Home / Cases / Ponzi schemes / Page 6 Ponzi schemes enforcement actions This library records 602 enforcement actions tagged ponzi schemes. A Ponzi scheme pays returns to earlier investors from later investors' money rather than from genuine profits, which is investment fraud with no market involvement and no price to manipulate.
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 ponzi schemes technique page.
Actions 100
Total penalties $91.5m
Median penalty $700k
Largest $32.4m
Criminal parallel 47% Action Agency Filed Penalty Status SEC v. Garfield Taylor, Inc., et al. (ponzi schemes, 2015) SEC 2015-10-08 $150k judgment SEC v. Charles Riel III and REinvest LLC (ponzi schemes, 2015) SEC 2015-09-30 — filed SEC v. Jason Mogler, et al. (ponzi schemes, 2015) SEC 2015-09-15 — filed SEC v. Joseph Paul Zada (ponzi schemes, 2015) SEC 2015-09-11 — appealed SEC v. Eric Aronson, et al. (ponzi schemes, 2015) SEC 2015-09-02 $250k judgment CFTC v. Ron Earl McCullough (ponzi schemes, 2015) CFTC 2015-08-29 $2.5m judgment OSC v. Paul Camillo Dinardo (ponzi schemes, 2015) OSC 2015-08-20 — filed SEC v. Total Wealth Management, Inc. Cooper and others (ponzi schemes, 2015) SEC 2015-08-17 — judgment SEC v. Palladino, et al. (ponzi schemes, 2015) SEC 2015-08-13 — unknown CFTC v. Keith F. Simmons (ponzi schemes, 2015) CFTC 2015-08-01 — settled SEC v. DFRF Enterprises LLC, et al. (ponzi schemes, 2015) SEC 2015-07-23 — filed SEC v. Michael R. Enea (ponzi schemes, 2015) SEC 2015-07-20 — judgment CFTC v. Defendant Carl David Wright (ponzi schemes, 2015) CFTC 2015-07-11 $1m settled SEC v. Luca International Group, LLC, et al. (ponzi schemes, 2015) SEC 2015-07-06 $25.5k settled OSC v. Terrence Bedford (ponzi schemes, 2015) OSC 2015-07-02 — settled SEC v. Malcolm Segal (ponzi schemes, 2015) SEC 2015-07-01 — filed CFTC v. Illinois Resident Nick A. Wurl and His Company Ludiera Capital LLC (ponzi schemes, 2015) CFTC 2015-06-25 — filed SEC v. Phil Donnahue Williamson (ponzi schemes, 2015) SEC 2015-06-23 — judgment SEC v. Equity Trust Company (ponzi schemes, 2015) SEC 2015-06-16 — judgment SEC v. Capital Financial Partners, LLC et al. Will D. Allen and Susan C. Daub (ponzi schemes, 2015) SEC 2015-06-15 — judgment OSC v. Davide Amato and others (ponzi schemes, 2015) OSC 2015-05-29 — judgment Alleged Ponzi scheme operator faces court (ASIC, 2015) ASIC 2015-05-26 — filed SEC v. North Dakota Developments, LLC, Robert L. Gavin, and Daniel J. Hogan, et. al. (ponzi schemes, 2015) SEC 2015-05-06 — filed CFTC v. North Carolina Resident Barry C. Taylor and His Companies (ponzi schemes, 2015) CFTC 2015-05-01 — filed SEC v. Veros Partners, Inc., et al. (ponzi schemes, 2015) SEC 2015-04-24 — filed CFTC v. Florida Resident Dorian A. Garcia and his Companies (ponzi schemes, 2015) CFTC 2015-04-21 — filed SEC v. James A. Evans, Jr., d/b/a Cashflowbot.com, d/b/a DollarMonster (ponzi schemes, 2015) SEC 2015-04-13 — unknown SEC v. Capital Financial Partners, LLC et al. (ponzi schemes, 2015) SEC 2015-04-07 — unknown OSC v. Andre Lewis (ponzi schemes, 2015) OSC 