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
$3.2m
Median penalty
$50k
Largest
$1.2m
Criminal parallel
32%
Action Agency Filed Technique Penalty Status
SEC v. Thomas D. Melvin, Jr., et al. (insider trading, 2017) SEC 2017-03-03 Insider Trading — filed
SEC v. One or More Unknown Traders in the Securities of Fortress Investment Group, LLC (insider trading, 2017) SEC 2017-02-28 Insider Trading — judgment
SEC v. FX & Beyond Corporation et al. (ponzi schemes, 2017) SEC 2017-02-21 Ponzi Schemes — judgment
SEC v. Patrick O. Howard, et al. (ponzi schemes, 2017) SEC 2017-02-16 Ponzi Schemes — unknown
SEC v. Sidoti & Company, LLC (insider trading, 2017) SEC 2017-02-13 Insider Trading — settled
SEC v. Yu-Cheng Lin (a.k.a. Believe Lin) (insider trading, 2017) SEC 2017-02-13 Insider Trading — judgment
SEC v. Alan Barry Staples (insider trading, 2017) SEC 2017-02-10 Insider Trading $15.2k judgment
SEC v. Shaohua (Michael) Yin, et al. (insider trading, 2017) SEC 2017-02-10 Insider Trading — judgment
SEC v. Raymond H. Barton (fake press releases, 2017) SEC 2017-02-09 Fake Press Releases — judgment
SEC v. William G. Goode (unregistered distributions, 2017) SEC 2017-02-09 Unregistered Distributions — judgment
SEC v. Oxford City Football Club, Inc. (boiler rooms, 2017) SEC 2017-02-08 Boiler Rooms — judgment
SEC v. Oxford City Football Club, Inc., et al. (boiler rooms, 2017) SEC 2017-02-08 Boiler Rooms — judgment
SEC v. Michael Affa, et al. (pump and dump, 2017) SEC 2017-02-07 Pump And Dump — judgment
SEC v. Olde Monmouth Stock Transfer Co., Inc. and Matthew J. Troster (reverse merger schemes, 2017) SEC 2017-02-07 Reverse Merger Schemes , Unregistered Distributions $100k judgment
SEC v. Varacchi, et al. (ponzi schemes, 2017) SEC 2017-02-02 Ponzi Schemes — filed
SEC v. Herman Ronnie Young, Jr. d/b/a Race Cycler (ponzi schemes, 2017) SEC 2017-01-27 Ponzi Schemes — judgment
SEC v. Black and Hans Peter Interinvest Corporation, Inc. (undisclosed control blocks, 2017) SEC 2017-01-24 Undisclosed Control Blocks — judgment
SEC v. Donald P. Jones, CPA (insider trading, 2017) SEC 2017-01-23 Insider Trading $39.1k settled
SEC v. George N. Krinos (unregistered distributions, 2017) SEC 2017-01-23 Unregistered Distributions — filed
SEC v. Shelly R. McGuire, CPA (insider trading, 2017) SEC 2017-01-23 Insider Trading — settled
SEC v. Cort Poyner et al. (paid stock promotion, 2017) SEC 2017-01-19 Paid Stock Promotion — judgment
SEC v. Charles A. Bennett (ponzi schemes, 2017) SEC 2017-01-18 Ponzi Schemes — unknown
SEC v. Eytan Bar (insider trading, 2017) SEC 2017-01-18 Insider Trading — settled
SEC v. MDC Partners Inc. (insider trading, 2017) SEC 2017-01-18 Insider Trading — settled
SEC v. Orthofix International N.V.; Jeffrey Hammel and CPA; Brian McCollum; Kenneth Mack and Bryan McMillan (naked short selling debate, 2017) SEC 2017-01-18 Naked Short Selling Debate $40k settled
SEC v. Robin G. Charlet, Steven W. Sparks, Gregory J. Tuthill and Kirk D. Porter (unregistered distributions, 2017) SEC 2017-01-13 Unregistered Distributions $25k judgment
SEC v. Gregory W. Gray, Jr., et al. (ponzi schemes, 2017) SEC 2017-01-12 Ponzi Schemes — judgment
SEC v. ITG Inc. (naked short selling debate, 2017) SEC 2017-01-12 Naked Short Selling Debate — settled
SEC v. Douglas Furth (matched orders, 2017) SEC 2017-01-10 Matched Orders — judgment
SEC v. Chamroonrat, et al. (ponzi schemes, 2016) SEC 2016-12-22 Ponzi Schemes — filed
SEC v. Edward F. Panos, et al. (shell factories, 2016) SEC 2016-12-20 Shell Factories , Undisclosed Control Blocks — judgment
SEC v. Morgan Stanley & Co. LLC (benchmark submission rigging, 2016) SEC 2016-12-20 Benchmark Submission Rigging — settled
