Home / Cases / Insider trading / Page 8 Insider trading enforcement actions This library records 851 enforcement actions tagged insider trading. Insider trading is dealing in securities on material non-public information in breach of a duty of trust or confidence, which exploits a true signal others cannot see rather than injecting a false one into the price.
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 insider trading technique page.
Actions 100
Total penalties $15.7m
Median penalty $95.8k
Largest $5m
Criminal parallel 27% Action Agency Filed Penalty Status Former Gunns Ltd chairman ordered to pay $500,000 pecuniary penalty for insider trading (ASIC, 2015) ASIC 2015-12-15 — judgment SEC v. Jeffrey K. Skilling et al. (insider trading, 2015) SEC 2015-12-08 — judgment CFTC v. Arya Motazedi (front running, 2015) CFTC 2015-12-02 $100k judgment SEC v. Steven C. Watson (insider trading, 2015) SEC 2015-11-17 — settled SEC v. Zhichen Zhou and Yannan Liu (insider trading, 2015) SEC 2015-11-10 $614k settled Sydney man pleads guilty to insider trading (ASIC, 2015) ASIC 2015-11-09 — judgment SEC v. Vlad B. Spivak, et al. (insider trading, 2015) SEC 2015-11-02 $334k settled SEC v. Mary Beth Knight and Rebecca Norton (insider trading, 2015) SEC 2015-10-28 $25k judgment SEC v. Vladimir Eydelman (insider trading, 2015) SEC 2015-10-23 $1.2m judgment SEC v. Francis J. van Steenberge and Nicolas Zanen (insider trading, 2015) SEC 2015-10-09 $400k judgment SEC v. Oscar Wu (insider trading, 2015) SEC 2015-10-07 — settled SEC v. Saleem Khan et al. (insider trading, 2015) SEC 2015-10-01 — judgment SEC v. Christopher Mire (insider trading, 2015) SEC 2015-09-29 $2.1k settled SEC v. Eddie R. Leblanc (insider trading, 2015) SEC 2015-09-29 $15k settled SEC v. Robert L. Spallina, et al. (insider trading, 2015) SEC 2015-09-28 $234k settled SEC v. Morando Berrettini, et al. (insider trading, 2015) SEC 2015-09-25 — judgment SEC v. Richard Condon, et al. (insider trading, 2015) SEC 2015-09-24 $58.3k judgment SEC v. Eric McPhail, et al. (insider trading, 2015) SEC 2015-09-21 $148k settled SEC v. Maher F. Kara, et al. (insider trading, 2015) SEC 2015-09-10 — judgment SEC v. John McEnery III et al. (insider trading, 2015) SEC 2015-09-09 $95.8k settled SEC v. Donald E. Robar (insider trading, 2015) SEC 2015-09-04 $4.6k settled SEC v. Robert A. Hanner (insider trading, 2015) SEC 2015-09-04 $20.8k settled Former Hanlong managing director pleads guilty to insider trading (ASIC, 2015) ASIC 2015-09-02 — judgment SEC v. Ashish Aggarwal, et al. (insider trading, 2015) SEC 2015-08-25 $18k settled SEC v. Cedric Cañas Maillard (insider trading, 2015) SEC 2015-08-13 $834k judgment AMF France v. Faiveley Transport, A, B, C and D (insider trading, 2015) AMF (France) 2015-07-23 — judgment SEC v. Herbert K. Sudfeld, Jr., et al. (insider trading, 2015) SEC 2015-07-16 — settled SEC v. Timothy J. McGee, et al. (insider trading, 2015) SEC 2015-07-15 — judgment SEC v. Frank Tamayo (insider trading, 2015) SEC 2015-07-13 — settled SEC v. Gerard Boudreault (insider trading, 2015) SEC 2015-07-10 $18.4k settled SEC v. Patrick Lehnert (insider trading, 2015) SEC 2015-07-09 $15.8k settled SEC v. Dimitry Braverman and Vitaly Pupynin (insider trading, 2015) SEC 2015-06-16 $204k judgment SEC v. Helmut Anscheringer (insider trading, 2015) SEC 2015-06-15 $910k settled SEC v. Matthew G. Teeple et al. Andrew Miller (insider trading, 2015) SEC 2015-06-12 — judgment SEC v. Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd. (insider trading, 2015) SEC 2015-06-11 $502k judgment SEC v. Michael J. Fefferman, Chad E. Wiegand, and Akis C. Eracleous (insider trading, 2015) SEC 2015-06-09 — settled SEC v. Anthony Andrade, et al. (insider trading, 2015) SEC 2015-06-08 $150k settled AMF France v. A, X and GEM Investments America LLC (price manipulation and insider trading, 2015) AMF (France) 2015-06-05 — judgment AMF France v. ISA Finances, NG Investments, Ormylia, Socodol, UBS (France) and others (insider trading, 2015) AMF (France) 2015-06-02 — judgment SEC v. Brian D. Jorgenson, et al. (insider trading, 2015) SEC 2015-05-14 — judgment OSC v. Constance Anderson (insider trading, 2015) OSC 2015-05-01 — settled SEC v. Xiaoyu Xia and Yanting Hu (insider trading, 2015) SEC 2015-04-29 $750k settled SEC v. Frank Perkins Hixon, Jr., et al. (insider trading, 2015) SEC 2015-04-28 $683k judgment FCA v. Kenneth George Carver (insider trading, 2015) FCA 2015-03-30 — settled Two men sentenced in Australia’s largest insider trading case (ASIC, 2015) ASIC 2015-03-17 — judgment OSC v. Anand Hariharan and Satish Talawdekar (insider trading, 2015) OSC 2015-03-11 — settled SEC v. Bonan Huang and Nan Huang (insider trading, 2015) SEC 2015-03-10 — judgment SEC v. Zeringue, et al. (insider trading, 2015) SEC 2015-03-06 $64k settled SEC v. Gary S. Williky (insider trading, 2015) SEC 2015-03-02 $1.7m judgment SEC v. Scott Zeringue and Jesse Roberts, III (insider trading, 2015) SEC 2015-02-19 $64k settled AMF France v. IC Telecom and A (insider trading, 2015) AMF (France) 2015-02-11 — judgment SEC v. Hill and Charles L., Jr. (insider trading, 2015) SEC 2015-02-11 — unknown SEC v. John Gray et al. (insider trading, 2015) SEC 2015-02-05 — settled SEC v. Joel J. Epstein (insider trading, 2015) SEC 2015-02-03 $237k settled SEC v. Robert A. Ramsey, CPA (insider trading, 2015) SEC 2015-01-21 $130k settled SEC v. Robert A. Hemm (insider trading, 2014) SEC 2014-12-05 $21.8k settled SEC v. Michael S. Geist and Brent E. Taylor (insider trading, 2014) SEC 2014-11-12 $121k settled SEC v. Steven Durrelle Williams (insider trading, 2014) SEC 2014-11-04 $75k settled Former Hanlong managing director extradited, charged with insider trading (ASIC, 2014) ASIC 2014-10-10 — judgment Former director of Northern Star Resources Limited charged with insider trading (ASIC, 2014) ASIC 2014-10-08 — judgment SEC v. Filip Szymik (insider trading, 2014) SEC 2014-09-30 $47.1k settled SEC v. Jordan Peixoto (insider trading, 2014) SEC 2014-09-30 — dismissed SEC v. David A. Roskein (insider trading, 2014) SEC 2014-09-23 $42.8k settled SEC v. Wells Fargo Advisors, LLC (insider trading controls, 2014) SEC 2014-09-22 $5m settled CFTC v. SAC LP (insider trading, 2014) CFTC 2014-09-16 — unknown AMF France v. Safetic, HSBC France, X, Arkeon Finance, D and E (insider trading and misleading information, 2014) AMF (France) 2014-07-22 — judgment AMF France v. Loyaltouch, Strategic Corporate Finance, B and A (insider trading and misleading information, 