Market manipulation enforcement actions filed in 2005
This library records 1 market manipulation enforcement action filed in 2005, brought by SEC.
Counts by year reflect when an action was filed or announced, not when the underlying conduct occurred — those are often years apart. Compare across years with care: a single multi-defendant sweep can dominate a year's count.
- Actions
- 1
- Total penalties
- $0
- Median penalty
- —
- Largest
- —
- Criminal parallel
- 0%
| Action | Agency | Filed | Technique | Penalty | Status |
|---|---|---|---|---|---|
| SEC v. James F. Glaza d/b/a Falcon Financial Services, Inc. (unregistered distributions, 2005) | SEC | 2005-07-21 | Unregistered Distributions | — | dismissed |