Market Manipulation. Search

Market manipulation enforcement actions filed in 2021

This library records 161 market manipulation enforcement actions filed in 2021, 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
$246m
Median penalty
$300k
Largest
$125m
Criminal parallel
34%
Action Agency Filed Technique Penalty Status
AMF France v. M. Jean-Louis Roy (insider trading, 2021) AMF (France) 2021-12-29 Insider Trading — judgment
CFTC v. New Jersey-Based Entities and Individuals (2021) CFTC 2021-12-28 — unknown
CFTC v. Kunal Bansal, Vinit Agarwal, Aralia Securities, Ltd. and Vintage Bullion DMCC (wash trading, 2021) CFTC 2021-12-27 Wash Trading $100k judgment
SEC v. Marco "Sully" Perez and Permian Basin Proppants, Inc. (ponzi schemes, 2021) SEC 2021-12-22 Ponzi Schemes — settled
SEC v. Vladislav Kliushin, Nikolai Rumiantcev, Mikhail Irzak, Igor Sladkov, and Ivan Yermakov (hack to trade, 2021) SEC 2021-12-22 Hack To Trade — judgment
SEC v. Daniel V.T. Catenacci (insider trading, 2021) SEC 2021-12-20 Insider Trading $50k settled
SEC v. J.P. Morgan Securities LLC (2021) SEC 2021-12-17 $125m settled
SEC v. Wedbush Securities Inc. (unregistered distributions, 2021) SEC 2021-12-15 Unregistered Distributions $1m settled
CFTC v. Peter Miller and Omerta Capital LLC (block trade information misuse, 2021) CFTC 2021-12-10 $200k settled
SEC v. Mohammed Pithapurwala, Ammar Kutiyanawalla, and Alifiya Kutiyanawalla (insider trading, 2021) SEC 2021-12-09 Insider Trading $598k settled
CFTC v. Roman Banoczay Jr., Roman Banoczay Sr. and BAZUR Spol. S.R.O. (spoofing, 2021) CFTC 2021-12-08 Spoofing $750k settled
SEC v. Auzins (unregistered distributions, 2021) SEC 2021-12-03 Unregistered Distributions — settled
SEC v. Michael J. Starkweather and Andiamo Corporation (fake press releases, 2021) SEC 2021-12-03 Fake Press Releases — judgment
SEC v. Carnovale, et al. (undisclosed control blocks, 2021) SEC 2021-12-02 Undisclosed Control Blocks , Unregistered Distributions $430k judgment
SEC v. Robert C. Dobkin, Cynthia Braun, Michael Fiorillo and Jeffrey S. Gregersen (insider trading, 2021) SEC 2021-12-01 Insider Trading $936k settled
ASIC v. Courtenay House (ponzi schemes, 2021) ASIC 2021-11-30 Ponzi Schemes — judgment
SEC v. Marc Demane Debih (insider trading, 2021) SEC 2021-11-30 Insider Trading — settled
SEC v. Guy Scott Griffithe and Robert William Russell (ponzi schemes, 2021) SEC 2021-11-24 Ponzi Schemes $2.9m judgment
SEC v. Carol E. Cohen and Austin Rotter (insider trading, 2021) SEC 2021-11-23 Insider Trading $137k settled
SEC v. Tomer Feingold and Dov Malnik (insider trading, 2021) SEC 2021-11-23 Insider Trading $2.8m judgment
SEC v. ProPetro Holding Corp. and Dale Redman (2021) SEC 2021-11-22 $195k settled
SEC v. MIO Partners, Inc. (2021) SEC 2021-11-19 $18m settled
SEC v. William E. Gericke, Esq. (insider trading, 2021) SEC 2021-11-19 Insider Trading $20k settled
CFTC v. Daniel Fingerhut and others (binary options and digital asset solicitation fraud, 2021) CFTC 2021-11-17 $3.6m judgment
Former executive of Healthe Care Australia sentenced to 12 months imprisonment and fined $10,000 for insider trading (ASIC, 2021) ASIC 2021-11-16 Insider Trading — judgment
OSC v. Michael Paul Kraft and Michael Brian Stein (insider trading, 2021) OSC 2021-11-16 Insider Trading — judgment
Former Quantum Resources director convicted of insider trading and market manipulation offences (ASIC, 2021) ASIC 2021-11-09 Insider Trading , Price Manipulation — judgment
SEC v. Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona Fund (short and distort, 2021) SEC 2021-11-08 Short And Distort — judgment
SEC v. David P. Godwin (financial statement fraud, 2021) SEC 2021-11-04 — judgment
