Home / Cases / 2023 Market manipulation enforcement actions filed in 2023 This library records 208 market manipulation enforcement actions filed in 2023, 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 100
Total penalties $167m
Median penalty $267k
Largest $91m
Criminal parallel 27% Action Agency Filed Technique Penalty Status SEC v. Diana Mae Fernandez (ponzi schemes, 2023) SEC 2023-12-28 Ponzi Schemes — filed SEC v. BarnBridge DAO (chat group pumps, 2023) SEC 2023-12-22 Chat Group Pumps — settled SEC v. Tyler Ward and Troy Murray (chat group pumps, 2023) SEC 2023-12-22 Chat Group Pumps $125k settled SEC v. Agridime LLC, Joshua Link, and Jed Wood (ponzi schemes, 2023) SEC 2023-12-18 Ponzi Schemes — unknown SEC v. Dozy Mmobuosi, et al. (insider trading, 2023) SEC 2023-12-18 Insider Trading — filed SEC v. Titanium Capital LLC and others (ponzi schemes, 2023) SEC 2023-12-18 Ponzi Schemes — filed CFTC v. Freepoint Commodities LLC (insider trading, 2023) CFTC 2023-12-14 Insider Trading $91m judgment SEC v. Andrew M. Komarow (free riding and parking, 2023) SEC 2023-12-08 Free Riding And Parking — judgment SEC v. Raymond J. Pirrello, Jr., et al. (insider trading, 2023) SEC 2023-12-07 Insider Trading — filed SEC v. Marc E. Wexler (price manipulation, 2023) SEC 2023-12-05 Price Manipulation , Pump And Dump — judgment ASIC v. Henry Eng Chye Heng (price manipulation, 2023) ASIC 2023-12-04 Price Manipulation — filed SEC v. Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nicola Faukovic, and Catherine DeFrancesco (pump and dump, 2023) SEC 2023-11-29 Pump And Dump $223k judgment SEC v. Joseph M. Dupont et al. (insider trading, 2023) SEC 2023-11-28 Insider Trading — judgment SEC v. unnamed respondents (unregistered distributions, 2023) SEC 2023-11-21 Unregistered Distributions — filed SEC v. Laidlaw and Company (UK) Ltd. (churning, 2023) SEC 2023-11-20 Churning $223k settled CFTC v. Chicago-based Phillip Galles (ponzi schemes, 2023) CFTC 2023-11-15 Ponzi Schemes $20m judgment SEC v. Matthew Melton (ponzi schemes, 2023) SEC 2023-11-15 Ponzi Schemes — filed SEC v. Charter Communications, Inc. (insider trading, 2023) SEC 2023-11-14 Insider Trading $25m settled SEC v. John A. Masanotti, Jr. and Middlesex Mortgage Group, LLC (ponzi schemes, 2023) SEC 2023-11-09 Ponzi Schemes — filed SEC v. SafeMoon LLC, SafeMoon US LLC, Kyle Nagy, Braden John Karony, Thomas Glenn Smith (wash trading, 2023) SEC 2023-11-01 Wash Trading — filed SEC v. Joseph Conlan (insider trading, 2023) SEC 2023-10-30 Insider Trading $73.6k settled SEC v. Bruce Schoengood, Medifirst Solutions, Inc., and Joshua Tyrell (paid stock promotion, 2023) SEC 2023-10-27 Paid Stock Promotion — judgment OSC v. Thomas John Finch (insider trading, 2023) OSC 2023-10-25 Insider Trading — unknown SEC v. BlackRock Advisors, LLC (benchmark submission rigging, 2023) SEC 2023-10-24 Benchmark Submission Rigging $2.5m settled CFTC v. Minnesota Grain Merchandiser (price manipulation, 2023) CFTC 2023-10-23 Price Manipulation $3m judgment OSC v. Charles DeBono (ponzi schemes, 2023) OSC 2023-10-23 Ponzi Schemes — judgment SEC v. Anson Advisors Inc. (rule 105 offering shorts, 2023) SEC 2023-10-19 Rule 105 Offering Shorts $600k settled SEC v. Brian Marc Rubin (insider trading, 2023) SEC 2023-10-17 Insider Trading — judgment SEC v. Matthew M. Motil, et al. (ponzi schemes, 2023) SEC 2023-10-04 Ponzi Schemes — filed SEC v. Zera Financial LLC (ponzi schemes, 2023) SEC 2023-10-03 Ponzi Schemes — unknown SEC v. Bin Hao and Qidian LLC (ponzi schemes, 2023) SEC 2023-09-29 Ponzi Schemes — filed SEC v. John Feloni and Stock Squirrel, Inc. (ponzi schemes, 2023) SEC 2023-09-29 Ponzi Schemes — filed SEC v. Maxim Group, LLC (naked short selling debate, 2023) SEC 