Home / Cases / 2021 / Page 2 Market manipulation enforcement actions filed in 2021 This library records 154 market manipulation enforcement actions filed in 2021, brought by 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 54
Total penalties $52.2m
Median penalty $125k
Largest $32m
Criminal parallel 46% Action Agency Filed Technique Penalty Status SEC v. Mounir N. Gad (insider trading, 2021) SEC 2021-06-30 Insider Trading $51.7k settled SEC v. Nathan E. Guido (insider trading, 2021) SEC 2021-06-30 Insider Trading $40.7k settled SEC v. Reuben Robert Goldman and Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research (paid stock promotion, 2021) SEC 2021-06-30 Paid Stock Promotion $39.9k settled SEC v. Ron Phillips (matched orders, 2021) SEC 2021-06-30 Matched Orders $30k judgment SEC v. Matthew J. Skinner, et al. (ponzi schemes, 2021) SEC 2021-06-29 Ponzi Schemes — filed SEC v. Nathaniel Brown, Benjamin Wylam, Naveen Sood, Marcus Bannon, Matthew Rauch, and Naresh Ramaiya (insider trading, 2021) SEC 2021-06-25 Insider Trading $281k judgment SEC v. Wang (insider trading, 2021) SEC 2021-06-25 Insider Trading $50k judgment SEC v. Mark A. Miller (fake press releases, 2021) SEC 2021-06-21 Fake Press Releases , Pump And Dump — unknown CFTC v. Former Energy Broker and Its Owner (wash trading, 2021) CFTC 2021-06-15 Wash Trading — judgment SEC v. Robert Joseph Armijo, et al. (ponzi schemes, 2021) SEC 2021-06-15 Ponzi Schemes — filed CFTC v. Zhao (spoofing, 2021) CFTC 2021-06-11 Spoofing — settled SEC v. Edgar M. Radjabli, Apis Capital Management LLC and My Loan Doctor LLC (sham tender offers, 2021) SEC 2021-06-11 Sham Tender Offers $419k settled SEC v. The Estate of Kenneth J. Casey (ponzi schemes, 2021) SEC 2021-06-02 Ponzi Schemes — filed SEC v. Mohammed A. Bari (insider trading, 2021) SEC 2021-05-27 Insider Trading — settled SEC v. Kai Christian Petersen, et al. (boiler rooms, 2021) SEC 2021-05-25 Boiler Rooms $100k judgment Former executive of Healthe Care Australia pleads guilty to insider trading (ASIC, 2021) ASIC 2021-05-21 Insider Trading — dismissed Insider trading charges against both the former Project Manager and the former Competent Person of ASX-listed gold explorer (ASIC, 2021) ASIC 2021-05-21 Insider Trading — filed SEC v. BTIG, LLC (naked short selling debate, 2021) SEC 2021-05-20 Naked Short Selling Debate — filed SEC v. LFS Funding Limited Partnership, et al. (undisclosed control blocks, 2021) SEC 2021-05-20 Undisclosed Control Blocks — settled Former CFO sentenced for market manipulation and fraud offences (ASIC, 2021) ASIC 2021-05-18 Price Manipulation — filed CFTC v. Connecticut Firm (matched orders, 2021) CFTC 2021-05-18 Matched Orders , Wash Trading $500k judgment CFTC v. Cipolla (ponzi schemes, 2021) CFTC 2021-05-14 Ponzi Schemes $5m judgment SEC v. David N. Osegueda, et al. (pump and dump, 2021) SEC 2021-05-07 Pump And Dump $400k judgment CFTC v. Aaron Michael Scott (ponzi schemes, 2021) CFTC 2021-04-27 Ponzi Schemes $1.3m judgment SEC v. Jonathan P. Maroney, Et. Al (ponzi schemes, 2021) SEC 2021-04-27 Ponzi Schemes — unknown SEC v. Gregory Altieri (ponzi schemes, 2021) SEC 2021-04-23 Ponzi Schemes — judgment SEC v. Ubong Uboh and Tyler Crockett (pump and dump, 2021) SEC 2021-04-22 Pump And Dump — filed SEC v. Edward J. Kosinski (insider trading, 2021) SEC 2021-04-21 Insider Trading — judgment CFTC v. unnamed respondents (ponzi schemes, 2021) CFTC 2021-04-08 Ponzi Schemes $32m judgment CFTC v. Douglas Lien (ponzi schemes, 2021) CFTC 2021-04-08 Ponzi Schemes $5.2m judgment SEC v. Zachary J. Horwitz, et al. (ponzi schemes, 2021) SEC 2021-04-08 Ponzi Schemes — unknown CFTC v. Former Fuel Oil Trader (price manipulation, 2021) CFTC 2021-03-25 Price Manipulation $100k judgment SEC v. Jason P. Wootten, et al. (ponzi schemes, 2021) SEC 2021-03-23 Ponzi Schemes — filed CFTC v. Coinbase Inc. (exchange wash trading, 2021) CFTC 2021-03-19 Exchange Wash Trading , Matched Orders +1 $6.5m judgment SEC v. Seth P. Levine (ponzi schemes, 2021) SEC 2021-03-19 Ponzi Schemes — settled ASIC v. Benjamin Heath Cooper (price manipulation, 2021) ASIC 2021-03-17 Price Manipulation — filed SEC v. Shawn C. Cutting (ponzi schemes, 2021) SEC 2021-03-11 Ponzi Schemes — unknown CFTC v. Two Individuals (pump and dump, 2021) CFTC 2021-03-05 Pump And Dump — filed SEC v. AT&T, Inc., et al. (insider trading, 2021) SEC 2021-03-05 Insider Trading — filed FCA v. Adrian Geoffrey Horn (wash trading, 2021) FCA 2021-03-03 Wash Trading — unknown SEC v. EarthSource Minerals International, LLC et al. (ponzi schemes, 2021) SEC 2021-03-02 Ponzi Schemes $125k settled SEC v. Bruce Schoengood, Medifirst Solutions, Inc. and Joshua Tyrell (paid stock promotion, 2021) SEC 2021-02-24 Paid Stock Promotion — filed CFTC v. Eibschutz (insider trading, 2021) CFTC 2021-02-23 Insider Trading $75k settled SEC v. James T. Booth (ponzi schemes, 2021) SEC 2021-02-22 Ponzi Schemes — judgment Corporate finance director sentenced for conspiring to manipulate market (ASIC, 2021) ASIC 2021-02-10 Price Manipulation — unknown SEC v. Isaiah L. Goodman (ponzi schemes, 2021) SEC 2021-02-09 Ponzi Schemes — filed SEC v. CR Intrinsic Investors, et al. (insider trading, 2021) SEC 2021-02-03 Insider Trading — judgment SEC v. Vuuzle Media Corp., Ronald Shane Flynn, and Richard Marchitto (boiler rooms, 2021) SEC 2021-01-27 Boiler Rooms — filed CFTC v. New York Man (ponzi schemes, 2021) CFTC 2021-01-26 Ponzi Schemes — filed SEC v. William Andrew Stack, Esq. (undisclosed control blocks, 2021) SEC 2021-01-21 Undisclosed Control Blocks , Unregistered Distributions — filed SEC v. Abhi Batra a/k/a Abhimanyu Batra (free riding and parking, 2021) SEC 2021-01-19 Free Riding And Parking — unknown SEC v. Jacob C. Glick (ponzi schemes, 2021) SEC 2021-01-19 Ponzi Schemes — filed SEC v. Advance Practice Advisors, LLC and Paul C. Spitzer (insider trading, 2021) SEC 2021-01-14 Insider Trading $20k settled OSC v. Marilyn Dianne Stuart (ponzi schemes, 2021) OSC 2021-01-13 Ponzi Schemes — filed
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