2015-04-01 — filed SEC v. Gregory W. Gray, Jr., et al. (ponzi schemes, 2015) SEC 2015-03-27 — filed SEC v. Randal Kent Hansen (ponzi schemes, 2015) SEC 2015-03-18 — judgment SEC v. Julieann Palmer Martin (ponzi schemes, 2015) SEC 2015-03-09 — settled SEC v. John A. Geringer (ponzi schemes, 2015) SEC 2015-02-23 — judgment SEC v. Kristine L. Johnson, Troy A. Barnes, Work with Troy Barnes, Inc. (d/b/a) The Achieve Community, Defendants, and Achieve International, LLC, Relief Defendant (ponzi schemes, 2015) SEC 2015-02-18 — unknown SEC v. Edwin Yoshihiro Fujinaga and MRI International, Inc., et al. (ponzi schemes, 2015) SEC 2015-01-30 — judgment SEC v. Francisco Illarramendi, et al. (ponzi schemes, 2015) SEC 2015-01-30 — judgment SEC v. Quan and Marlon Stewardship Investment Advisors, LLC (ponzi schemes, 2015) SEC 2015-01-30 — judgment SEC v. Loren W. Holzhueter, et al. (ponzi schemes, 2015) SEC 2015-01-29 — unknown SEC v. Frederic Elm f/k/a Frederic Elmaleh, et al. (ponzi schemes, 2015) SEC 2015-01-21 — judgment SEC v. Gary Harrison Lane (ponzi schemes, 2015) SEC 2015-01-20 — judgment CFTC v. Allied Markets LLC (ponzi schemes, 2015) CFTC 2015-01-13 — filed SEC v. Nicholas D. Skaltsounis (ponzi schemes, 2014) SEC 2014-12-31 — judgment Victorian couple charged with $1.5 million fraud (ASIC, 2014) ASIC 2014-11-11 — filed SEC v. Thomas and Delsa U. The D. Christopher Capital Management Group, LLC (ponzi schemes, 2014) SEC 2014-11-04 $150k judgment SEC v. Quan and Marlon Stewardship Investment Advisors, LLC (ponzi schemes, 2014) SEC 2014-10-30 — judgment SEC v. Alicia Bryan (ponzi schemes, 2014) SEC 2014-10-22 — judgment SEC v. Armand R. Franquelin (ponzi schemes, 2014) SEC 2014-10-22 — judgment SEC v. Anthony Coronati and Bidtoask LLC (ponzi schemes, 2014) SEC 2014-10-17 $100k judgment CFTC v. Utah Resident Scott A. Beatty and his Company (ponzi schemes, 2014) CFTC 2014-10-01 $1m judgment CFTC v. Ohio Resident John R. Bullar and his Company (ponzi schemes, 2014) CFTC 2014-09-24 — filed CFTC v. Ohio Resident Glen Galemmo (ponzi schemes, 2014) CFTC 2014-09-17 — filed CFTC v. Morgan Stanley Smith Barney (ponzi schemes, 2014) CFTC 2014-09-16 $280k judgment CFTC v. North Carolina Resident Edwin A. Vasquez and His Company Vasquez Global Investments (ponzi schemes, 2014) CFTC 2014-08-08 — filed SEC v. Montanino and David J. (ponzi schemes, 2014) SEC 2014-06-24 — filed CFTC v. Robert Andres (ponzi schemes, 2014) CFTC 2014-06-20 $32.4m judgment SEC v. George Louis Theodule (ponzi schemes, 2014) SEC 2014-06-02 $250k judgment OSC v. Duncan Cleworth and others (ponzi schemes, 2014) OSC 2014-05-14 — judgment SEC v. Chalmers and Julianne (ponzi schemes, 2014) SEC 2014-04-17 — filed CFTC v. unnamed respondents (ponzi schemes, 2014) CFTC 2014-04-01 $5.8m judgment CFTC v. Defendants Ward Onsa (ponzi schemes, 2014) CFTC 2014-04-01 $5.7m judgment CFTC v. Defendants (ponzi schemes, 2014) CFTC 2014-03-22 $2.2m filed CFTC v. South Carolina Residents Robert S. and Amy L. Leben (ponzi schemes, 2014) CFTC 2014-03-20 — unknown SEC v. Coplan