Market Manipulation. Search

Market manipulation enforcement actions filed in 2014

This library records 136 market manipulation enforcement actions filed in 2014, brought by 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
36
Total penalties
$30.6m
Median penalty
$100k
Largest
$7.5m
Criminal parallel
19%
Action Agency Filed Technique Penalty Status
SEC v. Lindsey Alan Wetzig (naked short selling debate, 2014) SEC 2014-05-19 Naked Short Selling Debate — settled
CFTC v. RP Martin Holdings Limited and Its Subsidiary (benchmark submission rigging, 2014) CFTC 2014-05-16 Benchmark Submission Rigging , Price Manipulation +1 $1.2m judgment
FCA v. Martin Brokers (UK) Ltd (Martins) (benchmark submission rigging, 2014) FCA 2014-05-15 Benchmark Submission Rigging , Price Manipulation +2 — settled
SEC v. Daniels and others (fake press releases, 2014) SEC 2014-05-15 Fake Press Releases , Unregistered Distributions — dismissed
OSC v. Duncan Cleworth and others (ponzi schemes, 2014) OSC 2014-05-14 Ponzi Schemes , Unregistered Distributions — 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 (insider trading, 2014) SEC 2014-05-01 Insider Trading — settled
SEC v. Aharon R. Yehuda (insider trading, 2014) SEC 2014-04-25 Insider Trading — 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 — 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 — filed
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 and others (layering, 2014) SEC 2014-04-04 Layering , Spoofing $100k settled
OSC v. Matthew Schloen (insider trading, 2014) OSC 2014-04-03 Insider Trading — unknown
CFTC v. unnamed respondents (ponzi schemes, 2014) CFTC 2014-04-01 Ponzi Schemes $5.8m judgment
CFTC v. Defendants Ward Onsa (ponzi schemes, 2014) CFTC 2014-04-01 Ponzi Schemes $5.7m judgment
CFTC v. Defendants (ponzi schemes, 2014) CFTC 2014-03-22 Ponzi Schemes $2.2m filed
CFTC v. South Carolina Residents Robert S. and Amy L. Leben (ponzi schemes, 2014) CFTC 2014-03-20 Ponzi Schemes — unknown
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 — filed
SEC v. Lions Gate Entertainment Corp. (insider trading, 2014) SEC 2014-03-13 Insider Trading $7.5m unknown
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 — unknown
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 2014-02-12 Ponzi Schemes $5.2m judgment
SEC v. Gonul Colak and Milen K. Kostov (naked short selling debate, 2014) SEC 2014-01-31 Naked Short Selling Debate $150k settled
SEC v. unnamed respondents (insider trading, 2014) SEC 2014-01-22 Insider Trading , Ponzi Schemes — dismissed
OSC v. Graziana Casale and Sterling Grace & Co. Ltd (boiler rooms, 2014) OSC 2014-01-15 Boiler Rooms — settled
SEC v. Hicks and Richard D. (ponzi schemes, 2014) SEC 2014-01-14 Ponzi Schemes — settled
SEC v. Marcus S. Spillson (insider trading, 2014) SEC 2014-01-09 Insider Trading — 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