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
61
Total penalties
$57.7m
Median penalty
$238k
Largest
$27.9m
Criminal parallel
41%
Action Agency Filed Technique Penalty Status
ASIC v. Avrohom Kimelman (insider trading, 2021) ASIC 2021-07-01 Insider Trading , Price Manipulation — judgment
SEC v. Contrarian Press, LLC, Scott S. Fraser, and Nathan Yeung (paid stock promotion, 2021) SEC 2021-07-01 Paid Stock Promotion $200k judgment
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. (2021) SEC 2021-06-29 $4.8m judgment
SEC v. Nathaniel Brown, Benjamin Wylam, Naveen Sood, Marcus Bannon, Matthew Rauch, and Naresh Ramaiya (insider trading, 2021) SEC 2021-06-25 Insider Trading $654k settled
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 — judgment
CFTC v. Classic Energy LLC and Mathew D. Webb (block trade information misuse, 2021) CFTC 2021-06-15 — settled
SEC v. Robert Joseph Armijo, et al. (ponzi schemes, 2021) SEC 2021-06-15 Ponzi Schemes $75k settled
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 — judgment
AMF France v. X and A (spoofing, 2021) AMF (France) 2021-05-28 Spoofing — judgment
SEC v. Mohammed A. Bari (insider trading, 2021) SEC 2021-05-27 Insider Trading $238k 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 — judgment
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 — judgment
SEC v. BTIG, LLC (naked short selling debate, 2021) SEC 2021-05-20 Naked Short Selling Debate $315k settled
SEC v. LFS Funding Limited Partnership, Stephen Thompson, Steven Comisar, Dale Engelhardt and Ross Erskine (undisclosed control blocks, 2021) SEC 2021-05-20 Undisclosed Control Blocks — filed
Former CFO sentenced for market manipulation and fraud offences (ASIC, 2021) ASIC 2021-05-18 Price Manipulation — judgment
CFTC v. SummerHaven Investment Management LLC (wash trading, 2021) CFTC 2021-05-18 Wash Trading $500k judgment
CFTC v. Cipolla (ponzi schemes, 2021) CFTC 2021-05-14 Ponzi Schemes — judgment
SEC v. David N. Osegueda, et al. (pump and dump, 2021) SEC 2021-05-07 Pump And Dump $664k judgment
AMF France v. X, A, B, Y and Z (insider trading, 2021) AMF (France) 2021-04-28 Insider Trading — judgment
CFTC v. Aaron Michael Scott (ponzi schemes, 2021) CFTC 2021-04-27 Ponzi Schemes — judgment
SEC v. Jonathan P. Maroney, Et. Al (ponzi schemes, 2021) SEC 2021-04-27 Ponzi Schemes — filed
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 — settled
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 $1.5m 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 — judgment
CFTC v. Glenn Olson (rigged binary options execution, 2021) CFTC 2021-04-06 Rigged Binary Options Execution — settled
CFTC v. Emilio José Heredia Collado (price manipulation, 2021) CFTC 2021-03-25 Price Manipulation $100k settled
SEC v. Jason P. Wootten, et al. (ponzi schemes, 2021) SEC 2021-03-23 Ponzi Schemes — settled
CFTC v. Coinbase Inc. (exchange wash trading, 2021) CFTC 2021-03-19 Exchange Wash Trading , Wash Trading $6.5m judgment
SEC v. Seth P. Levine (2021) SEC 2021-03-19 — settled
ASIC v. Benjamin Heath Cooper (price manipulation, 2021) ASIC 2021-03-17 Price Manipulation — judgment
SEC v. Shawn C. Cutting (2021) SEC 2021-03-11 $6.9m judgment
CFTC v. John McAfee and Jimmy Gale Watson (pump and dump, 2021) CFTC 2021-03-05 Pump And Dump — filed
SEC v. AT&T, Inc., et al. (2021) SEC 2021-03-05 — filed
AMF France v. Régis Lebrun (insider trading, 2021) AMF (France) 2021-03-04 Insider Trading — settled
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
AMF France v. X (price manipulation, 2021) AMF (France) 2021-02-26 Price Manipulation — dismissed
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 (2021) CFTC 2021-02-23 $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 — judgment
SEC v. Isaiah L. Goodman (2021) SEC 2021-02-09 — settled
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 $27.9m judgment
CFTC v. New York Man (ponzi schemes, 2021) CFTC 2021-01-26 Ponzi Schemes — settled
SEC v. William Andrew Stack, Esq. (undisclosed control blocks, 2021) SEC 2021-01-21 Undisclosed Control Blocks , Unregistered Distributions $333k judgment
SEC v. Abhi Batra a/k/a Abhimanyu Batra (free riding and parking, 2021) SEC 2021-01-19 Free Riding And Parking $195k judgment
SEC v. Jacob C. Glick (2021) SEC 2021-01-19 $725k judgment
SEC v. Advanced Practice Advisors, LLC and Paul C. Spitzer (2021) SEC 2021-01-14 $20k settled
OSC v. Marilyn Dianne Stuart (ponzi schemes, 2021) OSC 2021-01-13 Ponzi Schemes — judgment