Market Manipulation. Search

SEC manipulation enforcement actions

This library records 1768 market manipulation enforcement actions brought by the Securities and Exchange Commission.

These are the SEC actions our ingest has classified as involving a manipulation technique. Actions that do not allege manipulation are outside this library's scope and are not recorded, so this is not a complete mirror of SEC enforcement.

Actions
100
Total penalties
$4.8m
Median penalty
$87.5k
Largest
$2.9m
Criminal parallel
37%
Action Agency Filed Technique Penalty Status
SEC v. Edward Lee Moody, Jr. (ponzi schemes, 2019) SEC 2019-06-21 Ponzi Schemes — judgment
SEC v. Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong (matched orders, 2019) SEC 2019-06-21 Matched Orders — filed
SEC v. Raymond Starker (insider trading, 2019) SEC 2019-06-18 Insider Trading $46.3k judgment
SEC v. Wedbush Securities, Inc. (naked short selling debate, 2019) SEC 2019-06-18 Naked Short Selling Debate — settled
SEC v. Industrial and Commercial Bank of China Financial Services LLC (naked short selling debate, 2019) SEC 2019-06-14 Naked Short Selling Debate — settled
SEC v. Roland M. Mathys (insider trading, 2019) SEC 2019-06-13 Insider Trading — unknown
SEC v. Christopher Salis, et al. (insider trading, 2019) SEC 2019-06-12 Insider Trading — dismissed
SEC v. Steven Fishoff, et al. (insider trading, 2019) SEC 2019-06-11 Insider Trading — judgment
SEC v. Einstein Investments LLC (pump and dump, 2019) SEC 2019-06-05 Pump And Dump — unknown
SEC v. Longfin Corp. and Venkata S. Meenavalli, Longfin et. al (unregistered distributions, 2019) SEC 2019-06-05 Unregistered Distributions $2.9m settled
SEC v. James E. Hocker (ponzi schemes, 2019) SEC 2019-06-04 Ponzi Schemes — judgment
SEC v. Syed Arham Arbab, Artis Proficio Capital Investments, LLC, and Artis Proficio Capital Management, LLC (ponzi schemes, 2019) SEC 2019-06-03 Ponzi Schemes — unknown
SEC v. Craig H. Carton, et al. (ponzi schemes, 2019) SEC 2019-05-31 Ponzi Schemes — judgment
SEC v. David A. Altom and Gabriel V. Graven (insider trading, 2019) SEC 2019-05-29 Insider Trading — settled
SEC v. George Slowinski (paid stock promotion, 2019) SEC 2019-05-29 Paid Stock Promotion — filed
SEC v. Stephen Brandon Anderson (undisclosed control blocks, 2019) SEC 2019-05-28 Undisclosed Control Blocks — settled
SEC v. Robert C. Morgan (ponzi schemes, 2019) SEC 2019-05-23 Ponzi Schemes — unknown
SEC v. Howard M. Appel (float locking, 2019) SEC 2019-05-22 Float Locking — judgment
SEC v. Robert S. Davis, Jr., et al. (ponzi schemes, 2019) SEC 2019-05-22 Ponzi Schemes — filed
SEC v. Jonathan H. Seigel, et al. (ponzi schemes, 2019) SEC 2019-05-21 Ponzi Schemes , Unregistered Distributions — filed
SEC v. Mark "Christian" Ramsey (insider trading, 2019) SEC 2019-05-21 Insider Trading — filed
SEC v. David N. Osegueda, Ishmail Calvin Ross, aka Calvin Ross, Zachary R. Logan, and Jessica Snyder, fka Jessica Gutierrez (pump and dump, 2019) SEC 2019-05-20 Pump And Dump — filed
SEC v. Andrew I. Farmer, Scott R. Sieck, Eddie D. Austin, Jr., Carolyn P. Austin, and John D. Brotherton (pump and dump, 2019) SEC 2019-05-17 Pump And Dump — judgment
SEC v. Robert M. Schulman, Esq. (insider trading, 2019) SEC 2019-05-16 Insider Trading — appealed
SEC v. Wilson-Davis & Co., Inc. (paid stock promotion, 2019) SEC 2019-05-15 Paid Stock Promotion , Pump And Dump +1 — settled
SEC v. Brian Fettner, et al. (insider trading, 2019) SEC 2019-05-14 Insider Trading — judgment
SEC v. Bryan B. Long, CPA (insider trading, 2019) SEC 2019-05-13 Insider Trading — judgment
SEC v. Robert M. Morano (insider trading, 2019) SEC 2019-05-13 Insider Trading — judgment
SEC v. Lloyd Schuman and Dane Janes (Corrected Version) (insider trading, 2019) SEC 2019-05-09 Insider Trading — settled
SEC v. Rocco Roveccio (churning, 2019) SEC 2019-05-06 Churning — judgment
