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
$12.4m
Median penalty
$146k
Largest
$6m
Criminal parallel
26%
Action Agency Filed Technique Penalty Status
SEC v. Martin Miller (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — filed
SEC v. Shawna Leigh Lynch (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — unknown
SEC v. Allen Chi (undisclosed control blocks, 2017) SEC 2017-08-21 Undisclosed Control Blocks — judgment
SEC v. Deerfield Management Company, L.P. (insider trading, 2017) SEC 2017-08-21 Insider Trading $3.9m settled
SEC v. Banca IMI Securities Corp. (naked short selling debate, 2017) SEC 2017-08-18 Naked Short Selling Debate — settled
SEC v. Daniel Rivas, et al. (insider trading, 2017) SEC 2017-08-16 Insider Trading — unknown
SEC v. Robert Cortez Marshall (ponzi schemes, 2017) SEC 2017-08-16 Ponzi Schemes — filed
SEC v. KPMG LLP and John Riordan, CPA (reverse merger schemes, 2017) SEC 2017-08-15 Reverse Merger Schemes — settled
SEC v. Damon Hovannisian, et al. (insider trading, 2017) SEC 2017-08-11 Insider Trading $156k judgment
SEC v. Smith, et al. (paid stock promotion, 2017) SEC 2017-08-11 Paid Stock Promotion — judgment
SEC v. Louis Martin Blazer III (ponzi schemes, 2017) SEC 2017-08-10 Ponzi Schemes — judgment
SEC v. David Blaszczak, et al. (insider trading, 2017) SEC 2017-08-08 Insider Trading — settled
SEC v. Steven V. McClatchey and Gary J. Pusey (insider trading, 2017) SEC 2017-08-08 Insider Trading — judgment
SEC v. Joe Yiu Cheung ( and Dylon De Lu Zhang) (paid stock promotion, 2017) SEC 2017-08-02 Paid Stock Promotion , Pump And Dump +2 — settled
SEC v. Jeffrey D. Martin, et al. (custodianship shell hijacking, 2017) SEC 2017-08-01 Custodianship Shell Hijacking , Paid Stock Promotion +1 — judgment
SEC v. Karen F. Aalders (paid stock promotion, 2017) SEC 2017-07-31 Paid Stock Promotion — judgment
SEC v. Sterling Craig Barton (insider trading, 2017) SEC 2017-07-31 Insider Trading — judgment
SEC v. Harold L. Altvater (insider trading, 2017) SEC 2017-07-28 Insider Trading — unknown
SEC v. Windsor Street Capital, L.P. ( and others (unregistered distributions, 2017) SEC 2017-07-28 Unregistered Distributions — settled
SEC v. Carrillo and Luis J. (paid stock promotion, 2017) SEC 2017-07-26 Paid Stock Promotion , Pump And Dump +1 — judgment
SEC v. Huettel and Wade D., Esq. (paid stock promotion, 2017) SEC 2017-07-26 Paid Stock Promotion , Pump And Dump +1 — judgment
SEC v. Joey Stanton Dodson (ponzi schemes, 2017) SEC 2017-07-26 Ponzi Schemes — judgment
SEC v. Joey Giamichael and Umbrella Research, LLC (newsletter scalping, 2017) SEC 2017-07-25 Newsletter Scalping , Paid Stock Promotion — settled
SEC v. Andrew Farmer, et al. (pump and dump, 2017) SEC 2017-07-24 Pump And Dump — judgment
SEC v. Lubin and David (unregistered distributions, 2017) SEC 2017-07-19 Unregistered Distributions — judgment
SEC v. Troy Joseph Flowers, et al. (undisclosed control blocks, 2017) SEC 2017-07-19 Undisclosed Control Blocks — filed
SEC v. John F. Stimpson (insider trading, 2017) SEC 2017-07-18 Insider Trading $136k settled
SEC v. Ashley Antos, Defendants, and Antos, Inc. (boiler rooms, 2017) SEC 2017-07-12 Boiler Rooms — unknown
SEC v. Victory Ho (insider trading, 2017) SEC 2017-07-12 Insider Trading — judgment
SEC v. Wanger and Eric David Wanger Investment Management, Inc. (marking the close, 2017) SEC 2017-07-10 Marking The Close $75k dismissed
SEC v. Steve G. Blasko (boiler rooms, 2017) SEC 2017-07-07 Boiler Rooms , Unregistered Distributions — filed
SEC v. Cheryl L. Jones (ponzi schemes, 2017) SEC 2017-07-03 Ponzi Schemes — filed
