| SEC v. Nicholas D. Skaltsounis (ponzi schemes, 2014) | SEC | 2014-12-31 | Ponzi Schemes , Unregistered Distributions | — | judgment |
| CFTC v. Royal Bank (wash trading, 2014) | CFTC | 2014-12-19 | Wash Trading | $35m | judgment |
| SEC v. Robert A. Hemm (insider trading, 2014) | SEC | 2014-12-05 | Insider Trading | $21.8k | settled |
| Former Genetic Technologies CEO jailed for market manipulation (ASIC, 2014) | ASIC | 2014-11-28 | Price Manipulation | — | unknown |
| SEC v. Wedbush Securities Inc. Jeffrey Bell Christina Fillhart (layering, 2014) | SEC | 2014-11-20 | Layering , Marking The Close +5 | — | settled |
| CFTC v. Five Banks (benchmark submission rigging, 2014) | CFTC | 2014-11-12 | Benchmark Submission Rigging , FX Fixing +1 | $1.4bn | judgment |
| SEC v. Michael S. Geist and Brent E. Taylor (insider trading, 2014) | SEC | 2014-11-12 | Insider Trading | $27.3k | settled |
| SEC v. Pennington Capital Management LLC and Robert J. Evans (rule 105 offering shorts, 2014) | SEC | 2014-11-12 | Rule 105 Offering Shorts | $65k | settled |
| Victorian couple charged with $1.5 million fraud (ASIC, 2014) | ASIC | 2014-11-11 | Ponzi Schemes | — | filed |
| FCA v. Citibank N.A. (benchmark submission rigging, 2014) | FCA | 2014-11-11 | Benchmark Submission Rigging , FX Fixing | — | settled |
| FCA v. HSBC Bank plc (benchmark submission rigging, 2014) | FCA | 2014-11-11 | Benchmark Submission Rigging , FX Fixing | — | settled |
| FCA v. JPMorgan Chase Bank N.A. (benchmark submission rigging, 2014) | FCA | 2014-11-11 | Benchmark Submission Rigging , FX Fixing | — | settled |
| FCA v. The Royal Bank of Scotland plc (benchmark submission rigging, 2014) | FCA | 2014-11-11 | Benchmark Submission Rigging , FX Fixing | — | settled |
| FCA v. UBS AG (benchmark submission rigging, 2014) | FCA | 2014-11-11 | Benchmark Submission Rigging , FX Fixing | — | settled |
| SEC v. Eureeca Capital SPC (unregistered distributions, 2014) | SEC | 2014-11-10 | Unregistered Distributions | $25k | settled |
| CFTC v. unnamed respondents (wash trading, 2014) | CFTC | 2014-11-07 | Wash Trading | — | filed |
| CFTC v. MF Global Inc. (boiler rooms, 2014) | CFTC | 2014-11-07 | Boiler Rooms , Matched Orders +1 | — | settled |
| Former Genetic Technologies CEO convicted of market manipulation (ASIC, 2014) | ASIC | 2014-11-05 | Price Manipulation | — | unknown |
| SEC v. Thomas and Delsa U. The D. Christopher Capital Management Group, LLC (ponzi schemes, 2014) | SEC | 2014-11-04 | Ponzi Schemes | $150k | judgment |
| SEC v. Steven Durrelle Williams (insider trading, 2014) | SEC | 2014-11-04 | Insider Trading | $75k | settled |
| SEC v. Quan and Marlon Stewardship Investment Advisors, LLC (ponzi schemes, 2014) | SEC | 2014-10-30 | Ponzi Schemes | — | judgment |
| SEC v. Eli D. Okman (churning, 2014) | SEC | 2014-10-28 | Churning | $32k | settled |
| SEC v. Thrasos Tommy Petrou (rule 105 offering shorts, 2014) | SEC | 2014-10-27 | Rule 105 Offering Shorts | — | settled |
| SEC v. Alicia Bryan (ponzi schemes, 2014) | SEC | 2014-10-22 | Ponzi Schemes | — | judgment |
| SEC v. Armand R. Franquelin (ponzi schemes, 2014) | SEC | 2014-10-22 | Ponzi Schemes , Unregistered Distributions | — | judgment |
| SEC v. Anthony Coronati and Bidtoask LLC (ponzi schemes, 2014) | SEC | 2014-10-17 | Ponzi Schemes | $100k | judgment |
| New South Wales man pleads guilty to market manipulation (ASIC, 2014) | ASIC | 2014-10-16 | Matched Orders , Price Manipulation | $765k | unknown |
| SEC v. Athena Capital Research, LLC (options expiry pinning, 2014) | SEC | 2014-10-16 | Options Expiry Pinning | $1m | settled |
| SEC v. Wolf and Judy K. (insider trading, 2014) | SEC | 2014-10-15 | Insider Trading | — | settled |
| Former Hanlong managing director extradited, charged with insider trading (ASIC, 2014) | ASIC | 2014-10-10 | Insider Trading | — | judgment |
| SEC v. E*Trade Securities, LLC and and G1 Execution Services, LLC (unregistered distributions, 2014) | SEC | 2014-10-09 | Unregistered Distributions | $1m | settled |
| Former director of Northern Star Resources Limited charged with insider trading (ASIC, 2014) | ASIC | 2014-10-08 | Insider Trading | — | filed |