2023-09-29 Naked Short Selling Debate $800k settled CFTC v. unnamed respondents (ponzi schemes, 2023) CFTC 2023-09-28 Ponzi Schemes — unknown CFTC v. Unregistered Pool Operator and its Owner (ponzi schemes, 2023) CFTC 2023-09-28 Ponzi Schemes — unknown SEC v. Anthony Viggiano, Stephen A. Forlano, Christopher Salamone, and Nathan Bleckley (insider trading, 2023) SEC 2023-09-28 Insider Trading — unknown SEC v. Marco A Perez, Pedro Perez Jr., and Olivia Perez Durbin (insider trading, 2023) SEC 2023-09-28 Insider Trading — settled SEC v. Michael Blumer, John Kuprianchik, David Page, Steven Thompson, Joseph Todaro (churning, 2023) SEC 2023-09-28 Churning — unknown CFTC v. Dichao Xie (insider trading, 2023) CFTC 2023-09-27 Insider Trading $350k judgment SEC v. Robert Del Prete (insider trading, 2023) SEC 2023-09-27 Insider Trading — judgment CFTC v. Florida Man (ponzi schemes, 2023) CFTC 2023-09-26 Ponzi Schemes — filed SEC v. Philip Verges, James D. Tilton, Jr., Robert F. Malin, Linda Malin, and others (pump and dump, 2023) SEC 2023-09-26 Pump And Dump — unknown SEC v. William B. McHenry, Jr. and First South Investments, LLC (ponzi schemes, 2023) SEC 2023-09-26 Ponzi Schemes , Unregistered Distributions — judgment SEC v. Stephen L. Bailey, Sapphire Exploration LLC, and Harris Exploration Inc. (ponzi schemes, 2023) SEC 2023-09-25 Ponzi Schemes — filed CFTC v. California Resident (wash trading, 2023) CFTC 2023-09-22 Wash Trading $300k judgment SEC v. Citadel Securities, LLC (naked short selling debate, 2023) SEC 2023-09-22 Naked Short Selling Debate $7m settled SEC v. Empirex Capital LLC and Rafael Alberto Vargas Gonzalez, a/k/a Rafael Vargas (ponzi schemes, 2023) SEC 2023-09-22 Ponzi Schemes — unknown SEC v. Nathalia I. Burgos, Christian A. Cuesta, Steven A. Fernandez et. al. (ponzi schemes, 2023) SEC 2023-09-22 Ponzi Schemes — settled SEC v. Jon P. Kubler, Kubler Consulting LLC, Aksarben Evolution LLC, AV Bhill LLC, CFH Texas LLC, Green Saddle LLC (ponzi schemes, 2023) SEC 2023-09-21 Ponzi Schemes — filed SEC v. Jonathan Becker (insider trading, 2023) SEC 2023-09-21 Insider Trading — settled SEC v. Luis Ricardo Quiroz Gardea (ponzi schemes, 2023) SEC 2023-09-21 Ponzi Schemes — settled ASIC v. Interactive Brokers (marking the close, 2023) ASIC 2023-09-20 Marking The Close $833k unknown SEC v. MFB 111 Investment, LLC and Monise François Bien Aimé (ponzi schemes, 2023) SEC 2023-09-19 Ponzi Schemes — filed SEC v. Tilila Walker Sumchai (ponzi schemes, 2023) SEC 2023-09-19 Ponzi Schemes — filed SEC v. GGToor, Inc. (unregistered distributions, 2023) SEC 2023-09-18 Unregistered Distributions $40k settled SEC v. Jonathan J. Ferrie (insider trading, 2023) SEC 2023-09-18 Insider Trading — settled SEC v. Lyft, Inc. (insider trading, 2023) SEC 2023-09-18 Insider Trading $10m settled SEC v. Xia Hong (insider trading, 2023) SEC 2023-09-14 Insider Trading $75k settled SEC v. Rand Heckler (ponzi schemes, 2023) SEC 2023-09-13 Ponzi Schemes — judgment SEC v. Stoner Cats 2, LLC (unregistered distributions, 2023) SEC 2023-09-13 Unregistered Distributions $1m settled SEC v. Esos Rings, Inc. and Michelle Silverstein aka Michelle Silverstein Bisnoff (ponzi schemes, 2023) SEC 2023-09-12 Ponzi Schemes $233k judgment SEC v. George Stubos (paid stock promotion, 2023) SEC 2023-09-12 Paid Stock Promotion — judgment SEC v. Virtu Financial Inc. and Virtu Americas LLC (insider trading, 2023) SEC 2023-09-12 Insider Trading — filed SEC v. Mortgage Industry Advisory Corporation (insider trading, 2023) SEC 2023-09-11 Insider Trading $100k settled SEC v. Simplex Trading, LLC (naked short selling debate, 2023) SEC 2023-09-11 Naked Short Selling Debate $200k settled SEC v. Mina Tadrus, et al. (ponzi schemes, 2023) SEC 