Home / Cases / 2024 Market manipulation enforcement actions filed in 2024 This library records 189 market manipulation enforcement actions filed in 2024, brought by ASIC, CFTC, FCA, 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 $263m
Median penalty $215k
Largest $111m
Criminal parallel 27% Action Agency Filed Technique Penalty Status SEC v. Dale B. Chappell, et al. (insider trading, 2024) SEC 2024-12-31 Insider Trading — unknown Perth accountant charged over alleged insider trading in Genesis Minerals shares (ASIC, 2024) ASIC 2024-12-23 Insider Trading — filed Third person sentenced for Courtenay House misconduct (ASIC, 2024) ASIC 2024-12-22 Ponzi Schemes — filed SEC v. Silver Point Capital, L.P. (insider trading, 2024) SEC 2024-12-20 Insider Trading — filed SEC v. Tai Mo Shan Limited (unregistered distributions, 2024) SEC 2024-12-20 Unregistered Distributions $36.7m settled SEC v. Curt L Dewitz (insider trading, 2024) SEC 2024-12-19 Insider Trading — judgment SEC v. Ronald Bauer et al. (pump and dump, 2024) SEC 2024-12-19 Pump And Dump — judgment SEC v. Snow Lake Capital (HK) Limited (rule 105 offering shorts, 2024) SEC 2024-12-19 Rule 105 Offering Shorts $525k settled SEC v. Ken Peterman (insider trading, 2024) SEC 2024-12-18 Insider Trading — unknown SEC v. Sai-Hong Ignatius Ou (insider trading, 2024) SEC 2024-12-18 Insider Trading $1.5m judgment SEC v. David Chong Kyi (insider trading, 2024) SEC 2024-12-17 Insider Trading $125k settled SEC v. Zachary Stevenson (spoofing, 2024) SEC 2024-12-13 Spoofing $150k settled CFTC v. Storm Bryant (ponzi schemes, 2024) CFTC 2024-12-11 Ponzi Schemes $3.9m judgment SEC v. Frederick Tayton Dencer, et al. (ponzi schemes, 2024) SEC 2024-12-11 Ponzi Schemes — filed SEC v. John S. Clayton and others (insider trading, 2024) SEC 2024-12-11 Insider Trading , Paid Stock Promotion — filed CFTC v. Washington State Pastor (ponzi schemes, 2024) CFTC 2024-12-10 Ponzi Schemes — unknown SEC v. David Banister, et al. (social media ramps, 2024) SEC 2024-12-10 Social Media Ramps — filed SEC v. David C. Underwood (unregistered distributions, 2024) SEC 2024-12-09 Unregistered Distributions $50k settled SEC v. Marc J. Toomey (unregistered distributions, 2024) SEC 2024-12-09 Unregistered Distributions $50k settled SEC v. Stephen R. Bishop (unregistered distributions, 2024) SEC 2024-12-09 Unregistered Distributions — settled SEC v. Jordan Qsar, Grant Witherspoon, Austin Bernard, and Chase Lambert (insider trading, 2024) SEC 2024-12-05 Insider Trading — judgment SEC v. Dow Rockwell LLC and Richard Dow Rockwell (ponzi schemes, 2024) SEC 2024-12-03 Ponzi Schemes — judgment SEC v. FiveT Capital AG (rule 105 offering shorts, 2024) SEC 2024-11-26 Rule 105 Offering Shorts $805k settled SEC v. Lightspeed Financial Services Group LLC (layering, 2024) SEC 2024-11-22 Layering , Wash Trading $75k settled SEC v. Paulson Investment Company LLC (wash trading, 2024) SEC 2024-11-22 Wash Trading $75k settled SEC v. Webull Financial LLC (insider trading, 2024) SEC 2024-11-22 Insider Trading $125k settled SEC v. unnamed respondents (boiler rooms, 2024) SEC 2024-11-20 Boiler Rooms — dismissed SEC v. Robert Brian Thompson (insider trading, 2024) SEC 2024-11-19 Insider Trading — judgment FCA v. Travis Lloyd Klein (cash vs derivatives schemes, 2024) FCA 2024-11-18 Cash Vs Derivatives Schemes , Wash Trading — unknown SEC v. Epic Capital Wealth Advisors, LLC (unregistered distributions, 2024) SEC 2024-11-08 Unregistered Distributions — judgment SEC v. Carlos Sacanell (insider trading, 2024) SEC 2024-10-31 Insider Trading — filed SEC v. Dusan Varga and Pannon Investment Advisors LLC (ponzi schemes, 2024) SEC 2024-10-31 Ponzi Schemes — judgment CFTC v. two Louisiana-Based Companies and Cofounder (ponzi schemes, 2024) CFTC 