Market Manipulation. Search

Market manipulation enforcement actions filed in 2015

This library records 223 market manipulation enforcement actions filed in 2015, brought by AMF-FR, ASIC, CFTC, 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
100
Total penalties
$120m
Median penalty
$332k
Largest
$27m
Criminal parallel
30%
Action Agency Filed Technique Penalty Status
SEC v. Bonan Huang, et al. (insider trading, 2015) SEC 2015-12-23 Insider Trading — judgment
SEC v. Michael J. Ling (marking the close, 2015) SEC 2015-12-23 Marking The Close , Matched Orders $100k judgment
AMF France v. A, B, C, D, E, F and G (insider trading, 2015) AMF (France) 2015-12-22 Insider Trading — judgment
SEC v. Danny E. Carpenter (insider trading, 2015) SEC 2015-12-22 Insider Trading $64.1k settled
SEC v. Morgan Stanley Investment Management Inc. and Sheila Huang (prearranged client cross trades, 2015) SEC 2015-12-22 $8.1m settled
SEC v. Traci J. Anderson, Timothy W. Carnahan and CYIOS Corporation (2015) SEC 2015-12-21 $450k judgment
ASIC bans former financial adviser for market manipulation (2015) ASIC 2015-12-18 Price Manipulation , Matched Orders — judgment
SEC v. Eric E. Shear (insider trading, 2015) SEC 2015-12-18 Insider Trading $3k settled
SEC v. Edward Laborio and Jonathan Fraiman (boiler rooms, 2015) SEC 2015-12-16 Boiler Rooms $4m judgment
SEC v. Oxford City Football Club, Inc. and Thomas Anthony Guerriero (boiler rooms, 2015) SEC 2015-12-16 Boiler Rooms — settled
Former Gunns Ltd chairman ordered to pay $500,000 pecuniary penalty for insider trading (ASIC, 2015) ASIC 2015-12-15 Insider Trading — judgment
SEC v. Jehu Hand and Antonio Katz (pump and dump, 2015) SEC 2015-12-11 Pump And Dump , Unregistered Distributions — settled
OSC v. Zhen (Steven) Pang and Oasis World Trading Inc. (price manipulation, 2015) OSC 2015-12-10 Price Manipulation , Spoofing — settled
SEC v. Jeffrey K. Skilling et al. (insider trading, 2015) SEC 2015-12-08 Insider Trading — judgment
CFTC v. Total Gas & Power North America, Inc. and Therese Tran (price manipulation, 2015) CFTC 2015-12-07 Price Manipulation $3.6m settled
AMF France v. Euronext Paris SA and Virtu Financial Europe Ltd (layering, 2015) AMF (France) 2015-12-04 Layering — judgment
SEC v. National Note of Utah and Wayne L. Palmer (ponzi schemes, 2015) SEC 2015-12-04 Ponzi Schemes $2m judgment
SEC v. Trudy R. Gilmond (ponzi schemes, 2015) SEC 2015-12-04 Ponzi Schemes — judgment
CFTC v. Arya Motazedi (front running, 2015) CFTC 2015-12-02 Front Running , Insider Trading $100k judgment
SEC v. Homero Joshua Garza, GAW Miners and ZenMiner (ponzi schemes, 2015) SEC 2015-12-01 Ponzi Schemes $2m settled
SEC v. Marwood Group Research, LLC (2015) SEC 2015-11-24 $375k settled
SEC v. Steven C. Watson (insider trading, 2015) SEC 2015-11-17 Insider Trading — settled
SEC v. James A. Torchia and Credit Nation Capital (ponzi schemes, 2015) SEC 2015-11-10 Ponzi Schemes $670k judgment
SEC v. Zhichen Zhou and Yannan Liu (insider trading, 2015) SEC 2015-11-10 Insider Trading $614k settled
Sydney man pleads guilty to insider trading (ASIC, 2015) ASIC 2015-11-09 Insider Trading — judgment
SEC v. Abraxas J. Discala, Marc E. Wexler, Matthew A. Bell, Craig L. Josephberg, and Ira Shapiro (reverse merger schemes, 2015) SEC 2015-11-04 Reverse Merger Schemes , Unregistered Distributions — judgment
OSC v. Argosy Securities Inc. and Keybase Financial Group Inc. (2015) OSC 2015-11-03 — appealed
SEC v. Vlad B. Spivak, et al. (insider trading, 2015) SEC 2015-11-02 Insider Trading $334k settled
SEC v. William M. Apostelos and WMA Enterprises (ponzi schemes, 2015) SEC 2015-10-29 Ponzi Schemes — judgment
SEC v. Diverse Financial Corp., Dekel and Kandell (ponzi schemes, 2015) SEC 2015-10-28 Ponzi Schemes $545k settled
