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, 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
100
Total penalties
$1.5bn
Median penalty
$780k
Largest
$800m
Criminal parallel
39%
Action Agency Filed Technique Penalty Status
SEC v. Total Wealth Management and Jacob Keith Cooper (2015) SEC 2015-08-17 $780k judgment
SEC v. Cedric Cañas Maillard (insider trading, 2015) SEC 2015-08-13 Insider Trading $834k judgment
SEC v. Palladino and Viking Financial Group (ponzi schemes, 2015) SEC 2015-08-13 Ponzi Schemes — judgment
SEC v. Guggenheim Partners Investment Management, LLC (2015) SEC 2015-08-10 $20m settled
SEC v. First Xeris Corp. (undisclosed control blocks, 2015) SEC 2015-08-06 Undisclosed Control Blocks — settled
SEC v. Judy K. Wolf (2015) SEC 2015-08-05 — judgment
CFTC v. Simmons, Salazar and their companies (ponzi schemes, 2015) CFTC 2015-07-31 Ponzi Schemes $76m settled
SEC v. Pamela S. Smith (2015) SEC 2015-07-30 — settled
SEC v. Timothy Patterson (2015) SEC 2015-07-30 — settled
SEC v. Stephen M. Coleman (2015) SEC 2015-07-29 — settled
AMF France v. Faiveley Transport, A, B, C and D (insider trading, 2015) AMF (France) 2015-07-23 Insider Trading — judgment
FCA v. Lee Bruce Stewart (benchmark submission rigging, 2015) FCA 2015-07-21 Benchmark Submission Rigging , Price Manipulation — judgment
SEC v. Donald L. Koch and Koch Asset Management, LLC (marking the close, 2015) SEC 2015-07-20 Marking The Close — judgment
SEC v. Michael R. Enea (ponzi schemes, 2015) SEC 2015-07-20 Ponzi Schemes — judgment
SEC v. Herbert K. Sudfeld, Jr., et al. (insider trading, 2015) SEC 2015-07-16 Insider Trading — settled
SEC v. Timothy J. McGee, et al. (insider trading, 2015) SEC 2015-07-15 Insider Trading — judgment
SEC v. Harold Bailey "B.J." Gallison II et al. (paid stock promotion, 2015) SEC 2015-07-14 Paid Stock Promotion , Pump And Dump — settled
SEC v. Oz Management, LP (rule 105 offering shorts, 2015) SEC 2015-07-14 Rule 105 Offering Shorts $4.3m settled
SEC v. Frank Tamayo (insider trading, 2015) SEC 2015-07-13 Insider Trading — settled
CFTC v. Carl David Wright (ponzi schemes, 2015) CFTC 2015-07-10 Ponzi Schemes $1m settled
SEC v. Gerard Boudreault (insider trading, 2015) SEC 2015-07-10 Insider Trading $18.4k settled
SEC v. PTG Capital Partners LTD, et al. (sham tender offers, 2015) SEC 2015-07-10 EDGAR Filing Fraud , Sham Tender Offers $1.5m judgment
SEC v. Patrick Lehnert (insider trading, 2015) SEC 2015-07-09 Insider Trading $15.8k settled
SEC v. Luca International Group, Yang and others (ponzi schemes, 2015) SEC 2015-07-06 Ponzi Schemes $426k settled
OSC v. Terrence Bedford (2015) OSC 2015-07-02 — judgment
SEC v. Malcolm Segal (ponzi schemes, 2015) SEC 2015-07-01 Ponzi Schemes — settled
SEC v. DFRF Enterprises, Filho and others (ponzi schemes, 2015) SEC 2015-06-30 Ponzi Schemes — judgment
SEC v. Peter Voutsas (undisclosed control blocks, 2015) SEC 2015-06-30 Undisclosed Control Blocks $50k settled
SEC v. Gregg R. Mulholland (unregistered distributions, 2015) SEC 2015-06-25 Unregistered Distributions , Undisclosed Control Blocks — settled
CFTC v. Wurl and Ludiera Capital (ponzi schemes, 2015) CFTC 2015-06-24 Ponzi Schemes — filed
SEC v. Phil Donnahue Williamson (ponzi schemes, 2015) SEC 2015-06-23 Ponzi Schemes — settled
CFTC v. Joseph F. Welsh III (price manipulation, 2015) CFTC 2015-06-19 Price Manipulation , Settlement Price Manipulation $500k judgment
SEC v. Norstra Energy Inc., Glen Landry and Eric Dany (2015) SEC 2015-06-18 $45.1k settled
SEC v. Dimitry Braverman and Vitaly Pupynin (insider trading, 2015) SEC 2015-06-16 Insider Trading $204k judgment
SEC v. Equity Trust Company (2015) SEC 2015-06-16 — dismissed
SEC v. Helmut Anscheringer (insider trading, 2015) SEC 2015-06-15 Insider Trading $910k settled
