-12-11 · 2018-09-28
Antonio Katz individual 3 2017-06-15 · 2015-12-11 · 2018-09-28
Kevin B. Merrill, et al. individual 3 2018-11-09 · 2019-11-25 · 2022-10-18
Morgan Stanley & Co. LLC entity 3 2016-12-20 · 2024-01-12 · 2020-09-30
Nutra Pharma Corp. et al entity 3 2018-09-28 · 2022-09-16 · 2024-05-15
Scott Newsholme individual 3 2018-04-23 · 2019-04-05 · 2017-09-06
Vlad B. Spivak, et al. individual 3 2016-01-27 · 2017-04-03 · 2015-11-02
HSBC Bank USA entity 2 $1.8bn 2023-11-07 · 2023-05-12
Sam Ikkurty individual 2 $111m 2024-07-03 · 2024-09-03
Shaohua (Michael) Yin, et al. individual 2 $39.5m 2017-02-10 · 2024-08-30
Citigroup Global Markets Inc. entity 2 $25m 2017-01-19 · 2015-08-19
Caledonian Bank Ltd., et al. entity 2 $19.2m 2015-02-11 · 2017-08-25
UBS entity 2 $16.5m 2013-10-25 · 2018-01-29
Roland M. Mathys individual 2 $9.9m 2020-12-15 · 2019-06-13
Defendants individual 2 $8.1m 2014-03-22 · 2019-03-04
Commodity Trading Firm entity 2 $3.8m 2019-06-28 · 2018-07-12
Denis Georgiyevich Sotnikov, et al. individual 2 $2.5m 2020-03-16 · 2021-10-26
Virtu Financial Inc. entity 2 $2.5m 2023-09-12 · 2025-12-03
Virtu Americas LLC entity 2 $2.5m 2023-09-12 · 2025-12-03
Vladimir Eydelman individual 2 $2.5m 2015-10-23 · 2016-09-30
Bovorn Rungruangnavarat individual 2 $2m 2018-05-07 · 2019-10-31
Gary S. Williky individual 2 $1.7m 2015-03-02 · 2018-08-23
Its Owner individual 2 $1.5m 2019-10-01 · 2021-06-15
Gene Daniel Levoff individual 2 $1.1m 2019-02-13 · 2024-07-08
Inc.) entity 2 $1m 2015-09-08 · 2024-06-25
Lek Securities Corp. et al. entity 2 $1m 2017-08-29 · 2019-10-10

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