SEC v. Sasan Sabrdaran and Farhang Afsarpour (insider trading, 2017) SEC 2017-06-30 Insider Trading — judgment
SEC v. Andrew S. Keck (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks — settled
SEC v. Christopher A. Conley (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks — settled
SEC v. Marilyn Stark (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks — settled
SEC v. Matthew L. Egna (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks $10k settled
SEC v. Nigel G. Lindsay (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks — settled
SEC v. Sarah E. Keck (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks — settled
SEC v. Diana P. Lovera (boiler rooms, 2017) SEC 2017-06-28 Boiler Rooms — judgment
SEC v. Harold L. Altvater, Maureen E. Curran, Susan L. Dubuc (insider trading, 2017) SEC 2017-06-27 Insider Trading — judgment
SEC v. Wm Smith & Co. and William S. Smith (insider trading, 2017) SEC 2017-06-26 Insider Trading — settled
SEC v. James M. Farinella, et al. (paid stock promotion, 2017) SEC 2017-06-21 Paid Stock Promotion — filed
SEC v. Yu-Cheng Lin (insider trading, 2017) SEC 2017-06-19 Insider Trading — judgment
SEC v. Edwin Yoshihiro Fujinaga and MRI International, Inc., et al. (ponzi schemes, 2017) SEC 2017-06-15 Ponzi Schemes — appealed
SEC v. Jehu Hand and Antonio Katz (paid stock promotion, 2017) SEC 2017-06-15 Paid Stock Promotion , Pump And Dump — filed
SEC v. Dan (“Alice”) Zhang, CPA (insider trading, 2017) SEC 2017-06-07 Insider Trading — settled
SEC v. Michael Trahan (insider trading, 2017) SEC 2017-06-07 Insider Trading — judgment
SEC v. Homero Joshua Garza, GAW Miners, LLC, and ZenMiner, LLC (ponzi schemes, 2017) SEC 2017-06-05 Ponzi Schemes — judgment
SEC v. Adesh Kumar Tyagi (marking the close, 2017) SEC 2017-06-01 Marking The Close — unknown
SEC v. Harrison Katzen (boiler rooms, 2017) SEC 2017-05-31 Boiler Rooms — judgment
SEC v. Mark A. Jones (ponzi schemes, 2017) SEC 2017-05-25 Ponzi Schemes $160k judgment
SEC v. William J. Wells and Promitor Capital Management LLC (ponzi schemes, 2017) SEC 2017-05-25 Ponzi Schemes — settled
SEC v. Francisco Illarramendi, Highview Point Partners, LLC and others (ponzi schemes, 2017) SEC 2017-05-24 Ponzi Schemes $1m judgment
SEC v. Imran Husain, et al. (shell factories, 2017) SEC 2017-05-24 Shell Factories , Undisclosed Control Blocks — filed
SEC v. Murakami, et al. (ponzi schemes, 2017) SEC 2017-05-22 Ponzi Schemes — filed
SEC v. Robert W. Murray (price manipulation, 2017) SEC 2017-05-19 Price Manipulation — unknown
SEC v. Emerald Isle Exploration, Ltd. and Samuell Eads and Lloyd C. Brewer (insider trading, 2017) SEC 2017-05-12 Insider Trading , Undisclosed Control Blocks $10k settled
SEC v. Chamroonrat, et al. (ponzi schemes, 2017) SEC 2017-05-11 Ponzi Schemes — filed
SEC v. Walter C. Little and Andrew M. Berke (insider trading, 2017) SEC 2017-05-11 Insider Trading — filed
SEC v. Andrew T.E. Coldicutt, et al. (unregistered distributions, 2017) SEC 2017-05-05 Unregistered Distributions — unknown
SEC v. William R. Schantz III and Verto Capital Management LLC (ponzi schemes, 2017) SEC 2017-05-04 Ponzi Schemes — settled
SEC v. David Michael Burke (undisclosed control blocks, 2017) SEC 2017-05-02 Unregistered Distributions — settled
SEC v. Mark J. Varacchi, et al. (ponzi schemes, 2017) SEC 2017-05-01 Ponzi Schemes — judgment
SEC v. Wensheng Lin and Sheng Li Chen (paid stock promotion, 2017) SEC 2017-05-01 Paid Stock Promotion — filed
SEC v. Demitrios Hallas (churning, 2017) SEC 2017-04-26 Churning — filed