SEC v. Mary Beth Knight and Rebecca Norton (insider trading, 2015) SEC 2015-10-28 Insider Trading $25k judgment
SEC v. Summit Trust Company, Kevin and George Brown (ponzi schemes, 2015) SEC 2015-10-27 Ponzi Schemes $6.5m settled
SEC v. James N. Fry (2015) SEC 2015-10-26 — settled
SEC v. Joseph Catapano and Michael Piervinanzi (price manipulation, 2015) SEC 2015-10-26 Price Manipulation $54.4k judgment
SEC v. Vladimir Eydelman (insider trading, 2015) SEC 2015-10-23 Insider Trading $1.2m judgment
CFTC v. Bullar and Executive Management Advisors (ponzi schemes, 2015) CFTC 2015-10-20 Ponzi Schemes $24.8m judgment
CFTC v. Watson (ponzi schemes, 2015) CFTC 2015-10-20 Ponzi Schemes $27m judgment
SEC v. Craig Danzig (unregistered distributions, 2015) SEC 2015-10-20 Unregistered Distributions — appealed
CFTC v. Igor B. Oystacher and 3 Red Trading LLC (spoofing, 2015) CFTC 2015-10-19 Spoofing $2.5m settled
SEC v. Auriga Global Investors Sociedad De Valores S.A. (rule 105 offering shorts, 2015) SEC 2015-10-14 Rule 105 Offering Shorts $179k settled
SEC v. Harvest Capital Strategies LLC (rule 105 offering shorts, 2015) SEC 2015-10-14 Rule 105 Offering Shorts $65k settled
SEC v. J.P. Morgan Investment Management Inc. (rule 105 offering shorts, 2015) SEC 2015-10-14 Rule 105 Offering Shorts $365k settled
SEC v. Omega Advisors, Inc. (rule 105 offering shorts, 2015) SEC 2015-10-14 Rule 105 Offering Shorts $65k settled
SEC v. Sabby Management, LLC (rule 105 offering shorts, 2015) SEC 2015-10-14 Rule 105 Offering Shorts $91.7k settled
SEC v. War Chest Capital Partners LLC (rule 105 offering shorts, 2015) SEC 2015-10-14 Rule 105 Offering Shorts $150k settled
SEC v. Andrew Farmer, et al. (pump and dump, 2015) SEC 2015-10-09 Pump And Dump — judgment
SEC v. Francis J. van Steenberge and Nicolas Zanen (insider trading, 2015) SEC 2015-10-09 Insider Trading $400k judgment
AMF France v. A (layering, 2015) AMF (France) 2015-10-08 Layering — judgment
SEC v. Allen Ross Smith (unregistered distributions, 2015) SEC 2015-10-08 Unregistered Distributions $43.3k judgment
SEC v. Briargate Trading, LLC and Eric Oscher (spoofing, 2015) SEC 2015-10-08 Spoofing $500k judgment
SEC v. Garfield Taylor, Jeffrey King and Gibraltar Asset Management (ponzi schemes, 2015) SEC 2015-10-08 Ponzi Schemes $1.6m judgment
SEC v. Wolverine Trading, LLC and Wolverine Asset Management, LLC (2015) SEC 2015-10-08 $375k settled
SEC v. Oscar Wu (insider trading, 2015) SEC 2015-10-07 Insider Trading — settled
SEC v. Commodore Financial Corp., et al. (boiler rooms, 2015) SEC 2015-10-01 Boiler Rooms , Unregistered Distributions — settled
SEC v. Saleem Khan et al. (insider trading, 2015) SEC 2015-10-01 Insider Trading — judgment
SEC v. Spencer Pharmaceutical Inc., Jean-François Amyot and others (pump and dump, 2015) SEC 2015-10-01 Pump And Dump — judgment
SEC v. David P. Godwin and Anthony G. Roth (financial statement fraud, 2015) SEC 2015-09-30 — judgment
SEC v. James Goodland and Securus Wealth Management, LLC (marking the close, 2015) SEC 2015-09-30 Marking The Close $30k settled
SEC v. Charles Riel III and REinvest LLC (2015) SEC 2015-09-29 $125k judgment
SEC v. Christopher Mire (insider trading, 2015) SEC 2015-09-29 Insider Trading $2.1k settled
SEC v. Eddie R. Leblanc (insider trading, 2015) SEC 2015-09-29 Insider Trading $15k settled
SEC v. Robert L. Spallina, et al. (insider trading, 2015) SEC 2015-09-28 Insider Trading $234k settled
NSW man jailed for market manipulation (ASIC, 2015) ASIC 2015-09-25 Matched Orders , Price Manipulation — judgment
SEC v. iShopNoMarkup.com, Inc. (unregistered distributions, 2015) SEC 2015-09-25 Unregistered Distributions $330k judgment
SEC v. Morando Berrettini, et al. (insider trading, 2015) SEC 2015-09-25 Insider Trading — judgment