SEC v. Capital Financial Partners, Allen and Daub: criminal charges (ponzi schemes, 2015) SEC 2015-06-12 Ponzi Schemes — settled
SEC v. Matthew G. Teeple et al. Andrew Miller (insider trading, 2015) SEC 2015-06-12 Insider Trading — judgment
SEC v. Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd. (insider trading, 2015) SEC 2015-06-11 Insider Trading , Rule 105 Offering Shorts $502k judgment
SEC v. Spectrum Concepts, LLC Worswick and others (unregistered distributions, 2015) SEC 2015-06-11 Unregistered Distributions $120k settled
SEC v. Michael J. Fefferman, Chad E. Wiegand, and Akis C. Eracleous (insider trading, 2015) SEC 2015-06-09 Insider Trading — settled
SEC v. Anthony Andrade, et al. (insider trading, 2015) SEC 2015-06-08 Insider Trading $150k settled
AMF France v. A, X and GEM Investments America LLC (price manipulation and insider trading, 2015) AMF (France) 2015-06-05 Price Manipulation , Insider Trading — judgment
AMF France v. ISA Finances, NG Investments, Ormylia, Socodol, UBS (France) and others (insider trading, 2015) AMF (France) 2015-06-02 Insider Trading — judgment
SEC v. Edmond L. Lonergan and Green Planet Group, Inc. (price manipulation, 2015) SEC 2015-06-02 Price Manipulation $25k settled
SEC v. Merrill Lynch (naked short selling debate, 2015) SEC 2015-06-01 Naked Short Selling Debate $9m settled
AMF France v. Tekka Group, Bryan Garnier and Co Limited, B, C and A (false or misleading information, 2015) AMF (France) 2015-05-30 Misleading Issuer Disclosure — judgment
Ontario Securities Commission: disclosure application by Davide Amato and S.A. Capital Growth Corp. (2015) OSC 2015-05-29 — judgment
SEC v. Adam S. Gottbetter, Mitchell G. Adam, and K. David Stevenson (pump and dump, 2015) SEC 2015-05-28 Pump And Dump — settled
SEC v. Luis Chang and Everbright Development Overseas, Limited (sham tender offers, 2015) SEC 2015-05-28 Sham Tender Offers $2.9m judgment
SEC v. Mike Taxon and Itamar Cohen (paid stock promotion, 2015) SEC 2015-05-28 Paid Stock Promotion — settled
Alleged Ponzi scheme operator faces court (ASIC, 2015) ASIC 2015-05-26 Ponzi Schemes — judgment
ASIC permanently bans Australian mastermind of UK fraud (2015) ASIC 2015-05-21 Boiler Rooms — unknown
CFTC v. Barclays (benchmark submission rigging, 2015) CFTC 2015-05-20 Benchmark Submission Rigging , Price Manipulation $115m judgment
CFTC v. Barclays Bank PLC (FX benchmark manipulation, 2015) CFTC 2015-05-20 Benchmark Submission Rigging , FX Fixing +1 $400m settled
FCA v. Barclays Bank PLC (FX benchmark manipulation, 2015) FCA 2015-05-20 FX Fixing — settled
SEC v. China Valves Technology, Inc., Siping Fang and Renrui Tang (2015) SEC 2015-05-20 $690k judgment
SEC v. Brian D. Jorgenson, et al. (insider trading, 2015) SEC 2015-05-14 Insider Trading — judgment
CFTC v. Heet Khara and Nasim Salim (spoofing, 2015) CFTC 2015-05-05 Spoofing — judgment
SEC v. North Dakota Developments, Gavin and Hogan (ponzi schemes, 2015) SEC 2015-05-05 Ponzi Schemes $1m judgment
OSC v. Constance Anderson (insider trading, 2015) OSC 2015-05-01 Insider Trading — settled
SEC v. Xiaoyu Xia and Yanting Hu (insider trading, 2015) SEC 2015-04-29 Insider Trading $750k settled
SEC v. Frank Perkins Hixon, Jr., et al. (insider trading, 2015) SEC 2015-04-28 Insider Trading $683k judgment
CFTC v. Deutsche Bank AG (LIBOR and Euribor manipulation, 2015) CFTC 2015-04-23 Benchmark Submission Rigging , FX Fixing +1 $800m settled
FCA v. Deutsche Bank AG (benchmark submission rigging, 2015) FCA 2015-04-23 Benchmark Submission Rigging , Price Manipulation — settled
SEC v. Houston American Energy Corp., John F. Terwilliger, Undiscovered Equities, Inc. and Kevin T. McKnight (paid stock promotion, 2015) SEC 2015-04-23 Paid Stock Promotion $22.5k settled
SEC v. Tracy Morgan Spaeth (2015) SEC 2015-04-23 — settled
