Home / Cases / Paid stock promotion / Page 2 Paid stock promotion enforcement actions This library records 129 enforcement actions tagged paid stock promotion. Paid stock promotion is publicising a security in exchange for compensation, which is lawful only if the fact of payment, the payer and the amount are fully disclosed under Securities Act Section 17(b).
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 paid stock promotion technique page.
Actions 29
Total penalties $569k
Median penalty $44k
Largest $200k
Criminal parallel 45% Action Agency Filed Penalty Status SEC v. ImmunoCellular Therapeutics, Ltd. (paid stock promotion, 2017) SEC 2017-04-10 — settled SEC v. Joel Corenman (paid stock promotion, 2017) SEC 2017-04-10 $25k settled SEC v. Lion Biotechnologies, Inc. (paid stock promotion, 2017) SEC 2017-04-10 $100k settled SEC v. Michael A. McCarthy (paid stock promotion, 2017) SEC 2017-04-10 $75k settled SEC v. Stephen Ramey (paid stock promotion, 2017) SEC 2017-04-10 $24k settled SEC v. Cort Poyner et al. (paid stock promotion, 2017) SEC 2017-01-19 — judgment SEC v. Jason A. Wallace (boiler rooms, 2016) SEC 2016-09-27 — filed SEC v. Contrarian Press, LLC, Scott S. Fraser, and Nathan Yeung (paid stock promotion, 2016) SEC 2016-09-06 — filed SEC v. Christopher R. Esposito, et al. (paid stock promotion, 2016) SEC 2016-05-26 — filed SEC v. Imran Husain, et al. (paid stock promotion, 2016) SEC 2016-05-12 — unknown SEC v. Pranav V. Patel (paid stock promotion, 2016) SEC 2016-05-03 — unknown SEC v. Asher Z. Zwebner and Luke C. Zouvas, et al. (paid stock promotion, 2016) SEC 2016-04-26 — unknown SEC v. William E. Mapp, III, et al. (paid stock promotion, 2016) SEC 2016-04-11 $200k settled SEC v. David Aubel and Robert Raffa (paid stock promotion, 2016) SEC 2016-04-07 — unknown SEC v. Tobin Smith, et al. (paid stock promotion, 2016) SEC 2016-03-29 $75k settled SEC v. Guy Gentile (paid stock promotion, 2016) SEC 2016-03-23 — filed SEC v. Jehu Hand and Antonio Katz (paid stock promotion, 2015) SEC 2015-12-11 — filed SEC v. Joseph Catapano and Michael Piervinanzi (paid stock promotion, 2015) SEC 2015-10-26 $44k judgment SEC v. Frank Morelli III and Louis Buonocore (paid stock promotion, 2015) SEC 2015-09-21 — filed SEC v. Marco Babini et al. (paid stock promotion, 2015) SEC 2015-09-14 — judgment SEC v. unnamed respondents (paid stock promotion, 2015) SEC 2015-08-10 — judgment SEC v. unnamed respondents (paid stock promotion, 2015) SEC 2015-07-14 — filed SEC v. Norstra Energy Inc., Glen Landry and Eric Dany (paid stock promotion, 2015) SEC 2015-06-18 — judgment SEC v. Edmond L. Lonergan and Green Planet Group, Inc. (paid stock promotion, 2015) SEC 2015-06-02 — unknown SEC v. Adam S. Gottbetter, Mitchell G. Adam, and K. David Stevenson (paid stock promotion, 2015) SEC 2015-05-28 — settled SEC v. Mike Taxon and Itamar Cohen (paid stock promotion, 2015) SEC 2015-05-28 — settled SEC v. Houston American Energy Corp. Terwilliger and others (paid stock promotion, 2015) SEC 2015-04-23 $22.5k settled SEC v. Adam Troy Dooly (paid stock promotion, 2013) SEC 2013-09-30 $3k settled SEC v. OTC Live, Inc. and Mark A. Suleymanov (paid stock promotion, 2004) SEC 2004-09-30 — dismissed
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