CFTC v. Cargill de México SA De CV (wash trading, 2015) CFTC 2015-09-24 Wash Trading $500k judgment
CFTC v. TeraExchange LLC (wash trading, 2015) CFTC 2015-09-24 Wash Trading — judgment
SEC v. Jason W. Galanis (matched orders, 2015) SEC 2015-09-24 Matched Orders — settled
SEC v. Richard Condon, et al. (insider trading, 2015) SEC 2015-09-24 Insider Trading $58.3k judgment
ASIC v. D J Carmichael Pty Limited (price manipulation, 2015) ASIC 2015-09-23 Price Manipulation , Marking The Close — settled
SEC v. Idle Media, Inc. and Marcus Frasier (2015) SEC 2015-09-22 $100k settled
SEC v. Eric McPhail, et al. (insider trading, 2015) SEC 2015-09-21 Insider Trading $148k settled
SEC v. Frank Morelli III and Louis Buonocore (undisclosed control blocks, 2015) SEC 2015-09-21 Undisclosed Control Blocks , Pump And Dump +1 — settled
SEC v. Brian David Hall (naked short selling debate, 2015) SEC 2015-09-17 Naked Short Selling Debate — settled
SEC v. George Ivakhnik and The Mobile Star Corporation (fake press releases, 2015) SEC 2015-09-17 Fake Press Releases $150k settled
SEC v. Rudolfo DeLaSierra (naked short selling debate, 2015) SEC 2015-09-17 Naked Short Selling Debate — settled
SEC v. 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq. (fake press releases, 2015) SEC 2015-09-16 Fake Press Releases $6.5m judgment
SEC v. Dubovoy, et al. (hack to trade, 2015) SEC 2015-09-14 Hack To Trade — settled
SEC v. Marco Babini et al. (pump and dump, 2015) SEC 2015-09-14 Pump And Dump , Undisclosed Control Blocks — judgment
SEC v. Mogler, Hinkeldey, Polanchek, Buckley and Stevens (ponzi schemes, 2015) SEC 2015-09-11 Ponzi Schemes — judgment
SEC v. Joseph Paul Zada (ponzi schemes, 2015) SEC 2015-09-11 Ponzi Schemes — judgment
SEC v. Benjamin Wey, et al. (reverse merger schemes, 2015) SEC 2015-09-10 Reverse Merger Schemes , Undisclosed Control Blocks — dismissed
SEC v. Maher F. Kara, et al. (insider trading, 2015) SEC 2015-09-10 Insider Trading — judgment
SEC v. Bennett Group Financial Services, LLC and Dawn J. Bennett (2015) SEC 2015-09-09 $3.5m judgment
SEC v. John McEnery III et al. (insider trading, 2015) SEC 2015-09-09 Insider Trading $95.8k settled
SEC v. Timothy M. Roberts, Terrance F. Taylor, and Craig Constantinou (unregistered distributions, 2015) SEC 2015-09-09 Unregistered Distributions — settled
SEC v. Manny J. Shulman and David K. Hirschman (undisclosed control blocks, 2015) SEC 2015-09-08 Undisclosed Control Blocks $539k judgment
SEC v. Ditto Holdings, Inc. (Now Known as Sovestech and Inc.) (unregistered distributions, 2015) SEC 2015-09-08 Unregistered Distributions $50k settled
SEC v. Marc S. Mandel (unregistered distributions, 2015) SEC 2015-09-08 Unregistered Distributions — settled
SEC v. Donald E. Robar (insider trading, 2015) SEC 2015-09-04 Insider Trading $4.6k settled
SEC v. Robert A. Hanner (insider trading, 2015) SEC 2015-09-04 Insider Trading $20.8k settled
SEC v. Kevin McDonnell (undisclosed control blocks, 2015) SEC 2015-09-03 Undisclosed Control Blocks $7.5k settled
Former Hanlong managing director pleads guilty to insider trading (ASIC, 2015) ASIC 2015-09-02 Insider Trading — judgment
SEC v. Aronson, Aaron and Buonauro (ponzi schemes, 2015) SEC 2015-09-02 Ponzi Schemes $1.6m judgment
CFTC v. Ron Earl McCullough (ponzi schemes, 2015) CFTC 2015-08-28 Ponzi Schemes $2.5m judgment
SEC v. Ashish Aggarwal, et al. (insider trading, 2015) SEC 2015-08-25 Insider Trading $18k settled
OSC v. Paul Camillo Dinardo (ponzi schemes, 2015) OSC 2015-08-20 Ponzi Schemes — judgment
SEC v. Moshe Yehuda Dunoff (boiler rooms, 2015) SEC 2015-08-20 Boiler Rooms — settled
SEC v. Citigroup Global Markets, Inc. (2015) SEC 2015-08-19 $15m settled
SEC v. Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. (2015) SEC 2015-08-17 — settled