Market Manipulation. Search

Market manipulation enforcement actions filed in 2017

This library records 227 market manipulation enforcement actions filed in 2017, 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
$222m
Median penalty
$245k
Largest
$100m
Criminal parallel
32%
Action Agency Filed Technique Penalty Status
AMF France v. Cybergun, Ingeco, A and B (insider trading, 2017) AMF (France) 2017-12-21 Insider Trading — judgment
SEC v. Stephen C. Peters, VisionQuest Wealth Management, LLC, VisionQuest Capital, LLC, and VQ Wealth, LLC (ponzi schemes, 2017) SEC 2017-12-21 Ponzi Schemes — judgment
SEC v. Robert H. Shapiro and Woodbridge Group of Companies (ponzi schemes, 2017) SEC 2017-12-20 Ponzi Schemes $100m settled
SEC v. Ronald A. Fossum, Jr. and Alonzo R. Cahoon (unregistered distributions, 2017) SEC 2017-12-20 Unregistered Distributions $320k settled
AMF France v. A and B (insider trading, 2017) AMF (France) 2017-12-18 Insider Trading , Front Running — judgment
AMF France v. A (insider trading, 2017) AMF (France) 2017-12-18 Insider Trading — judgment
SEC v. Jason A. Wallace (boiler rooms, 2017) SEC 2017-12-18 Boiler Rooms $435k judgment
ASIC v. Interactive Brokers LLC (marking the close, 2017) ASIC 2017-12-14 Marking The Close — settled
SEC v. Kenneth Peer (insider trading, 2017) SEC 2017-12-14 Insider Trading $10.2k settled
SEC v. Lanny Brown, et al. (insider trading, 2017) SEC 2017-12-14 Insider Trading — settled
AAT upholds ASIC bans of client advisers for trading in 'MINI' warrants (ASIC, 2017) ASIC 2017-12-11 Matched Orders — judgment
OSC v. Aurora Cannabis Inc. and others (2017) OSC 2017-12-08 — judgment
SEC v. Stephen J. Leonard (insider trading, 2017) SEC 2017-12-07 Insider Trading $107k judgment
AMF France v. Syquant Capital (layering, 2017) AMF (France) 2017-12-01 Layering , Price Manipulation — settled
AMF France v. Talence Gestion (SAS) (marking the close, 2017) AMF (France) 2017-11-30 Marking The Close — settled
AMF France v. Régis Lefort (marking the close, 2017) AMF (France) 2017-11-30 Marking The Close — settled
SEC v. Palladino and James M. (2017) SEC 2017-11-29 — settled
FCA v. Paul Axel Walter (price manipulation, 2017) FCA 2017-11-22 Price Manipulation , Spoofing — settled
SEC v. Capital Financial Partners, Allen and Daub: final judgments (ponzi schemes, 2017) SEC 2017-11-17 Ponzi Schemes — judgment
Caloundra man charged for insider trading (ASIC, 2017) ASIC 2017-11-16 Insider Trading — judgment
CFTC v. INTL FCStone Financial Inc. and FCStone Merchant Services LLC (exchange for related position transactions, 2017) CFTC 2017-11-14 $280k settled
CFTC v. Statoil ASA (price manipulation, 2017) CFTC 2017-11-14 Price Manipulation , Settlement Price Manipulation $4m settled
SEC v. Susan L. Ellerin and Edward D. Blumstein (insider trading, 2017) SEC 2017-11-14 Insider Trading — settled
Operators of 'binary options trading boiler room' convicted and sentenced (ASIC, 2017) ASIC 2017-11-09 — judgment
SEC v. Robert W. Murray (sham tender offers, 2017) SEC 2017-11-09 EDGAR Filing Fraud , Sham Tender Offers — settled
SEC v. The End of the Rainbow Partners and the Estate of Michael F. Anderson (ponzi schemes, 2017) SEC 2017-11-08 Ponzi Schemes — judgment
SEC v. James P. Kolf (2017) SEC 2017-11-03 — settled
SEC v. Joseph Meli, et al. and Craig H. Carton, et al. (ponzi schemes, 2017) SEC 2017-10-31 Ponzi Schemes — settled
SEC v. Millennium Management LLC (rule 105 offering shorts, 2017) SEC 2017-10-31 Rule 105 Offering Shorts $300k settled
SEC v. Andalusian Resorts and Spas, Inc., John Madsen and Bernard Fried (fake press releases, 2017) SEC 2017-10-30 Fake Press Releases , Pump And Dump +1 $80k judgment
