EDGAR filing fraud enforcement actions
This library records 10 enforcement actions tagged edgar filing fraud. EDGAR filing fraud is submitting a false document through the SEC's official filing system, exploiting the authority of the system of record to move a share price before the issuer can correct 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 edgar filing fraud technique page.
- Actions
- 10
- Total penalties
- $1.5m
- Median penalty
- $765k
- Largest
- $1.5m
- Criminal parallel
- 70%
| Action | Agency | Filed | Penalty | Status |
|---|---|---|---|---|
| SEC v. Lee Simmons (price manipulation, 2022) | SEC | 2022-08-19 | — | filed |
| SEC v. PTG Capital Partners, Ltd. (sham tender offers, 2020) | SEC | 2020-03-11 | $1.5m | judgment |
| SEC v. Mark E. Burns (price manipulation, 2019) | SEC | 2019-08-12 | $60k | judgment |
| SEC v. Mark E. Burns, Robert W. Murray (price manipulation, 2018) | SEC | 2018-07-17 | — | settled |
| SEC v. Nauman A. Aly (sham tender offers, 2018) | SEC | 2018-03-28 | — | unknown |
| SEC v. Robert W. Murray (sham tender offers, 2018) | SEC | 2018-03-22 | — | unknown |
| SEC v. Robert W. Murray (sham tender offers, 2017) | SEC | 2017-11-09 | — | filed |
| SEC v. Robert W. Murray (price manipulation, 2017) | SEC | 2017-05-19 | — | unknown |
| SEC v. PTG Capital Partners LTD, et al. (sham tender offers, 2016) | SEC | 2016-03-11 | — | filed |
| SEC v. PTG Capital Partners LTD, et al. (sham tender offers, 2015) | SEC | 2015-07-10 | — | filed |