2014) AMF (France) 2014-07-16 — judgment AMF France v. C and D (insider trading, 2014) AMF (France) 2014-07-09 — judgment SEC v. S.A.C. Capital Advisors, L.P. and affiliated entities (2014) SEC 2014-06-27 — settled SEC v. Shawn C. Hegedus (insider trading, 2014) SEC 2014-05-30 — settled AMF France v. F, G, H and I (insider dealing, 2014) AMF (France) 2014-05-16 — judgment SEC v. Christopher D. Wiest (insider trading, 2014) SEC 2014-05-13 $56.3k settled AMF France v. Elliott Advisors (UK) Ltd and Elliott Management Corporation (insider dealing, 2014) AMF (France) 2014-04-25 — judgment SEC v. Aharon R. Yehuda (insider trading, 2014) SEC 2014-04-25 $20.7k settled SEC v. Oded Gabay (insider trading, 2014) SEC 2014-04-25 $22.2k settled SEC v. Shimul A. Shah (insider trading, 2014) SEC 2014-04-25 $22.4k settled SEC v. Suken A. Shah (insider trading, 2014) SEC 2014-04-25 $65k settled OSC v. Matthew Schloen (insider trading, 2014) OSC 2014-04-03 — settled SEC v. Wilfred J. Halpern, CPA (insider trading, 2014) SEC 2014-03-19 $41k settled SEC v. John W. Femenia (insider trading, 2014) SEC 2014-02-26 — settled SEC v. Marcus S. Spillson (insider trading, 2014) SEC 2014-01-09 $155k settled FCA v. Rahul Shah Individual (insider trading, 2013) FCA 2013-11-13 — judgment AMF France v. A and B (insider dealing, 2013) AMF (France) 2013-10-18 — judgment SEC v. Scott London, CPA (insider trading, 2013) SEC 2013-09-27 — settled AMF France v. A, B, C, D, Verneuil et Associés, Verneuil Participations, Foch Investissements, FD Conseils et Participations and Duc SA (insider dealing and ownership disclosure failures, 2013) AMF (France) 2013-07-25 — judgment AMF France v. ADT, Lado, Y, Z, C, D, A and B (insider dealing and disclosure failures, 2013) AMF (France) 2013-06-05 — judgment AMF France v. A (insider dealing, 2013) AMF (France) 2013-05-17 — judgment OSC v. Ming Chao Zhao (insider trading, 2013) OSC 2013-05-02 — settled AMF France v. A (insider dealing (recommending trades), 2013) AMF (France) 2013-04-16 — judgment SEC v. Scott Reiman (insider trading, 2013) SEC 2013-04-15 $398k settled AMF France v. A, B and C (insider dealing, 2013) AMF (France) 2013-04-12 — judgment AMF France v. A (insider dealing, 2013) AMF (France) 2013-02-20 — judgment AMF France v. B, Saint Olive Gestion, Archos, A and company X (insider dealing, 2013) AMF (France) 2013-02-13 — judgment SEC v. Kris Chellam (insider trading, 2013) SEC 2013-01-10 — judgment AMF France v. Orco Property Group, B, A and C (misleading information and insider dealing, 2012) AMF (France) 2012-10-22 — judgment AMF France v. A, B, C, D, E, F and Intouch Investments (insider dealing, 2012) AMF (France) 2012-09-28 — judgment AMF France v. D, A, Company Z, B, C and firms X and Y (misleading financial information, 2012) AMF (France) 2012-07-19 — judgment AMF France v. Exane, Boussard & Gavaudan, A and B (insider dealing and information-handling failures, 2012) AMF (France) 2012-06-14 — judgment AMF France v. X (insider dealing, charges rejected, 2011) AMF (France) 2011-12-01 — dismissed AMF France v. Allianz Global Investors France, BNP Paribas, Société Générale, Y and X (insider dealing, 2011) AMF (France) 2011-11-24 — judgment
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