SEC v. Joseph P. Willner (hijacked account ramping, 2017) SEC 2017-10-30 Hijacked Account Ramping — judgment
SEC v. Artemus Mayor (pump and dump, 2017) SEC 2017-10-26 Pump And Dump $160k settled
SEC v. Henry Lin-Han Jan (pump and dump, 2017) SEC 2017-10-26 Pump And Dump $160k settled
SEC v. Canterbury Consulting, Inc. (2017) SEC 2017-10-26 $100k settled
SEC v. J. Patrick O'Neill and Robert H. Bray (insider trading, 2017) SEC 2017-10-25 Insider Trading — judgment
SEC v. James M. Schneider and Andrew H. Wilson (blank check shells, 2017) SEC 2017-10-11 Reverse Merger Schemes , Unregistered Distributions — settled
CFTC v. Arab Global Commodities DMCC (spoofing, 2017) CFTC 2017-10-10 Spoofing $300k judgment
SEC v. Marc A. Celello (ponzi schemes, 2017) SEC 2017-10-05 Ponzi Schemes — settled
SEC v. Homero Joshua Garza (ponzi schemes, 2017) SEC 2017-10-04 Ponzi Schemes — judgment
SEC v. Arun J. Singh (insider trading, 2017) SEC 2017-10-03 Insider Trading $25k judgment
SEC v. Wayne Weaver (Jammin' Java pump and dump, 2017) SEC 2017-10-03 Pump And Dump $26.4m appealed
AMF France v. X and A (insider trading, 2017) AMF (France) 2017-09-29 Insider Trading — dismissed
CFTC v. Logista Advisors LLC (spoofing, 2017) CFTC 2017-09-29 Spoofing $250k judgment
SEC v. Avaneesh Krishnamoorthy (insider trading, 2017) SEC 2017-09-29 Insider Trading — judgment
SEC v. Jason McDiarmid, et al. (boiler rooms, 2017) SEC 2017-09-29 Boiler Rooms , Pump And Dump $3.3m judgment
SEC v. Micheal A. Skerry (newsletter scalping, 2017) SEC 2017-09-29 Newsletter Scalping , Unregistered Distributions $1.1m judgment
CFTC v. Sarwar and Elfrimi (ponzi schemes, 2017) CFTC 2017-09-28 Ponzi Schemes — filed
CFTC v. Tillage Commodities, LLC (supervision failures, 2017) CFTC 2017-09-28 $150k judgment
SEC v. David Howard Welch, et al (boiler rooms, 2017) SEC 2017-09-28 Boiler Rooms $30k settled
SEC v. Fengjiu Zhang and Xianli Kong (insider trading, 2017) SEC 2017-09-28 Insider Trading $88.8k settled
SEC v. Laurence M. Torres (churning, 2017) SEC 2017-09-28 Churning $160k settled
SEC v. Naris Chamroonrat (2017) SEC 2017-09-28 — judgment
SEC v. Pedro Fort Berbel and others (ponzi schemes, 2017) SEC 2017-09-28 Ponzi Schemes $7m judgment
SEC v. Sean Stewart et al. (insider trading, 2017) SEC 2017-09-28 Insider Trading — judgment
SEC v. Success Holding Group International, Inc. (unregistered distributions, 2017) SEC 2017-09-28 Unregistered Distributions $100k settled
SEC v. Jason Napodano, Bilal Basrai and Bryce Stirton (insider trading, 2017) SEC 2017-09-26 Insider Trading $186k settled
SEC v. LBMZ Securities, Inc. (2017) SEC 2017-09-26 $240k settled
OSC v. Donna Hutchinson, Cameron Cornish, David Sidders and Patrick Jelf Caruso (insider trading, 2017) OSC 2017-09-22 Insider Trading — judgment
CFTC v. Nicholas Gelfman and Gelfman Blueprint, Inc. (ponzi schemes, 2017) CFTC 2017-09-21 Ponzi Schemes $2m settled
SEC v. Joel P. Zingerman (insider trading, 2017) SEC 2017-09-21 Insider Trading $56.6k settled
SEC v. Justin Samuel Cary (insider trading, 2017) SEC 2017-09-21 Insider Trading $8.1k settled
SEC v. Peter C. Chang (insider trading, 2017) SEC 2017-09-20 Insider Trading $500k settled
Sydney man faces charges for market manipulation (ASIC, 2017) ASIC 2017-09-19 Price Manipulation — judgment
SEC v. Francisco Illarramendi, Highview Point and Michael Kenwood (ponzi schemes, 2017) SEC 2017-09-19 Ponzi Schemes $1m judgment
SEC v. Lawrence F. Cluff, Jr., Roger E. Shaoul, and James Shaoul (insider trading, 2017) SEC 2017-09-13 Insider Trading $5.1m settled