SEC v. Anthony B. Kerrigone (naked short selling debate, 2016) SEC 2016-12-16 Naked Short Selling Debate $50k settled
SEC v. Byron B. Barkley and Paul N. Davis (naked short selling debate, 2016) SEC 2016-12-16 Naked Short Selling Debate $50k settled
SEC v. Empire Stock Transfer, Inc. and Matthew J. Blevins (paid stock promotion, 2016) SEC 2016-12-16 Paid Stock Promotion , Unregistered Distributions $50k settled
SEC v. Jo Ann Myers and Hollis W. Pickett, Jr. (insider trading, 2016) SEC 2016-12-16 Insider Trading $40.4k settled
SEC v. Michael J. Muellerleile, Esq. and M2 Law Professional Corp. (reverse merger schemes, 2016) SEC 2016-12-16 Reverse Merger Schemes $70k settled
SEC v. Wilson-Davis & Company, Inc. (naked short selling debate, 2016) SEC 2016-12-16 Naked Short Selling Debate — unknown
SEC v. Marc Winters (insider trading, 2016) SEC 2016-12-02 Insider Trading — settled
SEC v. Blackbird Capital Partners, LLC, et al. (ponzi schemes, 2016) SEC 2016-11-30 Ponzi Schemes — unknown
SEC v. Neman and Shervin Neman Financial, Inc. (ponzi schemes, 2016) SEC 2016-11-29 Ponzi Schemes — judgment
SEC v. Dennis Ira Ringer (unregistered distributions, 2016) SEC 2016-11-23 Unregistered Distributions $25k settled
SEC v. Capital Financial Partners, LLC et al. and others (ponzi schemes, 2016) SEC 2016-11-22 Ponzi Schemes — unknown
SEC v. Gary R. Purwin, CPA (ponzi schemes, 2016) SEC 2016-11-21 Ponzi Schemes $20k settled
SEC v. Sanjay Valvani and Gordon Johnston (insider trading, 2016) SEC 2016-11-14 Insider Trading — settled
SEC v. Eric McPhail and Douglas Parigian (insider trading, 2016) SEC 2016-11-09 Insider Trading — judgment
SEC v. Herbert K. Sudfeld (insider trading, 2016) SEC 2016-11-09 Insider Trading — dismissed
SEC v. Anthony Andrade, et al. (insider trading, 2016) SEC 2016-11-01 Insider Trading $150k judgment
SEC v. Nicholas H. Shermeta and Napa Properties, LLC (reverse merger schemes, 2016) SEC 2016-11-01 Reverse Merger Schemes — settled
SEC v. Michael L. Reger (reverse merger schemes, 2016) SEC 2016-10-31 Reverse Merger Schemes $250k settled
SEC v. Curt Kramer and Hope Capital, Inc. (unregistered distributions, 2016) SEC 2016-10-27 Unregistered Distributions — settled
SEC v. Christopher Salis, et al. (insider trading, 2016) SEC 2016-10-21 Insider Trading — filed
SEC v. James C. Cope, Esq. (insider trading, 2016) SEC 2016-10-21 Insider Trading — filed
SEC v. Artis Capital Management, L.P. and Michael W. Harden (insider trading, 2016) SEC 2016-10-13 Insider Trading — dismissed
SEC v. Deutsche Bank Securities Inc. (front running, 2016) SEC 2016-10-12 Front Running , Insider Trading +1 $100k judgment
SEC v. Richard Weed et al. (paid stock promotion, 2016) SEC 2016-10-04 Paid Stock Promotion , Pump And Dump +1 — judgment
SEC v. Ikenna Ikokwu, et al. (ponzi schemes, 2016) SEC 2016-09-30 Ponzi Schemes — filed
SEC v. Jason W. Galanis, et al. (matched orders, 2016) SEC 2016-09-30 Matched Orders — judgment
SEC v. Louis T. Buonocore, Jeremy R. Draper, Frank J. Morelli, III, Berardino "Dino" Paolucci, Jr. and Don L. Rose (matched orders, 2016) SEC 2016-09-30 Matched Orders — settled
SEC v. Marcus A. Luna, et al. (boiler rooms, 2016) SEC 2016-09-30 Boiler Rooms , Paid Stock Promotion +1 — filed
SEC v. Vladimir Eydelman and Steven Metro (insider trading, 2016) SEC 2016-09-30 Insider Trading $1.2m settled
SEC v. Nino Coppero del Valle et al. (insider trading, 2016) SEC 2016-09-29 Insider Trading — filed
SEC v. Och-Ziff Capital Management Group LLC Oz Management LP Och and others (paid stock promotion, 2016) SEC 2016-09-29 Paid Stock Promotion — settled
SEC v. Robert Gadimian (insider trading, 2016) SEC 2016-09-29 Insider Trading — filed
SEC v. Craig V. Sizer, and Miguel Mesa (boiler rooms, 2016) SEC 2016-09-28 Boiler Rooms — settled
