Market Manipulation. Search

Market manipulation enforcement actions filed in 2014

This library records 145 market manipulation enforcement actions filed in 2014, brought by AMF-FR, ASIC, 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
100
Total penalties
$1.7bn
Median penalty
$130k
Largest
$1.5bn
Criminal parallel
20%
Action Agency Filed Technique Penalty Status
SEC v. Nicholas D. Skaltsounis (ponzi schemes, 2014) SEC 2014-12-31 Ponzi Schemes , Unregistered Distributions $1.5m judgment
CFTC v. Royal Bank of Canada (wash trading, 2014) CFTC 2014-12-18 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 — judgment
SEC v. Wedbush Securities Inc., Jeffrey Bell and Christina Fillhart (market access controls, 2014) SEC 2014-11-20 $25k settled
CFTC v. Citibank, HSBC, JPMorgan, RBS and UBS (FX benchmark manipulation, 2014) CFTC 2014-11-12 Benchmark Submission Rigging , FX Fixing +1 $1.5bn settled
SEC v. Michael S. Geist and Brent E. Taylor (insider trading, 2014) SEC 2014-11-12 Insider Trading $121k 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 — judgment
FCA v. Citibank N.A. (FX benchmark manipulation, 2014) FCA 2014-11-11 FX Fixing — settled
FCA v. HSBC Bank plc (FX benchmark manipulation, 2014) FCA 2014-11-11 FX Fixing — settled
FCA v. JPMorgan Chase Bank N.A. (FX benchmark manipulation, 2014) FCA 2014-11-11 FX Fixing — settled
FCA v. The Royal Bank of Scotland plc (FX benchmark manipulation, 2014) FCA 2014-11-11 FX Fixing — settled
FCA v. UBS AG (FX benchmark manipulation, 2014) FCA 2014-11-11 FX Fixing — settled
SEC v. Eureeca Capital SPC (unregistered distributions, 2014) SEC 2014-11-10 Unregistered Distributions $25k settled
CFTC v. Emini Experts LLC and others (fraud and asset freeze, 2014) CFTC 2014-11-06 $2.1m judgment
Former Genetic Technologies CEO convicted of market manipulation (ASIC, 2014) ASIC 2014-11-05 Price Manipulation — judgment
SEC v. Steven Durrelle Williams (insider trading, 2014) SEC 2014-11-04 Insider Trading $75k settled
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. Marlon Quan and Stewardship Investment Advisors, LLC (2014) SEC 2014-10-30 — judgment
SEC v. Eli D. Okman (churning, 2014) SEC 2014-10-28 Churning $32k settled
AMF France v. EuropaCorp, X and Y (false or misleading information, 2014) AMF (France) 2014-10-27 Misleading Issuer Disclosure — judgment
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 $150k 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 settled
New South Wales man pleads guilty to market manipulation (ASIC, 2014) ASIC 2014-10-16 Matched Orders , Price Manipulation — judgment
SEC v. Athena Capital Research, LLC (marking the close, 2014) SEC 2014-10-16 Marking The Close $1m settled
SEC v. Judy K. Wolf (2014) SEC 2014-10-15 — dismissed
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 — judgment
AMF France v. Bourse Direct and A (layering, 2014) AMF (France) 2014-10-01 Layering — judgment
CFTC v. Eric Moncada, BES Capital LLC and Serdika LLC (price manipulation, 2014) CFTC 2014-10-01 Price Manipulation , Spoofing +1 $1.6m judgment
CFTC v. Daniel Shak (order violation, 2014) CFTC 2014-09-30 $100k settled
CFTC v. Beatty, Peak Capital Management Group (ponzi schemes, 2014) CFTC 2014-09-30 Ponzi Schemes $1m judgment
SEC v. Filip Szymik (insider trading, 2014) SEC 2014-09-30 Insider Trading $47.1k settled
SEC v. Jordan Peixoto (insider trading, 2014) SEC 2014-09-30 Insider Trading — dismissed
CFTC v. Fan Zhang (matched orders, 2014) CFTC 2014-09-29 Matched Orders $250k judgment
CFTC v. Gerald J. Considine, Novo Trading LLC and Considine Trading Corp. (customer fund fraud, 2014) CFTC 2014-09-29 $1.7m judgment