2023-09-08 Ponzi Schemes — filed CFTC v. Texas Firm and Head Trader (spoofing, 2023) CFTC 2023-09-07 Spoofing — filed SEC v. Linus Financial, Inc. (unregistered distributions, 2023) SEC 2023-09-07 Unregistered Distributions — settled OSC v. Derek Scheinman (ponzi schemes, 2023) OSC 2023-09-06 Ponzi Schemes — filed SEC v. Jeremy Koski (social media ramps, 2023) SEC 2023-09-01 Social Media Ramps — filed SEC v. Brady Jack Speers, Chatree Thiranon, and GHAP, LLC d/b/a Blue Star Texas (ponzi schemes, 2023) SEC 2023-08-31 Ponzi Schemes — judgment SEC v. William V. Conn, Jr. (ponzi schemes, 2023) SEC 2023-08-31 Ponzi Schemes — filed FCA v. NMC Health Plc (in Administration) (price manipulation, 2023) FCA 2023-08-30 Price Manipulation — unknown SEC v. Archipelago Trading Services, Inc. (layering, 2023) SEC 2023-08-29 Layering , Spoofing +1 $1.5m settled SEC v. Deyonte Jahtori Anthony (free riding and parking, 2023) SEC 2023-08-28 Free Riding And Parking — settled SEC v. Impact Theory, LLC (unregistered distributions, 2023) SEC 2023-08-28 Unregistered Distributions $500k settled OSC v. Nova Tech Ltd. and Cynthia Petion (ponzi schemes, 2023) OSC 2023-08-25 Ponzi Schemes — judgment Melbourne man charged over alleged insider trading in Kidman Resources shares (ASIC, 2023) ASIC 2023-08-24 Insider Trading $65k filed SEC v. Romero Cabral da Costa Neto (insider trading, 2023) SEC 2023-08-24 Insider Trading — unknown CFTC v. Texas Man and His Company (ponzi schemes, 2023) CFTC 2023-08-23 Ponzi Schemes — filed SEC v. Daniel V.T. Catenacci (insider trading, 2023) SEC 2023-08-21 Insider Trading $50k judgment SEC v. Carla Lea Chastain (churning, 2023) SEC 2023-08-18 Churning — settled SEC v. Chad Stickforth (ponzi schemes, 2023) SEC 2023-08-08 Ponzi Schemes — judgment SEC v. Charles Rustin Holzer, Maglione International Ltd., Frontenac Investments Ltd. (insider trading, 2023) SEC 2023-08-07 Insider Trading — judgment SEC v. Justin Sun, Tron Foundation Limited, BitTorrent Foundation Ltd., Rainberry, Inc., Austin Mahone, and Deandre Cortez Way (paid stock promotion, 2023) SEC 2023-08-07 Paid Stock Promotion , Wash Trading — judgment SEC v. Jose D. Rocha (ponzi schemes, 2023) SEC 2023-08-03 Ponzi Schemes — settled SEC v. Janardhan Nellore, et al. (insider trading, 2023) SEC 2023-08-02 Insider Trading — judgment SEC v. Mina Tadrus and Tadrus Capital LLC (ponzi schemes, 2023) SEC 2023-08-02 Ponzi Schemes — filed CFTC v. UK Trader (spoofing, 2023) CFTC 2023-08-01 Spoofing $150k judgment SEC v. Brent Seaman, Accanito Holdings, LLC, and others (ponzi schemes, 2023) SEC 2023-07-28 Ponzi Schemes — judgment SEC v. Joseph C. Lewis, et al. (insider trading, 2023) SEC 2023-07-26 Insider Trading — filed CFTC v. Tennessee Husband and Wife Realtors (ponzi schemes, 2023) CFTC 2023-07-25 Ponzi Schemes — filed SEC v. Amit Dagar and Atul Bhiwapurkar (insider trading, 2023) SEC 2023-07-25 Insider Trading — unknown SEC v. Brandon Charnas (insider trading, 2023) SEC 2023-07-25 Insider Trading — unknown SEC v. Quantstamp, Inc. (unregistered distributions, 2023) SEC 2023-07-21 Unregistered Distributions $1m settled SEC v. Eric J. "EJ" Dalius et al. (ponzi schemes, 2023) SEC 2023-07-20 Ponzi Schemes $112k judgment SEC v. Robert D. Christensen, Anthony M. Matic, Foresee, Inc., The Commission PDX, LLC, The Policy PDX, Innings 150 (ponzi schemes, 2023) SEC 2023-07-20 Ponzi Schemes $200k judgment SEC v. Chadd L. Evans (free riding and parking, 2023) SEC 2023-07-19 Free Riding And Parking $10k judgment SEC v. James P. Anglim (boiler rooms, 2023) SEC 2023-07-17 Boiler Rooms — judgment SEC v. Nirdosh Jagota, Ph.D. (insider trading, 2023) SEC 2023-07-17 Insider Trading $39.7k settled
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