SEC v. Jason A. Wallace (boiler rooms, 2016) SEC 2016-09-27 Boiler Rooms , Paid Stock Promotion +1 — filed
SEC v. Frank P. Barucci (insider trading, 2016) SEC 2016-09-26 Insider Trading — settled
SEC v. Frank S. Barucci (insider trading, 2016) SEC 2016-09-26 Insider Trading $56k settled
SEC v. Syed A. Hashim (insider trading, 2016) SEC 2016-09-26 Insider Trading — settled
SEC v. Vijay S. Rajan (insider trading, 2016) SEC 2016-09-26 Insider Trading $27.9k settled
SEC v. Colin Whelehan and Sheren Tsai (insider trading, 2016) SEC 2016-09-22 Insider Trading — settled
SEC v. Frank Tamayo (insider trading, 2016) SEC 2016-09-21 Insider Trading — settled
SEC v. Saleem Khan et al. (insider trading, 2016) SEC 2016-09-21 Insider Trading — judgment
SEC v. Mark A. Jones (ponzi schemes, 2016) SEC 2016-09-20 Ponzi Schemes — unknown
SEC v. Bodden and Cliffe R. (undisclosed control blocks, 2016) SEC 2016-09-16 Undisclosed Control Blocks — judgment
SEC v. Fusion Pharm, Inc. (undisclosed control blocks, 2016) SEC 2016-09-16 Undisclosed Control Blocks — judgment
SEC v. Microcap Management LLC Bayside Realty Holdings LLC Meadpoint Venture Partners, LLC (undisclosed control blocks, 2016) SEC 2016-09-16 Undisclosed Control Blocks — judgment
SEC v. Sears and William J. (undisclosed control blocks, 2016) SEC 2016-09-16 Undisclosed Control Blocks — judgment
SEC v. Tod A. Ditommaso, Esq. (undisclosed control blocks, 2016) SEC 2016-09-16 Undisclosed Control Blocks , Unregistered Distributions — unknown
SEC v. Steven Metro (insider trading, 2016) SEC 2016-09-14 Insider Trading — unknown
SEC v. Manuel E. Jesus aka Manny Backus, et al. (paid stock promotion, 2016) SEC 2016-09-13 Paid Stock Promotion $235k judgment
SEC v. Richard Weed, Esq. (pump and dump, 2016) SEC 2016-09-13 Pump And Dump — unknown
SEC v. BOKF, NA (ponzi schemes, 2016) SEC 2016-09-09 Ponzi Schemes $600k judgment
SEC v. Dennis W. Hamilton (insider trading, 2016) SEC 2016-09-07 Insider Trading — filed
SEC v. Contrarian Press, LLC, Scott S. Fraser, and Nathan Yeung (paid stock promotion, 2016) SEC 2016-09-06 Paid Stock Promotion — filed
SEC v. Dennis Wayne Hamilton (insider trading, 2016) SEC 2016-08-30 Insider Trading — filed
SEC v. Edward F. Panos, et al. (pump and dump, 2016) SEC 2016-08-25 Pump And Dump — unknown
SEC v. Cedric Cañas Maillard (insider trading, 2016) SEC 2016-08-24 Insider Trading — judgment
SEC v. Peterson and Curtis A. (ponzi schemes, 2016) SEC 2016-08-23 Ponzi Schemes $7.5k settled
SEC v. John W.R. Miller (reverse merger schemes, 2016) SEC 2016-08-22 Reverse Merger Schemes — settled
SEC v. Bay City Transfer Agency and Registrar, Inc. Amersey and Nitin M. (undisclosed control blocks, 2016) SEC 2016-08-18 Undisclosed Control Blocks — unknown
SEC v. J. Patrick O'Neill and Robert H. Bray (insider trading, 2016) SEC 2016-08-18 Insider Trading — judgment
SEC v. Sean Stewart (insider trading, 2016) SEC 2016-08-18 Insider Trading — filed
SEC v. Damon M. Barnes and Cathy S. Barnes (ponzi schemes, 2016) SEC 2016-08-16 Ponzi Schemes — settled
SEC v. Daniel J. Bean (ponzi schemes, 2016) SEC 2016-08-16 Ponzi Schemes $7.5k settled
SEC v. Jeremy D. Barnes (ponzi schemes, 2016) SEC 2016-08-16 Ponzi Schemes — settled
SEC v. John L. Shipley (ponzi schemes, 2016) SEC 2016-08-16 Ponzi Schemes $7.5k settled
SEC v. Joshua M. Beauregard and Jennifer M. Beauregard (ponzi schemes, 2016) SEC 2016-08-16 Ponzi Schemes — settled
SEC v. Lathen and Donald F. ("Jay") Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC (undisclosed control blocks, 2016) SEC 2016-08-15 Undisclosed Control Blocks — unknown
SEC v. Paul T. Rampoldi , et al. (insider trading, 2016) SEC 2016-08-12 Insider Trading — filed