2024-10-28 Ponzi Schemes — filed CFTC v. Yueyu Bao (wash trading, 2024) CFTC 2024-10-24 Wash Trading $260k judgment SEC v. Unisys Corporation (insider trading, 2024) SEC 2024-10-22 Insider Trading $4m settled SEC v. Morrie Tobin et al. (reverse merger schemes, 2024) SEC 2024-10-18 Reverse Merger Schemes $230k judgment SEC v. Ruimin Xie (insider trading, 2024) SEC 2024-10-17 Insider Trading $59.4k settled SEC v. Umapathi Kakkera (insider trading, 2024) SEC 2024-10-17 Insider Trading — settled SEC v. Baris Cabalar (churning, 2024) SEC 2024-10-16 Churning — unknown CFTC v. Several People and Companies (ponzi schemes, 2024) CFTC 2024-10-15 Ponzi Schemes — unknown SEC v. Matthew Groom (insider trading, 2024) SEC 2024-10-15 Insider Trading $12.9k settled SEC v. Gotbit Consulting LLC a/k/a Gotbit Hedge Fund and Fedor Kedrov (paid crypto market making, 2024) SEC 2024-10-09 Paid Crypto Market Making , Wash Trading — unknown SEC v. Minerco, Inc., Bobby Shumake Japhia, and Julius Makiri Jenge (custodianship shell hijacking, 2024) SEC 2024-10-09 Custodianship Shell Hijacking , Pump And Dump — filed SEC v. ZM Quant Investment Ltd., Baijun Ou a/k/a Eric Ou, and Ruiqi Lau a/k/a Ricky Liu (paid crypto market making, 2024) SEC 2024-10-09 Paid Crypto Market Making , Wash Trading — unknown SEC v. CLS Global FZC LLC and Andrey Zhorzhes (paid crypto market making, 2024) SEC 2024-10-09 Paid Crypto Market Making — unknown SEC v. Russell Armand, Maxwell Hernandez, Manpreet Singh Kohli, and Nam Tran (paid crypto market making, 2024) SEC 2024-10-09 Paid Crypto Market Making — settled SEC v. Vy Pham (paid crypto market making, 2024) SEC 2024-10-09 Paid Crypto Market Making — settled CFTC v. Taiwanese Firm (wash trading, 2024) CFTC 2024-10-01 Wash Trading $200k judgment SEC v. Barry Siegel (insider trading, 2024) SEC 2024-10-01 Insider Trading $113k judgment SEC v. Marathon Asset Management, LP (insider trading, 2024) SEC 2024-09-30 Insider Trading $1.5m settled SEC v. TD Securities (USA) LLC (cash vs derivatives schemes, 2024) SEC 2024-09-30 Cash Vs Derivatives Schemes , Spoofing $6.5m unknown SEC v. Austin Kauh (insider trading, 2024) SEC 2024-09-27 Insider Trading — settled SEC v. Bryan Scott McMillan (insider trading, 2024) SEC 2024-09-27 Insider Trading — unknown SEC v. Eric Hannelius (insider trading, 2024) SEC 2024-09-27 Insider Trading — settled SEC v. Mango Labs, LLC, Mango DAO, and Blockworks Foundation (unregistered distributions, 2024) SEC 2024-09-27 Unregistered Distributions — settled SEC v. Marco Babini, et al. (paid stock promotion, 2024) SEC 2024-09-27 Paid Stock Promotion — judgment SEC v. Robert B. Westbrook (hack to trade, 2024) SEC 2024-09-27 Hack To Trade , Insider Trading — filed SEC v. Bhardwaj et al. (insider trading, 2024) SEC 2024-09-26 Insider Trading — judgment SEC v. Karina N. Fernandez and others (ponzi schemes, 2024) SEC 2024-09-26 Ponzi Schemes — settled CFTC v. Rudy Avila (ponzi schemes, 2024) CFTC 2024-09-25 Ponzi Schemes $1.5m judgment CFTC v. Texas Associated Person (insider trading, 2024) CFTC 2024-09-25 Insider Trading — judgment SEC v. Eric J. Watson et al. (insider trading, 2024) SEC 2024-09-24 Insider Trading — judgment SEC v. Benjamin Ballout, Mohamed Zayed, and William Fielding (pump and dump, 2024) SEC 2024-09-23 Pump And Dump — judgment SEC v. Centerline Investment Management Limited (rule 105 offering shorts, 2024) SEC 2024-09-23 Rule 105 Offering Shorts $112k settled SEC v. DiScala et al., (pump and dump, 2024) SEC 2024-09-20 Pump And Dump , Reverse Merger Schemes — judgment SEC v. Keith D. Beekmeyer and Andrew M. Bye (reverse merger schemes, 2024) SEC 2024-09-20 Reverse Merger Schemes — settled SEC v. Philip Markin (insider trading, 2024) SEC 2024-09-19 Insider Trading — judgment SEC v. Rari