Analyst manipulation enforcement actions
This library records 6 enforcement actions tagged analyst manipulation. Analyst manipulation is publishing research that does not reflect the analyst's genuine view, because the rating serves an investment banking relationship or a trading position rather than the client reading it.
Actions are listed newest first. Each row links to a case page carrying the regulator's own release and, where one was published, the complaint. For how this technique works and what statute it engages, read the analyst manipulation technique page.
- Actions
- 6
- Total penalties
- $10.5m
- Median penalty
- $520k
- Largest
- $9.5m
- Criminal parallel
- 0%
| Action | Agency | Filed | Penalty | Status |
|---|---|---|---|---|
| SEBI v. Pradeep Baijnath Pandya and others (CNBC Awaaz, 2024) | SEBI (India) | 2024-06-11 | — | judgment |
| SEC v. SeeThruEquity, LLC, Ajay Tandon, and Amit Tandon (newsletter scalping, 2022) | SEC | 2022-01-28 | $520k | judgment |
| SEC v. SeeThruEquity, LLC et al. (newsletter scalping, 2018) | SEC | 2018-11-08 | $520k | judgment |
| AMF France v. A (analyst manipulation, 2017) | AMF (France) | 2017-05-29 | — | judgment |
| SEC v. Deutsche Bank Securities Inc. (analyst manipulation, 2016) | SEC | 2016-10-12 | $9.5m | judgment |
| AMF France v. A, B (analyst-manipulation, front-running, 2010) | AMF (France) | 2010-01-21 | — | judgment |