SEC v. Mayank Gupta, et al. (insider trading, 2017) SEC 2017-09-13 Insider Trading $23.8k settled
SEC v. Brett Kennedy, et al. (insider trading, 2017) SEC 2017-09-07 Insider Trading $11.6k settled
SEC v. Craig H. Carton, et al. (ponzi schemes, 2017) SEC 2017-09-06 Ponzi Schemes — settled
SEC v. Scott Newsholme (2017) SEC 2017-09-06 — judgment
SEC v. Alan M. Stark, Esq. (insider trading, 2017) SEC 2017-09-05 Insider Trading $7.6k settled
SEC v. Richard P. Cedrone, Steven R. Ferris and George R. Thoreson (marking the close, 2017) SEC 2017-09-05 Marking The Close $225k judgment
SEC v. Evan R. Kita, et al. (insider trading, 2017) SEC 2017-08-31 Insider Trading — judgment
OSC v. Khalid Walid Jawhari (insider trading, 2017) OSC 2017-08-30 Insider Trading — judgment
SEC v. Tennstar Energy, Inc., et al. (boiler rooms, 2017) SEC 2017-08-30 Boiler Rooms — judgment
SEC v. Lek Securities Corporation, Samuel Lek, Avalon FA Ltd, Nathan Fayyer and Sergey Pustelnik (layering, 2017 ruling) SEC 2017-08-29 Layering $23.9m judgment
Day trader pleads guilty to market manipulation (ASIC, 2017) ASIC 2017-08-28 Price Manipulation — judgment
SEC v. Caledonian Bank Ltd., et al. (unregistered distributions, 2017) SEC 2017-08-25 Unregistered Distributions $19.2m judgment
SEC v. Dawn J. Bennett and DJB Holdings (ponzi schemes, 2017) SEC 2017-08-25 Ponzi Schemes — judgment
SEC v. Jack Sini (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — settled
SEC v. Jason Hershberger (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — settled
SEC v. Juan M. Perez Ortega (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — settled
SEC v. Martin Miller (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — settled
SEC v. Shawna Leigh Lynch (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — settled
CFTC v. Lanzana, Masanko, Blackbox Pulse and White Cloud Mountain (ponzi schemes, 2017) CFTC 2017-08-21 Ponzi Schemes $2m judgment
SEC v. Deerfield Management Company, L.P. (2017) SEC 2017-08-21 $3.9m settled
SEC v. Banca IMI Securities Corp. (2017) SEC 2017-08-18 $15m settled
SEC v. Daniel Rivas, et al. (insider trading, 2017) SEC 2017-08-16 Insider Trading — judgment
CFTC v. Aruba-based Copersucar Trading A.V.V. (wash trading, 2017) CFTC 2017-08-15 Wash Trading $300k judgment
SEC v. Robert Cortez Marshall and Adz on Wheelz (ponzi schemes, 2017) SEC 2017-08-15 Ponzi Schemes $1.5m judgment
SEC v. Damon Hovannisian, et al. (insider trading, 2017) SEC 2017-08-11 Insider Trading $308k settled
SEC v. Louis Martin Blazer III (2017) SEC 2017-08-10 $150k settled
SEC v. David Blaszczak, et al. (insider trading, 2017) SEC 2017-08-08 Insider Trading — settled
SEC v. Steven V. McClatchey and Gary J. Pusey (insider trading, 2017) SEC 2017-08-08 Insider Trading — judgment
CFTC v. The Bank of Tokyo-Mitsubishi UFJ, Ltd. (spoofing, 2017) CFTC 2017-08-07 Spoofing $600k judgment
SEC v. Joe Yiu Cheung, a/k/a Dylon de lu Zhang (paid stock promotion, 2017) SEC 2017-08-02 Paid Stock Promotion , Pump And Dump +1 $150k settled
SEC v. Jeffrey D. Martin, Thomas L. Tedrow and others (Mainstream Entertainment pump and dump, 2017) SEC 2017-08-01 Pump And Dump , Paid Stock Promotion +2 $142k judgment
SEC v. Karen F. Aalders (pump and dump, 2017) SEC 2017-07-31 Pump And Dump , Unregistered Distributions — settled
SEC v. Sterling Craig Barton (unregistered distributions, 2017) SEC 2017-07-31 Unregistered Distributions $100k settled
SEC v. Harold L. Altvater (insider trading, 2017) SEC 2017-07-28 Insider Trading — settled
SEC v. Windsor Street Capital, L.P. ( and others (unregistered distributions, 2017) SEC 2017-07-28 Unregistered Distributions $200k settled