SEC v. Mark A. Miller, Saeid Jaberian and Christopher J. Rajkaran (pump and dump, 2021) SEC 2021-11-01 Pump And Dump — judgment
SEC v. BNZ One Capital, LLC, et al. (ponzi schemes, 2021) SEC 2021-10-29 Ponzi Schemes — filed
CFTC v. Swapnil Rege and SwapStar Capital LLC (2021) CFTC 2021-10-27 $200k settled
SEC v. Ann M. Vick (2021) SEC 2021-10-26 $570k settled
SEC v. Denis Georgiyevich Sotnikov, et al. (fake certificate-of-deposit fraud, 2021) SEC 2021-10-26 $8.4m judgment
SEC v. Steven M. Gallagher, a/k/a "Alexander Delarge" (social media ramps, 2021) SEC 2021-10-26 Social Media Ramps $473k judgment
CFTC v. El Paso Resident and His Firm (ponzi schemes, 2021) CFTC 2021-10-20 Ponzi Schemes $18.8m judgment
CFTC v. Craig L. Clavin and Lighthouse Futures, Ltd. (2021) CFTC 2021-10-12 $25k judgment
CFTC v. Storm Bryant, Elijah Bryant III, et al. (2021) CFTC 2021-10-08 $4m judgment
SEC v. Steven Pagartanis (ponzi schemes, 2021) SEC 2021-10-07 Ponzi Schemes — judgment
SEC v. Keith A. Wakefield (unauthorized trading and fictitious commissions, 2021) SEC 2021-10-01 — settled
SEC v. Adam Heimann (paid stock promotion, 2021) SEC 2021-09-30 Paid Stock Promotion $1.3m settled
SEC v. Gregory L. Ciccone, et al. (2021) SEC 2021-09-29 — filed
SEC v. Sky Group, et al. (ponzi schemes, 2021) SEC 2021-09-29 Ponzi Schemes — settled
SEC v. Jaeson Birnbaum (2021) SEC 2021-09-28 — settled
SEC v. Tradition Securities and Derivatives, LLC (naked short selling debate, 2021) SEC 2021-09-28 Naked Short Selling Debate $842k settled
FCA v. Colin Bermingham Individual (benchmark submission rigging, 2021) FCA 2021-09-27 Benchmark Submission Rigging — settled
SEC v. Suyun Gu, et al. (wash trading, 2021) SEC 2021-09-27 Wash Trading $25k settled
SEC v. Timothy Page et al., Daniel Cattlin and William R. Shupe (boiler rooms, 2021) SEC 2021-09-27 Boiler Rooms $11.1m judgment
SEC v. Xuepeng Xie (layering, 2021) SEC 2021-09-27 Layering , Spoofing $600k settled
SEC v. Frantz Simeon and First Black Enterprises, Inc. (ponzi schemes, 2021) SEC 2021-09-23 Ponzi Schemes — judgment
ASIC v. Dylan Rands (price manipulation, 2021) ASIC 2021-09-22 Price Manipulation — judgment
SEC v. Helikon Investments Ltd. (rule 105 offering shorts, 2021) SEC 2021-09-21 Rule 105 Offering Shorts $97.5k settled
SEC v. James Wallace Nall, III, Michael Hale Smith, Michael Dwaine Smith, Robert Walter Smith and Walter Vice Tutt (insider trading, 2021) SEC 2021-09-21 Insider Trading $221k judgment
CFTC v. Gregory Demetrius Bryant, Jr. (ponzi schemes, 2021) CFTC 2021-09-16 Ponzi Schemes — filed
SEC v. Jason Dodd Bullard, Angela Romero-Bullard, and Bullard Enterprises LLC (ponzi schemes, 2021) SEC 2021-09-16 Ponzi Schemes $230k settled
CFTC v. Ronald Montano and Montano Enterprises LLC (binary options solicitation fraud, 2021) CFTC 2021-09-15 $1.7m judgment
SEC v. Charles Parkinson Lloyd (reverse merger schemes, 2021) SEC 2021-09-15 Reverse Merger Schemes , Unregistered Distributions $40k settled
SEC v. Simon Piers Thurlow, Roger Fidler and others (reverse merger schemes, 2021) SEC 2021-09-15 Reverse Merger Schemes — filed
Melbourne man charged with insider trading (ASIC, 2021) ASIC 2021-09-14 Insider Trading — dismissed
CFTC v. Rudy Avila and six companies (fraudulent solicitation schemes, 2021) CFTC 2021-09-14 Ponzi Schemes — judgment
SEC v. App Annie Inc. and Bertrand Schmitt (2021) SEC 2021-09-14 $10.3m settled
SEC v. Mark Ahn (insider trading, 2021) SEC 2021-09-10 Insider Trading — judgment
SEC v. Todd Elliott Hitt et al. (ponzi schemes, 2021) SEC 2021-09-10 Ponzi Schemes — judgment
SEC v. Cavco Industries, Inc., Joseph Stegmayer, and Daniel Urness, Robert Scott Parkhurst (insider trading, 2021) SEC 2021-09-03 Insider Trading $1.5m settled
