Market manipulation enforcement actions filed in 2013
This library records 102 market manipulation enforcement actions filed in 2013, brought by CFTC, 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
- 2
- Total penalties
- $1.5m
- Median penalty
- $1.5m
- Largest
- $1.5m
- Criminal parallel
- 0%
| Action | Agency | Filed | Technique | Penalty | Status |
|---|---|---|---|---|---|
| CFTC v. unnamed respondents (ponzi schemes, 2013) | CFTC | 2013-01-29 | Ponzi Schemes | $1.5m | settled |
| SEC v. Kris Chellam (insider trading, 2013) | SEC | 2013-01-10 | Insider Trading | — | judgment |