Exchange Act s.9(a)(1)

Bars wash sales and matched orders that give a false picture of trading activity in a listed security. 33 records cite it, filed 2015 to 2025.

United States · Securities Exchange Act of 1934 · 15 U.S.C. 78i(a)(1)

Official text: 15 U.S.C. 78i (LII)

Counts

Most recent matched records

• SEC v. Suyun Gu, et al. (wash trading, 2025) (2025-07-21)
• SEC v. Ongkaruck Sripetch and others (pump and dump, 2025) (2025-06-20)
• SEC v. Carlos Eduardo Reyes Alvarez (wash trading, 2023) (2023-05-01)
• SEC v. Justin Sun et al. (paid stock promotion, 2023) (2023-03-24)
• SEC v. James T. Patten, Peter L. Coker Sr. and Peter L. Coker Jr. (reverse merger schemes, 2022) (2022-09-27)
• SEC v. Ahmad Haris Tajyar and Eric Leo Marsoubian (marking the close, 2021) (2021-08-13)
• SEC v. Ron Phillips (matched orders, 2021) (2021-06-30)
• SEC v. Joel Stohlman, et al. (matched orders, 2020) (2020-09-30)
• SEC v. Ryan Felton, FLiK, and CoinSpark (price manipulation, 2020) (2020-09-10)
• SEC v. Barry Honig, et al. (pump and dump, 2020) (2020-03-11)
• SEC v. Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong (matched orders, 2020) (2020-02-21)
• SEC v. Michael J. Starkweather and Andiamo Corporation, William White (matched orders, 2019) (2019-10-17)
• SEC v. Chip Hackley (matched orders, 2019) (2019-09-25)
• SEC v. George Matin (matched orders, 2019) (2019-09-25)
• SEC v. Harold Minsky (matched orders, 2019) (2019-09-25)