Capital Infrastructure LLC (unregistered distributions, 2024) SEC 2024-09-18 Unregistered Distributions — settled SEC v. Joel David Castro Leon and Shmuel A. Sherr (spoofing, 2024) SEC 2024-09-17 Spoofing $125k judgment SEC v. NanoBit Limited, Radiant Horizons Limited, Sweet Karma Fashion Inc., Zhao Tropical Deli Inc., Jiajie Liu, Fei Liao, and Hua Zhao (chat group pumps, 2024) SEC 2024-09-17 Chat Group Pumps — filed SEC v. Gates Capital Management, Inc. (rule 105 offering shorts, 2024) SEC 2024-09-17 Rule 105 Offering Shorts $57.6k settled SEC v. Federico Nannini, Mauro Nannini, Alejandro Thermiotis, and Francisco Tonarely (insider trading, 2024) SEC 2024-09-16 Insider Trading — filed SEC v. Flyfish Club, LLC (chat group pumps, 2024) SEC 2024-09-16 Chat Group Pumps , Unregistered Distributions $750k settled CFTC v. Unregistered Florida Commodity Pool Operator and Its Chief Executive Officer (ponzi schemes, 2024) CFTC 2024-09-12 Ponzi Schemes — filed SEC v. Anthony Guarino (boiler rooms, 2024) SEC 2024-09-12 Boiler Rooms $100k settled SEC v. Dishant Gupta (insider trading, 2024) SEC 2024-09-10 Insider Trading — settled SEC v. Hunter Haithcock a/k/a Hunter Elliott and Hunter Allen (ponzi schemes, 2024) SEC 2024-09-09 Ponzi Schemes — unknown SEC v. James M. Phillips (insider trading, 2024) SEC 2024-09-09 Insider Trading — settled SEC v. Stephen Forlano (insider trading, 2024) SEC 2024-09-09 Insider Trading $18.2k settled SEC v. Esmark Inc. and James P. Bouchard (reverse merger schemes, 2024) SEC 2024-09-06 Reverse Merger Schemes $500k settled CFTC v. Sam Ikkurty (ponzi schemes, 2024) CFTC 2024-09-03 Ponzi Schemes $111m judgment SEC v. Chanon Gordon (ponzi schemes, 2024) SEC 2024-09-03 Ponzi Schemes — settled Former Courtenay House director sentenced to 11 years imprisonment (ASIC, 2024) ASIC 2024-09-02 Ponzi Schemes — unknown SEC v. Drew Morgan Ciccarelli (pump and dump, 2024) SEC 2024-08-30 Pump And Dump — judgment SEC v. Nutra Pharma Corporation, et al. (unregistered distributions, 2024) SEC 2024-08-30 Unregistered Distributions — judgment SEC v. Shaohua (Michael) Yin, et al. (insider trading, 2024) SEC 2024-08-30 Insider Trading $39.5m judgment SEC v. Tanner S. Adam, Jonathan L. Adam, Triten Financial Group, LLC and GCZ Global LLC (ponzi schemes, 2024) SEC 2024-08-30 Ponzi Schemes — unknown SEC v. Bernardo Mendia-Alcaraz and Toltec Capital LLC (ponzi schemes, 2024) SEC 2024-08-28 Ponzi Schemes — filed SEC v. Maggie Chen (insider trading, 2024) SEC 2024-08-28 Insider Trading $57.7k settled CFTC v. Swiss Energy Trader (price manipulation, 2024) CFTC 2024-08-27 Price Manipulation $48m judgment SEC v. Dileep Murthy (insider trading, 2024) SEC 2024-08-26 Insider Trading $88k settled SEC v. Sound Point Capital Management LLP (insider trading, 2024) SEC 2024-08-26 Insider Trading $1.8m settled SEC v. FlowPoint Partners, LLC and Peter J. DeCaprio (insider trading, 2024) SEC 2024-08-21 Insider Trading $145k judgment SEC v. Wells Real Estate Investment, LLC, Janalie C. Joseph a/k/a Janalie C. Bingham, and Jean Joseph, et al. (ponzi schemes, 2024) SEC 2024-08-20 Ponzi Schemes , Undisclosed Control Blocks — unknown CFTC v. Brazilian and Swiss Sugar Companies (wash trading, 2024) CFTC 2024-08-19 Wash Trading $750k judgment SEC v. Drive Planning, LLC and Russell Todd Burkhalter (ponzi schemes, 2024) SEC 2024-08-14 Ponzi Schemes — unknown SEC v. Robert Del Prete (insider trading, 2024) SEC 2024-08-13 Insider Trading — judgment SEC v. Stephen Durland (pump and dump, 2024) SEC 2024-08-13 Pump And Dump — judgment SEC v. OTC Link LLC (layering, 2024) SEC 2024-08-12 Layering , Spoofing +2 $1.2m settled SEC v. Kevan Casey et al. (pump and dump, 2024) SEC 2024-08-09 Pump And Dump — filed
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