Market manipulation enforcement actions filed in 2013

This library records 111 market manipulation enforcement actions filed in 2013, brought by AMF-FR, CFTC, FCA, 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: 11
Total penalties: $333m
Median penalty: $1.3m
Largest: $325m
Criminal parallel: 18%

Action	Agency	Filed	Technique	Penalty	Status
CFTC v. CME Group’s New York Mercantile Exchange and Two Former Employees (2013)	CFTC	2013-02-21		$4m	settled
SEC v. James S. Tagliaferri (ponzi schemes, 2013)	SEC	2013-02-21	Ponzi Schemes	—	judgment
AMF France v. A (insider dealing, 2013)	AMF (France)	2013-02-20	Insider Trading	—	judgment
AMF France v. B, Saint Olive Gestion, Archos, A and company X (insider dealing, 2013)	AMF (France)	2013-02-13	Insider Trading	—	judgment
CFTC v. Gelber Group (wash trading, 2013)	CFTC	2013-02-08	Wash Trading	$950k	judgment
CFTC v. unnamed respondents (ponzi schemes, 2013)	CFTC	2013-02-06	Ponzi Schemes	$1.1m	settled
CFTC v. The Royal Bank of Scotland plc and RBS Securities Japan Limited (benchmark submission rigging, 2013)	CFTC	2013-02-06	Benchmark Submission Rigging , Price Manipulation +1	$325m	settled
FCA v. The Royal Bank of Scotland plc (benchmark submission rigging, 2013)	FCA	2013-02-06	Benchmark Submission Rigging , Cash Vs Derivatives Schemes +2	—	settled
SEC v. Ardsley Advisory Partners (rule 105 offering shorts, 2013)	SEC	2013-02-05	Rule 105 Offering Shorts	$253k	settled
CFTC v. Christy, Crabapple Capital Group (ponzi schemes, 2013)	CFTC	2013-01-28	Ponzi Schemes	$1.5m	settled
SEC v. Kris Chellam (insider trading, 2013)	SEC	2013-01-10	Insider Trading	—	judgment