SEC v. One or More Unknown Traders in the Securities of Anadarko Petroleum Corp. (insider trading, 2019) SEC 2019-04-29 Insider Trading — judgment
SEC v. Christopher D. Dougherty, et al. (ponzi schemes, 2019) SEC 2019-04-26 Ponzi Schemes — filed
SEC v. Charter Capital Management, LLC and Steven Morris Bruce (undisclosed control blocks, 2019) SEC 2019-04-23 Undisclosed Control Blocks $40k settled
SEC v. David M. Loflin (pump and dump, 2019) SEC 2019-04-22 Pump And Dump — settled
SEC v. Dov Zaidman, CPA and and ZBS Group LLP (shell factories, 2019) SEC 2019-04-22 Shell Factories — settled
SEC v. Yuh-Yue Chen (insider trading, 2019) SEC 2019-04-18 Insider Trading — unknown
SEC v. Quentin Louis Wilcox (insider trading, 2019) SEC 2019-04-16 Insider Trading — judgment
SEC v. Ivan Acevedo & Dane R. Roseman (ponzi schemes, 2019) SEC 2019-04-12 Ponzi Schemes — filed
SEC v. James M. Schneider, Esq. (reverse merger schemes, 2019) SEC 2019-04-10 Reverse Merger Schemes — judgment
SEC v. Paul Bannon Powers (insider trading, 2019) SEC 2019-04-10 Insider Trading — settled
SEC v. Scott Newsholme (ponzi schemes, 2019) SEC 2019-04-05 Ponzi Schemes — judgment
SEC v. Tai-Cheng Yang (insider trading, 2019) SEC 2019-04-05 Insider Trading — settled
SEC v. Evan R. Kita, et al. (insider trading, 2019) SEC 2019-04-04 Insider Trading — judgment
SEC v. Tiber Creek Corp. and James M. Cassidy (reverse merger schemes, 2019) SEC 2019-03-26 Reverse Merger Schemes — judgment
SEC v. Carol Ann Pedersen (ponzi schemes, 2019) SEC 2019-03-20 Ponzi Schemes — judgment
SEC v. Frank Morelli III and Louis Buonocore (pump and dump, 2019) SEC 2019-03-20 Pump And Dump — dismissed
SEC v. Kent R.E. Whitney, David Lee Parrish, The Church for the Healthy Self a/k/a CHS Trust, and CHS Asset Management Inc. (paid stock promotion, 2019) SEC 2019-03-18 Paid Stock Promotion , Ponzi Schemes — unknown
SEC v. William Neil "Doc" Gallagher, Gallagher Financial Group, Inc., and W. Neil Gallagher, Ph.D. Agency, Inc. (ponzi schemes, 2019) SEC 2019-03-12 Ponzi Schemes — filed
SEC v. Ascension Asset Management, LLC Gooder and Grenville M., JR. (undisclosed control blocks, 2019) SEC 2019-03-07 Undisclosed Control Blocks — unknown
SEC v. Rong Chen, et al. (insider trading, 2019) SEC 2019-03-04 Insider Trading $167k judgment
SEC v. William C. Gennity (churning, 2019) SEC 2019-03-04 Churning — judgment
SEC v. Walter C. Little and Andrew M. Berke (insider trading, 2019) SEC 2019-02-22 Insider Trading — judgment
SEC v. Joseph Frank Vacante (insider trading, 2019) SEC 2019-02-21 Insider Trading — judgment
SEC v. Gene Daniel Levoff (insider trading, 2019) SEC 2019-02-13 Insider Trading — unknown
SEC v. Jason McDiarmid, et al. (paid stock promotion, 2019) SEC 2019-02-12 Paid Stock Promotion , Pump And Dump — judgment
SEC v. NL Technology, LLC et al. (ponzi schemes, 2019) SEC 2019-02-11 Ponzi Schemes — judgment
SEC v. Daniel J. Callahan (insider trading, 2019) SEC 2019-02-08 Insider Trading $19.4k settled
SEC v. Spark Trading Group, LLC and Niket Shah (ponzi schemes, 2019) SEC 2019-02-08 Ponzi Schemes — judgment
SEC v. Edward Withrow, et al. (paid stock promotion, 2019) SEC 2019-02-05 Paid Stock Promotion — filed
SEC v. Anthony J. Thompson, Jr., et al. (paid stock promotion, 2019) SEC 2019-02-01 Paid Stock Promotion , Pump And Dump — settled
SEC v. ADT Inc. (insider trading, 2018) SEC 2018-12-26 Insider Trading — settled
SEC v. Cherubim Interests, Inc., PDX Partners, Inc., Victura Construction Group, Inc., and Patrick Jevon Johnson (pump and dump, 2018) SEC 2018-12-26 Pump And Dump — unknown
SEC v. BioElectronics Corp. IBEX, LLC St. John's, LLC Whelan and others (unregistered distributions, 2018) SEC 2018-12-21 Unregistered Distributions $650k judgment
SEC v. Natural Blue Resources, Inc. Cohen and others (reverse merger schemes, 2018) SEC 2018-12-21 Reverse Merger Schemes $75k judgment
SEC v. Tod A. Ditommaso, Esq. (unregistered distributions, 2018) SEC 2018-12-21 Unregistered Distributions — settled