| CFTC v. Defendant Eric Moncada (price manipulation, 2014) | CFTC | 2014-10-02 | Price Manipulation , Wash Trading | $1.6m | judgment |
| CFTC v. Defendant Daniel Shak (price manipulation, 2014) | CFTC | 2014-10-01 | Price Manipulation | $400k | filed |
| CFTC v. Utah Resident Scott A. Beatty and his Company (ponzi schemes, 2014) | CFTC | 2014-10-01 | Ponzi Schemes | $1m | judgment |
| CFTC v. Fan Zhang (matched orders, 2014) | CFTC | 2014-09-30 | Matched Orders , Wash Trading | $250k | judgment |
| CFTC v. Illinois Resident Gerald J. Considine and His Companies (wash trading, 2014) | CFTC | 2014-09-30 | Wash Trading | — | filed |
| SEC v. Filip Szymik (insider trading, 2014) | SEC | 2014-09-30 | Insider Trading | $47.1k | settled |
| SEC v. Peixoto and Jordan (insider trading, 2014) | SEC | 2014-09-30 | Insider Trading | — | unknown |
| CFTC v. Absa Bank (matched orders, 2014) | CFTC | 2014-09-26 | Matched Orders , Wash Trading | $150k | judgment |
| CFTC v. Ohio Resident John R. Bullar and his Company (ponzi schemes, 2014) | CFTC | 2014-09-24 | Ponzi Schemes , Wash Trading | — | filed |
| SEC v. David A. Roskein (insider trading, 2014) | SEC | 2014-09-23 | Insider Trading | — | settled |
| SEC v. Wells Fargo Advisors, LLC (insider trading, 2014) | SEC | 2014-09-22 | Insider Trading , Wash Trading | — | dismissed |
| SEC v. Ambassador Capital Management, LLC Oglesby and Derek H. (benchmark submission rigging, 2014) | SEC | 2014-09-19 | Benchmark Submission Rigging | — | judgment |
| CFTC v. Ohio Resident Glen Galemmo (ponzi schemes, 2014) | CFTC | 2014-09-17 | Ponzi Schemes | — | filed |
| CFTC v. SAC LP (insider trading, 2014) | CFTC | 2014-09-17 | Insider Trading | — | unknown |
| CFTC v. Brian Hunter (price manipulation, 2014) | CFTC | 2014-09-16 | Price Manipulation | $7.5m | judgment |
| CFTC v. Morgan Stanley Smith Barney (ponzi schemes, 2014) | CFTC | 2014-09-16 | Ponzi Schemes | $280k | judgment |
| SEC v. Advent Capital Management, LLC (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | $65k | settled |
| SEC v. Antipodean Advisors LLC (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | $65k | settled |
| SEC v. Blackrock Institutional Trust Company, N.A. (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | $530k | settled |
| SEC v. East Side Holdings II, Inc. (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | $130k | settled |
| SEC v. Explorador Capital Management, LLC (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | $65k | settled |
| SEC v. Formula Growth, Ltd. (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | $65k | settled |
| SEC v. Great Point Partners, LLC (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | $65k | settled |
| SEC v. Indaba Capital Management, L.P. (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | $97.4k | settled |
| SEC v. Ironman Capital Management, LLC (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | $65k | settled |
| SEC v. James C. Parsons (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | $67.8k | settled |
| SEC v. Midwood Capital Management LLC (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | $65k | settled |
| SEC v. Nob Hill Capital Management, Inc. (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | — | settled |
| SEC v. RA Capital Management, LLC (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | $905k | settled |
| SEC v. Rockwood Investment Management, Inc. (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | $72.1k | settled |
| SEC v. Seawolf Capital, LLC (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | $96.4k | settled |
| SEC v. Solus Alternative Asset Management LP (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | $65k | settled |
| SEC v. Suttonbrook Capital Management LP (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | — | settled |
| SEC v. Troubh Partners LP (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | $107k | settled |
| SEC v. Vinci Partners Investimentos Ltda. (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | $142k | settled |