SEC v. Wilson-Davis & Company, Inc. (naked short selling debate, 2017) SEC 2017-04-26 Naked Short Selling Debate $75k settled
SEC v. Kent P. Watts, et al. (unregistered distributions, 2017) SEC 2017-04-21 Unregistered Distributions — filed
SEC v. Justin D. Meadlin and Hyaline Capital Management, LLC (paid stock promotion, 2017) SEC 2017-04-17 Paid Stock Promotion — filed
SEC v. Christopher R. Esposito, et al. (paid stock promotion, 2017) SEC 2017-04-14 Paid Stock Promotion $775k judgment
SEC v. Mustafa David Sayid (pump and dump, 2017) SEC 2017-04-13 Pump And Dump — filed
SEC v. Ryan Gilbertson, et al. (reverse merger schemes, 2017) SEC 2017-04-13 Reverse Merger Schemes — judgment
SEC v. Lidingo Holdings, LLC, et al., CSIR Group, LLC, et al. (paid stock promotion, 2017) SEC 2017-04-12 Paid Stock Promotion — settled
SEC v. Christopher French (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion — settled
SEC v. Ciaran Thornton (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion — settled
SEC v. Craig Keolanui (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion — settled
SEC v. Edward Borrelli and Dunedin, Inc. (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion — settled
SEC v. Galena Biopharma, Inc. and Mark J. Ahn (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion , Unregistered Distributions — settled
SEC v. ImmunoCellular Therapeutics, Ltd. (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion — settled
SEC v. Joel Corenman (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion — settled
SEC v. Lion Biotechnologies, Inc. (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion — settled
SEC v. Michael A. McCarthy (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion — settled
SEC v. Stephen Ramey (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion $24k settled
SEC v. Lawrence F. Cluff, Jr. and Roger E. Shaoul (insider trading, 2017) SEC 2017-04-06 Insider Trading — judgment
SEC v. Vlad B. Spivak, et al. (insider trading, 2017) SEC 2017-04-03 Insider Trading — judgment
SEC v. Alison, LLC Alison and Stephen D. (undisclosed control blocks, 2017) SEC 2017-03-29 Undisclosed Control Blocks — settled
SEC v. LottoNet Operating Corp., et al. (boiler rooms, 2017) SEC 2017-03-27 Boiler Rooms — filed
SEC v. Ariel Darvasi and Amir Waldman (insider trading, 2017) SEC 2017-03-24 Insider Trading — judgment
SEC v. Nino Coppero del Valle et al. (insider trading, 2017) SEC 2017-03-24 Insider Trading — judgment
SEC v. Quigley and William (churning, 2017) SEC 2017-03-24 Churning — settled
SEC v. Christopher Ludwig (insider trading, 2017) SEC 2017-03-23 Insider Trading — judgment
SEC v. Rose and Sheldon MKJJ Consulting LLC (reverse merger schemes, 2017) SEC 2017-03-23 Reverse Merger Schemes , Undisclosed Control Blocks — settled
SEC v. Steven A. Hartung (insider trading, 2017) SEC 2017-03-23 Insider Trading — settled
SEC v. Michael J. Maciocio and David P. Hobson (insider trading, 2017) SEC 2017-03-20 Insider Trading — judgment
SEC v. Patrick Churchville, et al. (ponzi schemes, 2017) SEC 2017-03-17 Ponzi Schemes — filed
SEC v. Todd David Alpert (insider trading, 2017) SEC 2017-03-15 Insider Trading — filed
SEC v. Nima Hedayati (insider trading, 2017) SEC 2017-03-14 Insider Trading — settled
SEC v. Lek Securities Corporation, et al. (layering, 2017) SEC 2017-03-10 Layering — unknown
SEC v. Notis Global, Inc. (f/k/a Medbox, Inc.), et al. (paid stock promotion, 2017) SEC 2017-03-09 Paid Stock Promotion $6m judgment
SEC v. Arcturus Corporation, et al. (unregistered distributions, 2017) SEC 2017-03-03 Unregistered Distributions — judgment