SEC v. Wealthfront Advisers, LLC and and Wealthfront, Inc. (wash trading, 2018) SEC 2018-12-21 Wash Trading — settled
SEC v. Robert S. "Lute" Davis, Jr., et al., Jordan E. Goodman., Alan H. New, et al. (ponzi schemes, 2018) SEC 2018-12-19 Ponzi Schemes $100k settled
SEC v. Peter Cho (insider trading, 2018) SEC 2018-12-17 Insider Trading — judgment
SEC v. The Bank of New York Mellon (naked short selling debate, 2018) SEC 2018-12-17 Naked Short Selling Debate — settled
SEC v. America Modern Green Senior (Houston) LLC and America Modern Green Community (Houston) LLC and America Modern Green Residential (Houston) LLC (paid stock promotion, 2018) SEC 2018-12-12 Paid Stock Promotion $800k settled
SEC v. Lai Guanglin (Alan) (marking the close, 2018) SEC 2018-12-10 Marking The Close , Price Manipulation — settled
SEC v. Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni (insider trading, 2018) SEC 2018-12-10 Insider Trading — unknown
SEC v. CoinAlpha Advisors LLC (unregistered distributions, 2018) SEC 2018-12-07 Unregistered Distributions — settled
SEC v. NVC Fund LLC and Frank Ekejija (pump and dump, 2018) SEC 2018-12-07 Pump And Dump — unknown
SEC v. David G. Dreslin, et al. (reverse merger schemes, 2018) SEC 2018-12-03 Reverse Merger Schemes $25k settled
SEC v. Fifth Street Management, LLC (insider trading, 2018) SEC 2018-12-03 Insider Trading — settled
SEC v. Eric T. Landis et al. (matched orders, 2018) SEC 2018-11-29 Matched Orders , Paid Stock Promotion — filed
SEC v. Floyd Mayweather Jr. (paid stock promotion, 2018) SEC 2018-11-29 Paid Stock Promotion — settled
SEC v. Khaled Khaled (paid stock promotion, 2018) SEC 2018-11-29 Paid Stock Promotion — settled
SEC v. Morrie Tobin et al. (paid stock promotion, 2018) SEC 2018-11-28 Paid Stock Promotion — filed
SEC v. Mark Burnett, Jeffrey Miller, Christian Romandetti, Frank Sarro, Anthony Vassallo, and Elite Stock Research, Inc. (boiler rooms, 2018) SEC 2018-11-15 Boiler Rooms — filed
SEC v. James V. Mazzo, et al. (insider trading, 2018) SEC 2018-11-14 Insider Trading — judgment
SEC v. Arthur Lamar Adams et al. (ponzi schemes, 2018) SEC 2018-11-09 Ponzi Schemes — settled
SEC v. Joseph Meli, et al. (ponzi schemes, 2018) SEC 2018-11-09 Ponzi Schemes — settled
SEC v. Kevin B. Merrill, et al. (ponzi schemes, 2018) SEC 2018-11-09 Ponzi Schemes — filed
SEC v. Pyxus International, Inc. (wash trading, 2018) SEC 2018-11-09 Wash Trading — settled
SEC v. Craig H. Carton, et al. (ponzi schemes, 2018) SEC 2018-11-08 Ponzi Schemes — filed
SEC v. James E. Hengen (insider trading, 2018) SEC 2018-11-08 Insider Trading — judgment
SEC v. Michael E. Cone, et al (boiler rooms, 2018) SEC 2018-11-08 Boiler Rooms — filed
SEC v. SeeThruEquity, LLC et al. (newsletter scalping, 2018) SEC 2018-11-08 Newsletter Scalping , Paid Stock Promotion — filed
SEC v. Slobodan Dragojlovic (insider trading, 2018) SEC 2018-11-08 Insider Trading — judgment
SEC v. Citibank, N.A. (naked short selling debate, 2018) SEC 2018-11-07 Naked Short Selling Debate — settled
SEC v. Mark E. Fisher, Esq. (fake press releases, 2018) SEC 2018-11-02 Fake Press Releases , Pump And Dump — judgment
SEC v. Brian Weber and Bebida Beverage Co. (fake press releases, 2018) SEC 2018-10-31 Fake Press Releases , Paid Stock Promotion — judgment
SEC v. Philip Thomas Kueber (undisclosed control blocks, 2018) SEC 2018-10-26 Undisclosed Control Blocks — judgment
SEC v. John Madsen, Andalusian Resorts and others (fake press releases, 2018) SEC 2018-10-23 Fake Press Releases , Pump And Dump +1 — judgment
SEC v. Mark E. Fisher and Joseph F. Capuozzo (paid stock promotion, 2018) SEC 2018-10-22 Paid Stock Promotion , Pump And Dump — settled
SEC v. Zachary S. Berkey (churning, 2018) SEC 2018-10-19 Churning — judgment
SEC v. Richard J. Greenlaw et al. (unregistered distributions, 2018) SEC 2018-10-18 Unregistered Distributions — judgment
SEC v. Bryan B. Long (insider trading, 2018) SEC 2018-10-16 Insider Trading — filed