CFTC v. Absa Bank, Ltd. (matched orders, 2014) CFTC 2014-09-25 Matched Orders $150k judgment
CFTC v. John R. Bullar and Executive Management Advisors L.L.C. (commodity pool Ponzi scheme, 2014) CFTC 2014-09-23 Ponzi Schemes — judgment
SEC v. David A. Roskein (insider trading, 2014) SEC 2014-09-23 Insider Trading $42.8k settled
SEC v. Wells Fargo Advisors, LLC (insider trading controls, 2014) SEC 2014-09-22 Insider Trading $5m settled
SEC v. Ambassador Capital Management, LLC and Derek H. Oglesby (2014) SEC 2014-09-19 $821k judgment
CFTC v. SAC LP (insider trading, 2014) CFTC 2014-09-16 Insider Trading — unknown
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
CFTC v. Brian Hunter (price manipulation, 2014) CFTC 2014-09-15 Price Manipulation $750k judgment
CFTC v. Morgan Stanley Smith Barney (2014) CFTC 2014-09-15 $280k judgment
CFTC v. Galemmo (ponzi schemes, 2014) CFTC 2014-09-15 Ponzi Schemes — settled
SEC v. Advanced Cell Technology, Inc. (2014) SEC 2014-09-10 $375k settled
SEC v. Herbert Steven Fouke (2014) SEC 2014-08-29 — judgment
CFTC v. FirstRand Bank, Ltd. (matched orders, 2014) CFTC 2014-08-27 Matched Orders $150k judgment
SEC v. Monness and others (2014) SEC 2014-08-20 $150k settled
SEC v. Timbervest, LLC Shapiro and others (2014) SEC 2014-08-20 — appealed
CFTC v. John Aaron Brooks (mismarking, 2014) CFTC 2014-08-04 Mismarking $500k judgment
CFTC v. Parnon Energy Inc., Arcadia Petroleum Ltd., Arcadia Energy (Suisse) SA, James Dyer and Nicholas Wildgoose (price manipulation, 2014) CFTC 2014-08-04 Price Manipulation $13m settled
CFTC v. Vasquez, Vasquez Global Investments (ponzi schemes, 2014) CFTC 2014-07-30 Ponzi Schemes $995k judgment
CFTC v. Lloyds Banking Group and Lloyds Bank (benchmark submission rigging, 2014) CFTC 2014-07-28 Benchmark Submission Rigging , Cash Vs Derivatives Schemes +1 $105m settled
SEC v. LavaFlow, Inc. (2014) SEC 2014-07-25 $2.9m settled
AMF France v. Safetic, HSBC France, X, Arkeon Finance, D and E (insider trading and misleading information, 2014) AMF (France) 2014-07-22 Insider Trading — judgment
AMF France v. Loyaltouch, Strategic Corporate Finance, B and A (insider trading and misleading information, 2014) AMF (France) 2014-07-16 Insider Trading — judgment
SEC v. Erik H. Perry (undisclosed control blocks, 2014) SEC 2014-07-16 Undisclosed Control Blocks $150k settled
AMF France v. C and D (insider trading, 2014) AMF (France) 2014-07-09 Insider Trading — 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. S.A.C. Capital Advisors, L.P. and affiliated entities (2014) SEC 2014-06-27 Insider Trading — settled
SEC v. Montanino and David J. (2014) SEC 2014-06-24 $25k judgment
CFTC v. Robert Andres (ponzi schemes, 2014) CFTC 2014-06-19 Ponzi Schemes $32.4m judgment
SEC v. Diamond Lane, Inc. (undisclosed control blocks, 2014) SEC 2014-06-16 Undisclosed Control Blocks — judgment
SEC v. ShopEye, Inc. and others (undisclosed control blocks, 2014) SEC 2014-06-16 Undisclosed Control Blocks — judgment
SEC v. Sunchip Technology, Inc. (undisclosed control blocks, 2014) SEC 2014-06-16 Undisclosed Control Blocks — judgment
SEC v. Thomas E. Meade (2014) SEC 2014-06-11 $100k settled
SEC v. Erik T. Voorhees (unregistered distributions, 2014) SEC 2014-06-03 Unregistered Distributions $35k settled
SEC v. George Louis Theodule (ponzi schemes, 2014) SEC 2014-06-02 Ponzi Schemes $250k judgment
SEC v. Shawn C. Hegedus (insider trading, 2014) SEC 2014-05-30 Insider Trading — settled
FCA v. Daniel James Plunkett (banging the close, 2014) FCA 2014-05-23 Banging The Close — settled
SEC v. G-2 Trading LLC (rule 105 offering shorts, 2014) SEC 2014-05-22 Rule 105 Offering Shorts $75k settled