| SEC v. Whitebox Advisors LLC (rule 105 offering shorts, 2014) | SEC | 2014-09-16 | Rule 105 Offering Shorts | $366k | settled |
| SEC v. Advanced Cell Technology, Inc. (unregistered distributions, 2014) | SEC | 2014-09-10 | Unregistered Distributions | $375k | settled |
| SEC v. Herbert Steven Fouke (churning, 2014) | SEC | 2014-08-29 | Churning | — | judgment |
| CFTC v. FirstRand Bank (matched orders, 2014) | CFTC | 2014-08-28 | Matched Orders , Wash Trading | $150k | judgment |
| SEC v. Timbervest, LLC Shapiro and others (insider trading, 2014) | SEC | 2014-08-20 | Insider Trading | — | appealed |
| SEC v. Monness and others (front running, 2014) | SEC | 2014-08-20 | Front Running , Insider Trading | $150k | settled |
| CFTC v. North Carolina Resident Edwin A. Vasquez and His Company Vasquez Global Investments (ponzi schemes, 2014) | CFTC | 2014-08-08 | Ponzi Schemes | — | filed |
| CFTC v. Parnon Energy Inc. (price manipulation, 2014) | CFTC | 2014-08-05 | Price Manipulation | $13m | settled |
| CFTC v. Defendant John Aaron Brooks (mismarking, 2014) | CFTC | 2014-08-05 | Mismarking | $500k | judgment |
| CFTC v. Lloyds Banking Group and Lloyds Bank (benchmark submission rigging, 2014) | CFTC | 2014-07-29 | Benchmark Submission Rigging , Cash Vs Derivatives Schemes +1 | $105m | judgment |
| SEC v. LavaFlow, Inc. (naked short selling debate, 2014) | SEC | 2014-07-25 | Naked Short Selling Debate | $2.9m | settled |
| SEC v. Erik H. Perry (reverse merger schemes, 2014) | SEC | 2014-07-16 | Reverse Merger Schemes | $75k | judgment |
| SEC v. Carmela Brocco (rule 105 offering shorts, 2014) | SEC | 2014-07-02 | Rule 105 Offering Shorts | $129k | settled |
| SEC v. Derek W. Bakarich (rule 105 offering shorts, 2014) | SEC | 2014-07-02 | Rule 105 Offering Shorts | $9.7k | settled |
| SEC v. Steven J. Niemis (rule 105 offering shorts, 2014) | SEC | 2014-07-02 | Rule 105 Offering Shorts | $78.5k | settled |
| SEC v. Tina M. Lizzio (rule 105 offering shorts, 2014) | SEC | 2014-07-02 | Rule 105 Offering Shorts | $17.3k | settled |
| SEC v. William W. Vowell (rule 105 offering shorts, 2014) | SEC | 2014-07-02 | Rule 105 Offering Shorts | $30.9k | settled |
| SEC v. unnamed respondents (insider trading, 2014) | SEC | 2014-06-27 | Insider Trading | $6.4m | settled |
| SEC v. Montanino and David J. (ponzi schemes, 2014) | SEC | 2014-06-24 | Ponzi Schemes | — | filed |
| CFTC v. Robert Andres (ponzi schemes, 2014) | CFTC | 2014-06-20 | Ponzi Schemes | $32.4m | judgment |
| SEC v. Diamond Lane, Inc. (undisclosed control blocks, 2014) | SEC | 2014-06-16 | Undisclosed Control Blocks | — | unknown |
| SEC v. ShopEye, Inc. and others (undisclosed control blocks, 2014) | SEC | 2014-06-16 | Undisclosed Control Blocks | — | unknown |
| SEC v. Sunchip Technology, Inc. (undisclosed control blocks, 2014) | SEC | 2014-06-16 | Undisclosed Control Blocks | — | unknown |
| SEC v. Thomas E. Meade (insider trading, 2014) | SEC | 2014-06-11 | Insider Trading | $100k | settled |
| SEC v. Erik T. Voorhees (unregistered distributions, 2014) | SEC | 2014-06-03 | Unregistered Distributions | — | settled |
| SEC v. George Louis Theodule (ponzi schemes, 2014) | SEC | 2014-06-02 | Ponzi Schemes | $250k | judgment |
| SEC v. Hegedus and Shawn C. (insider trading, 2014) | SEC | 2014-05-30 | Insider Trading | — | unknown |
| FCA v. Daniel James Plunkett Individual (benchmark submission rigging, 2014) | FCA | 2014-05-23 | Benchmark Submission Rigging | — | settled |
| SEC v. G-2 Trading LLC (rule 105 offering shorts, 2014) | SEC | 2014-05-22 | Rule 105 Offering Shorts | $75k | settled |
| SEC v. Genesis Advisory Services Corp., ABJ Societe Anonyme Corp. and Bruce J. Fixelle (rule 105 offering shorts, 2014) | SEC | 2014-05-21 | Rule 105 Offering Shorts | $492k | settled |
| SEC v. Ironbird Capital LLC (rule 105 offering shorts, 2014) | SEC | 2014-05-21 | Rule 105 Offering Shorts | — | settled |
| SEC v. Delaney and others (naked short selling debate, 2014) | SEC | 2014-05-19 | Naked Short Selling Debate | — | unknown |
| SEC v. Johnson and Michael H. (naked short selling debate, 2014) | SEC | 2014-05-19 | Naked Short Selling Debate | $125k | settled |