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, CFTC, FCA, OSC, 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
45
Total penalties
$42.2m
Median penalty
$155k
Largest
$7.7m
Criminal parallel
11%
Action Agency Filed Technique Penalty Status
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
AMF France v. Risc Group, A and B (misleading statements, 2014) AMF (France) 2014-05-19 Misleading Issuer Disclosure — judgment
SEC v. Delaney and Yancey (naked short selling debate, 2014) SEC 2014-05-19 Naked Short Selling Debate $20k judgment
SEC v. Johnson and Michael H. (naked short selling debate, 2014) SEC 2014-05-19 Naked Short Selling Debate $125k settled
SEC v. Lindsey Alan Wetzig (naked short selling debate, 2014) SEC 2014-05-19 Naked Short Selling Debate — settled
AMF France v. F, G, H and I (insider dealing, 2014) AMF (France) 2014-05-16 Insider Trading — judgment
CFTC v. RP Martin Holdings Limited and Its Subsidiary (benchmark submission rigging, 2014) CFTC 2014-05-15 Benchmark Submission Rigging , Price Manipulation +1 $1.2m settled
FCA v. Martin Brokers (UK) Ltd (Martins) (benchmark submission rigging, 2014) FCA 2014-05-15 Benchmark Submission Rigging , Price Manipulation +2 — settled
SEC v. Joseph P. Doxey and William J. Daniels (fake press releases, 2014) SEC 2014-05-15 Fake Press Releases , Unregistered Distributions — judgment
OSC v. Duncan Cleworth and others (ponzi schemes, 2014) OSC 2014-05-14 Ponzi Schemes — judgment
SEC v. Christopher D. Wiest (insider trading, 2014) SEC 2014-05-13 Insider Trading $56.3k settled
SEC v. New York Stock Exchange LLC and others (2014) SEC 2014-05-01 $4.5m settled
AMF France v. Elliott Advisors (UK) Ltd and Elliott Management Corporation (insider dealing, 2014) AMF (France) 2014-04-25 Insider Trading — judgment
SEC v. Aharon R. Yehuda (insider trading, 2014) SEC 2014-04-25 Insider Trading $20.7k settled
SEC v. Oded Gabay (insider trading, 2014) SEC 2014-04-25 Insider Trading $22.2k settled
SEC v. Shimul A. Shah (insider trading, 2014) SEC 2014-04-25 Insider Trading $22.4k settled
SEC v. Suken A. Shah (insider trading, 2014) SEC 2014-04-25 Insider Trading $65k settled
SEC v. Chalmers and Julianne (ponzi schemes, 2014) SEC 2014-04-17 Ponzi Schemes , Unregistered Distributions — dismissed
SEC v. Empire Stock Transfer, Inc. and Patrick R. Mokros (undisclosed control blocks, 2014) SEC 2014-04-08 Undisclosed Control Blocks $50k settled
SEC v. Matthew J. Blevins (undisclosed control blocks, 2014) SEC 2014-04-08 Undisclosed Control Blocks $25k settled
SEC v. Visionary Trading LLC, Lightspeed Trading LLC and five individuals (layering, 2014) SEC 2014-04-04 Layering , Spoofing $1m settled
OSC v. Matthew Schloen (insider trading, 2014) OSC 2014-04-03 Insider Trading — settled
CFTC v. Martin, Martin, Queen Shoals Consultants (2014) CFTC 2014-03-31 $5.8m judgment
CFTC v. Onsa, New Century Investment Management (ponzi schemes, 2014) CFTC 2014-03-31 Ponzi Schemes $5.7m judgment
CFTC v. Defendants (ponzi schemes, 2014) CFTC 2014-03-21 Ponzi Schemes $1.1m judgment
FCA v. Mark Stevenson (price manipulation, 2014) FCA 2014-03-20 Price Manipulation — settled
SEC v. Wilfred J. Halpern, CPA (insider trading, 2014) SEC 2014-03-19 Insider Trading $41k settled
SEC v. Coplan and Jenny E. (ponzi schemes, 2014) SEC 2014-03-18 Ponzi Schemes , Unregistered Distributions — judgment
AMF France v. Company X (alleged momentum ignition, charges rejected, 2014) AMF (France) 2014-03-14 Momentum Ignition — dismissed
SEC v. Lions Gate Entertainment Corp. (2014) SEC 2014-03-13 $7.5m settled
CFTC v. Leben (ponzi schemes, 2014) CFTC 2014-03-12 Ponzi Schemes $7.7m judgment
SEC v. Worldwide Capital, Inc. and Jeffrey W. Lynn (rule 105 offering shorts, 2014) SEC 2014-03-05 Rule 105 Offering Shorts $2.5m settled
SEC v. John W. Femenia (insider trading, 2014) SEC 2014-02-26 Insider Trading — settled
SEC v. Timothy J. Geidel (ponzi schemes, 2014) SEC 2014-02-20 Ponzi Schemes — judgment
OSC v. David De Gouveia (wash trading, 2014) OSC 2014-02-18 Wash Trading — unknown
CFTC v. Defendants Harbor Light Asset (ponzi schemes, 2014) CFTC 2014-02-11 Ponzi Schemes $3.9m judgment
SEC v. Gonul Colak and Milen K. Kostov (naked short selling debate, 2014) SEC 2014-01-31 Naked Short Selling Debate $220k settled
FCA v. 7722656 Canada Inc (formerly Swift Trade Inc) (layering, 2014) FCA 2014-01-24 Layering — judgment
SEC v. BDO China Dahua CPA Co., Ltd. and four other China-based audit firms (2014) SEC 2014-01-22 — judgment
OSC v. Graziana Casale and Sterling Grace & Co. Ltd (2014) OSC 2014-01-15 — judgment
SEC v. Richard D. Hicks (ponzi schemes, 2014) SEC 2014-01-14 Ponzi Schemes — settled
SEC v. Marcus S. Spillson (insider trading, 2014) SEC 2014-01-09 Insider Trading $155k settled
SEC v. Axius Holdings, LLC and Henry Robertelli (rule 105 offering shorts, 2014) SEC 2014-01-06 Rule 105 Offering Shorts $26k settled
SEC v. John Durrett (rule 105 offering shorts, 2014) SEC 2014-01-06 Rule 105 Offering Shorts $26k settled