and Jenny E. (ponzi schemes, 2014) SEC 2014-03-18 — filed SEC v. Timothy J. Geidel (ponzi schemes, 2014) SEC 2014-02-20 — judgment CFTC v. Defendants Harbor Light Asset (ponzi schemes, 2014) CFTC 2014-02-12 $5.2m judgment SEC v. unnamed respondents (insider trading, 2014) SEC 2014-01-22 — dismissed SEC v. Hicks and Richard D. (ponzi schemes, 2014) SEC 2014-01-14 — settled CFTC v. David R. Lynch (ponzi schemes, 2013) CFTC 2013-12-13 $300k judgment SEC v. Frank Bluestein (ponzi schemes, 2013) SEC 2013-11-26 — appealed OSC v. TransCap Corporation and others (ponzi schemes, 2013) OSC 2013-11-21 — unknown SEC v. Martin and Julieann Palmer (ponzi schemes, 2013) SEC 2013-11-13 — settled CFTC v. UBS (benchmark submission rigging, 2013) CFTC 2013-10-25 $1.5m settled OSC v. Bradon Technologies Ltd. and others (ponzi schemes, 2013) OSC 2013-10-03 — dismissed OSC v. Weizhen Tang (ponzi schemes, 2013) OSC 2013-09-30 — dismissed SEC v. Adam Troy Dooly (paid stock promotion, 2013) SEC 2013-09-30 $3k settled SEC v. TD Bank, N.A. (ponzi schemes, 2013) SEC 2013-09-23 — dismissed SEC v. David G. Bartholomew (ponzi schemes, 2013) SEC 2013-09-06 — settled SEC v. Anthony John Johnson (ponzi schemes, 2013) SEC 2013-09-05 — judgment SEC v. Ricardo Bonilla Rojas (ponzi schemes, 2013) SEC 2013-09-04 — unknown CFTC v. unnamed respondents (ponzi schemes, 2013) CFTC 2013-08-27 $350k settled OSC v. Kevin Warren Zietsoff (ponzi schemes, 2013) OSC 2013-08-19 — settled SEC v. Bogar and others (ponzi schemes, 2013) SEC 2013-08-02 — judgment SEC v. Jennifer E. Thoennes (ponzi schemes, 2013) SEC 2013-07-01 $45k judgment CFTC v. Defendant Christopher Varlesi (ponzi schemes, 2013) CFTC 2013-06-26 $700k judgment CFTC v. North Carolina Resident C. David Wright (ponzi schemes, 2013) CFTC 2013-06-26 — unknown SEC v. Ward Onsa (ponzi schemes, 2013) SEC 2013-06-17 — judgment CFTC v. Bentley Equities (ponzi schemes, 2013) CFTC 2013-06-05 $150k judgment CFTC v. Defendants Philip Milton (ponzi schemes, 2013) CFTC 2013-05-24 $4m judgment SEC v. Larry Michael Parrish (ponzi schemes, 2013) SEC 2013-05-24 — judgment SEC v. Patrick Merrill Brody (ponzi schemes, 2013) SEC 2013-05-22 — judgment CFTC v. Christy (ponzi schemes, 2013) CFTC 2013-05-21 — settled CFTC v. unnamed respondents (ponzi schemes, 2013) CFTC 2013-05-14 $2.5m filed CFTC v. unnamed respondents (ponzi schemes, 2013) CFTC 2013-04-24 $1.5m judgment CFTC v. Defendants PMC (ponzi schemes, 2013) CFTC 2013-04-18 $560k judgment CFTC v. New York Firm 4X Solutions (ponzi schemes, 2013) CFTC 2013-04-09 — filed SEC v. Sean Nathan Healy (ponzi schemes, 2013) SEC 2013-04-08 — unknown CFTC v. Cilli (ponzi schemes, 2013) CFTC 2013-03-28 — unknown OSC v. Fernando Honorate Fagundes also known as Henry Roche and New Futures Trading International Corporation (ponzi schemes, 2013) OSC 2013-03-18 — judgment CFTC v. Ronnie Gene Wilson (ponzi schemes, 2013) CFTC 2013-03-01 $23m judgment SEC v. Tagliaferri and James S. (ponzi schemes, 2013) SEC 2013-02-21 — judgment
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