Market manipulation enforcement actions filed in 2016
This library records 202 market manipulation enforcement actions filed in 2016, brought by 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
- 2
- Total penalties
- $71.4k
- Median penalty
- $71.4k
- Largest
- $71.4k
- Criminal parallel
- 0%
| Action | Agency | Filed | Technique | Penalty | Status |
|---|---|---|---|---|---|
| OSC v. Paul Christopher Darrigo (churning, 2016) | OSC | 2016-01-08 | Churning | — | judgment |
| SEC v. Vivian S. Shields (insider trading, 2016) | SEC | 2016-01-04 | Insider Trading | $71.4k | settled |