SEC v. Zeeshawn S. Zia (boiler rooms, 2021) SEC 2021-09-01 Boiler Rooms — filed
SEC v. Steven Fitzgerald Brown (ponzi schemes, 2021) SEC 2021-08-31 Ponzi Schemes — judgment
SEC v. Beth Mueller (insider trading, 2021) SEC 2021-08-30 Insider Trading $28k settled
SEC v. Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (customer information safeguards, 2021) SEC 2021-08-30 $250k settled
SEC v. Cetera Advisor Networks LLC and four affiliates (customer information safeguards, 2021) SEC 2021-08-30 $300k settled
SEC v. Donald G. Blakstad, et al. (insider trading, 2021) SEC 2021-08-30 Insider Trading — filed
SEC v. KMS Financial Services, Inc. (customer information safeguards, 2021) SEC 2021-08-30 $200k settled
SEC v. Roger E. Dobrovodsky (unregistered distributions, 2021) SEC 2021-08-30 Unregistered Distributions $150k settled
SEC v. Scott and Lisa Chasin (insider trading, 2021) SEC 2021-08-30 Insider Trading $28k settled
CFTC v. Glen Galemmo (ponzi schemes, 2021) CFTC 2021-08-27 Ponzi Schemes — settled
SEC v. Andrew L. Fassari (social media ramps, 2021) SEC 2021-08-27 Social Media Ramps $195k judgment
SEC v. William B. McHenry Jr. and First South Investments, LLC (ponzi schemes, 2021) SEC 2021-08-27 Ponzi Schemes — judgment
SEC v. John J. Woods, Livingston Group Asset Management Company d/b/a Southport Capital, and Horizon Private Equity, III, LLC (ponzi schemes, 2021) SEC 2021-08-25 Ponzi Schemes — settled
SEC v. Sung Mo Jun, Joon Jun, Junwoo Chon, Ayden Lee, and Jae Hyeon Bae (insider trading, 2021) SEC 2021-08-25 Insider Trading $72.9k settled
SEC v. Denise Grevas (insider trading, 2021) SEC 2021-08-18 Insider Trading — settled
SEC v. Matthew Panuwat (insider trading, 2021) SEC 2021-08-17 Insider Trading — filed
SEC v. Murchinson Ltd. and Marc Bistricer and Paul Zogala (naked short selling debate, 2021) SEC 2021-08-17 Naked Short Selling Debate $900k settled
SEC v. Lawrence B. Adams (paid stock promotion, 2021) SEC 2021-08-16 Paid Stock Promotion — filed
SEC v. Ahmad Haris Tajyar and Eric Leo Marsoubian (marking the close, 2021) SEC 2021-08-13 Marking The Close , Matched Orders +1 $220k settled
SEC v. Martin Adrian Ruiz, et al. (2021) SEC 2021-08-13 — filed
SEC v. MJ Capital Funding, LLC, et al, (ponzi schemes, 2021) SEC 2021-08-13 Ponzi Schemes — judgment
SEC v. Zorayr Mikael Manukyan-Zakaryan (insider trading, 2021) SEC 2021-08-10 Insider Trading $41k settled
SEC v. Leonard R. Barr (insider trading, 2021) SEC 2021-08-09 Insider Trading $68.4k settled
AMF France v. X, Y, Z and others (wash trading, 2021) AMF (France) 2021-08-04 Wash Trading — judgment
AMF France v. Y, M. A and Banque X (insider trading, 2021) AMF (France) 2021-08-03 Insider Trading — dismissed
SEC v. Live Ventures Incorporated et al. (financial reporting fraud, 2021) SEC 2021-08-03 — filed
SEC v. George Heckler (2021) SEC 2021-07-28 — settled
SEC v. Alan L. Alexander (insider trading, 2021) SEC 2021-07-23 Insider Trading $9.1k settled
SEC v. Charlie Abujudeh (pump and dump, 2021) SEC 2021-07-22 Pump And Dump $414k settled
SEC v. Outdoor Capital Partners, LLC (ponzi schemes, 2021) SEC 2021-07-22 Ponzi Schemes — filed
OSC v. Jiubin Feng and CIM International Group Inc. (2021) OSC 2021-07-21 — judgment
SEC v. Profit Connect Wealth Services, Inc., et al. (2021) SEC 2021-07-20 — filed
SEC v. Blotics Ltd. f/d/b/a Coinschedule Ltd. (paid stock promotion, 2021) SEC 2021-07-14 Paid Stock Promotion $154k settled
SEC v. Jonathan Mimun a/k/a Jonathan Maymon and Ronn BenHarav (boiler rooms, 2021) SEC 2021-07-13 Boiler Rooms $25.8m judgment
AMF France v. B and A (insider trading, 2021) AMF (France) 2021-07-09 Insider Trading — judgment
Melbourne man charged with multiple counts of market manipulation (ASIC, 2021) ASIC 2021-07-02 Price Manipulation — judgment