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, 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
23
Total penalties
$48.2m
Median penalty
$199k
Largest
$40m
Criminal parallel
30%
Action Agency Filed Technique Penalty Status
SEC v. Scott Zeringue and Jesse Roberts, III (insider trading, 2015) SEC 2015-02-19 Insider Trading $64k settled
SEC v. Steven B. Hart (2015) SEC 2015-02-18 — judgment
SEC v. Kristine L. Johnson, Troy A. Barnes and Work With Troy Barnes, Inc. (ponzi schemes, 2015) SEC 2015-02-12 Ponzi Schemes — settled
AMF France v. IC Telecom and A (insider trading, 2015) AMF (France) 2015-02-11 Insider Trading — judgment
SEC v. Caledonian Bank Ltd., et al. (unregistered distributions, 2015) SEC 2015-02-11 Unregistered Distributions — judgment
SEC v. Hill and Charles L., Jr. (insider trading, 2015) SEC 2015-02-11 Insider Trading — unknown
SEC v. John Gray et al. (insider trading, 2015) SEC 2015-02-05 Insider Trading — settled
SEC v. Joel J. Epstein (insider trading, 2015) SEC 2015-02-03 Insider Trading $237k settled
SEC v. Phillip Cory Roberts (subpoena enforcement, 2015) SEC 2015-02-03 $10k settled
SEC v. Fujinaga and MRI International (ponzi schemes, 2015) SEC 2015-01-30 Ponzi Schemes $40m judgment
SEC v. Francisco Illarramendi, Highview Point, Michael Kenwood (ponzi schemes, 2015) SEC 2015-01-30 Ponzi Schemes $1m judgment
SEC v. Marlon Quan and Stewardship Investment Advisors, LLC (2015) SEC 2015-01-30 — judgment
SEC v. International Capital Group, LLC (reverse merger schemes, 2015) SEC 2015-01-29 Reverse Merger Schemes , Unregistered Distributions $1.5m settled
SEC v. Oppenheimer & Co. Inc. (unregistered distributions, 2015) SEC 2015-01-27 Unregistered Distributions $5.1m settled
FCA v. David Caplin (benchmark submission rigging, 2015) FCA 2015-01-22 Benchmark Submission Rigging , Price Manipulation — settled
FCA v. Jeremy Kraft (2015) FCA 2015-01-22 — settled
SEC v. du Pasquier & Co., Inc. (2015) SEC 2015-01-21 $50k settled
SEC v. Loren W. Holzhueter and Insurance Service Center (ponzi schemes, 2015) SEC 2015-01-21 Ponzi Schemes — settled
SEC v. Robert A. Ramsey, CPA (insider trading, 2015) SEC 2015-01-21 Insider Trading $130k settled
SEC v. Gary Harrison Lane (ponzi schemes, 2015) SEC 2015-01-20 Ponzi Schemes — judgment
SEC v. Frederic Elm and Elm Tree Investment Advisors (ponzi schemes, 2015) SEC 2015-01-15 Ponzi Schemes $160k settled
SEC v. Aleksandr Milrud (layering, 2015) SEC 2015-01-13 Layering — settled
CFTC v. Allied Markets, Gilliland, Wongkhiao (ponzi schemes, 2015) CFTC 2015-01-06 Ponzi Schemes — judgment