SEC v. Veros Partners, Haab, Risinger and Senefeld (ponzi schemes, 2015) SEC 2015-04-22 Ponzi Schemes — settled
CFTC v. Taylor, OTC Investments, Forex Currency Trade Advisors (ponzi schemes, 2015) CFTC 2015-04-21 Ponzi Schemes — filed
CFTC v. U.K. Resident Navinder Singh Sarao and His Company Nav Sarao Futures Limited PLC (layering, 2015) CFTC 2015-04-21 Layering , Price Manipulation +1 $25.7m settled
SEC v. Joseph John Labadia (unregistered distributions, 2015) SEC 2015-04-17 Unregistered Distributions — settled
AMF France v. A, B, C, Exane SA and Petercam SA (marking the close, 2015) AMF (France) 2015-04-16 Marking The Close — judgment
SEC v. Daniel P. McKelvey, Alvin S. Mirman, Steven Sanders and others (blank check shells, 2015) SEC 2015-04-16 Reverse Merger Schemes — judgment
SEC v. eCareer Holdings, Inc., eCareer, Inc., Joseph J. Azzata, Dean A. Esposito, Joseph DeVito, and Frederick J. Birks, et al. (boiler rooms, 2015) SEC 2015-04-16 Boiler Rooms — settled
SEC v. Edward T. Farmer (undisclosed control blocks, 2015) SEC 2015-04-16 Undisclosed Control Blocks — settled
SEC v. Kevin D. Miller (undisclosed control blocks, 2015) SEC 2015-04-16 Undisclosed Control Blocks — settled
SEC v. Ronald A. Warren (undisclosed control blocks, 2015) SEC 2015-04-16 Undisclosed Control Blocks — settled
SEC v. William J. Gaffney (undisclosed control blocks, 2015) SEC 2015-04-16 Undisclosed Control Blocks — settled
CFTC v. Garcia, DG Wealth Management, Macroquantum Capital (ponzi schemes, 2015) CFTC 2015-04-14 Ponzi Schemes $7.5m judgment
SEC v. James A. Evans, Jr., d/b/a Cashflowbot.com, d/b/a DollarMonster (ponzi schemes, 2015) SEC 2015-04-13 Ponzi Schemes $60k judgment
SEC v. Team Resources, Inc., et al. (unregistered distributions, 2015) SEC 2015-04-06 Unregistered Distributions — settled
CFTC v. Kraft Foods Group, Inc. and Mondelēz Global LLC (price manipulation, 2015) CFTC 2015-04-01 Price Manipulation $16m settled
OSC v. Andre Lewis (ponzi schemes, 2015) OSC 2015-04-01 Ponzi Schemes — judgment
SEC v. Capital Financial Partners, Allen and Daub (ponzi schemes, 2015) SEC 2015-04-01 Ponzi Schemes — judgment
SEC v. David Craven and Alexander J. Craven (pump and dump, 2015) SEC 2015-04-01 Pump And Dump , Wash Trading $4.9m judgment
CFTC v. Daniel Shak (2015) CFTC 2015-03-30 $100k judgment
FCA v. Kenneth George Carver (insider trading, 2015) FCA 2015-03-30 Insider Trading — settled
SEC v. Gregory W. Gray, Jr., et al. (ponzi schemes, 2015) SEC 2015-03-27 Ponzi Schemes — settled
SEC v. Keypoint Capital Management, LLC (rule 105 offering shorts, 2015) SEC 2015-03-19 Rule 105 Offering Shorts $65k settled
SEC v. Randal Kent Hansen (ponzi schemes, 2015) SEC 2015-03-18 Ponzi Schemes — judgment
Two men sentenced in Australia’s largest insider trading case (ASIC, 2015) ASIC 2015-03-17 Insider Trading — judgment
SEC v. David Craven and Alexander J. Craven (pump and dump, 2015) SEC 2015-03-12 Pump And Dump , Wash Trading — unknown
OSC v. Anand Hariharan and Satish Talawdekar (insider trading, 2015) OSC 2015-03-11 Insider Trading — settled
SEC v. Bonan Huang and Nan Huang (insider trading, 2015) SEC 2015-03-10 Insider Trading — judgment
SEC v. Julieann Palmer Martin (ponzi schemes, 2015) SEC 2015-03-09 Ponzi Schemes , Unregistered Distributions $1.1m judgment
SEC v. Zeringue, et al. (insider trading, 2015) SEC 2015-03-06 Insider Trading $64k settled
SEC v. Gary S. Williky (insider trading, 2015) SEC 2015-03-02 Insider Trading , Newsletter Scalping +2 $1.7m judgment
SEC v. Joseph A. Noel (pump and dump, 2015) SEC 2015-02-26 Pump And Dump — judgment
SEC v. Mark A. Lefkowitz, et al. (unregistered distributions, 2015) SEC 2015-02-24 Unregistered Distributions — judgment
SEC v. John A. Geringer and GLR Advisors (ponzi schemes, 2015) SEC 2015-02-23 Ponzi Schemes — settled