Home / Cases / SEC / Page 16 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 $7.7m
Median penalty $150k
Largest $4m
Criminal parallel 32% Action Agency Filed Technique Penalty Status SEC v. Patrick Churchville (ponzi schemes, 2016) SEC 2016-08-05 Ponzi Schemes — filed SEC v. Edward J. Kosinski (insider trading, 2016) SEC 2016-08-04 Insider Trading — filed SEC v. Traffic Monsoon et al. (ponzi schemes, 2016) SEC 2016-07-28 Ponzi Schemes — filed SEC v. Jeffery A. McCollum and JNL Oilfield Instruments, LLC (ponzi schemes, 2016) SEC 2016-07-27 Ponzi Schemes $160k settled SEC v. Herbert K. Sudfeld, Jr. (insider trading, 2016) SEC 2016-07-26 Insider Trading — unknown SEC v. Yi Chen, CPA (insider trading, 2016) SEC 2016-07-26 Insider Trading — settled SEC v. Braslau and Samuel (boiler rooms, 2016) SEC 2016-07-25 Boiler Rooms — unknown SEC v. James Hugh Brennan, III, et al. (paid stock promotion, 2016) SEC 2016-07-25 Paid Stock Promotion — unknown SEC v. Samuel Braslau (boiler rooms, 2016) SEC 2016-07-25 Boiler Rooms — unknown SEC v. Thomas D. Melvin, et al. (insider trading, 2016) SEC 2016-07-25 Insider Trading — judgment SEC v. Blount and John Steven (ponzi schemes, 2016) SEC 2016-07-22 Ponzi Schemes — unknown SEC v. The Phoenix Companies, Inc. (benchmark submission rigging, 2016) SEC 2016-07-15 Benchmark Submission Rigging — settled SEC v. Thomas W. Avent, Jr., Raymond J. Pirrello, Jr., and Lawrence J. Penna (insider trading, 2016) SEC 2016-07-08 Insider Trading — filed SEC v. Toni Tong Chen, CPA (unregistered distributions, 2016) SEC 2016-07-08 Unregistered Distributions — judgment SEC v. Luis Martin-Caro Sanchez (insider trading, 2016) SEC 2016-07-05 Insider Trading — filed SEC v. Andrew F. Kerr (insider trading, 2016) SEC 2016-06-29 Insider Trading — filed SEC v. Chris Faulkner, et. al (price manipulation, 2016) SEC 2016-06-24 Price Manipulation — filed SEC v. Malcolm Segal (ponzi schemes, 2016) SEC 2016-06-24 Ponzi Schemes — judgment SEC v. Mitchell Brown (pump and dump, 2016) SEC 2016-06-21 Pump And Dump — judgment SEC v. James S. Hannon (insider trading, 2016) SEC 2016-06-20 Insider Trading — judgment SEC v. StratoComm Corporation, et al. (unregistered distributions, 2016) SEC 2016-06-17 Unregistered Distributions — appealed SEC v. Christopher Salis, Douglas Miller, Edward Miller, and Barrett Biehl (insider trading, 2016) SEC 2016-06-16 Insider Trading — filed SEC v. Andrew K. Proctor, et al. (pump and dump, 2016) SEC 2016-06-14 Pump And Dump $910k judgment SEC v. Providence Financial Investments, Inc., Providence Fixed Income Fund, LLC, Jeffory Churchfield, and Jack Jarrell (unregistered distributions, 2016) SEC 2016-06-13 Unregistered Distributions — judgment SEC v. Dynkowski, et al. (pump and dump, 2016) SEC 2016-06-09 Pump And Dump $83.2k judgment SEC v. Guolin Ma (insider trading, 2016) SEC 2016-06-09 Insider Trading — settled SEC v. Ethiopian Electric Power (benchmark submission rigging, 2016) SEC 2016-06-08 Benchmark Submission Rigging — unknown SEC v. Michael J. Maciocio and David P. Hobson (insider trading, 2016) SEC 2016-06-08 Insider Trading — filed SEC v. Miller Energy Resources, Inc. Boyd and others (reverse merger schemes, 2016) SEC 2016-06-07 Reverse Merger Schemes — settled SEC v. Richard Grossman (insider trading, 2016) SEC 2016-06-06 Insider Trading — judgment SEC v. Peter D. Nunan (insider trading, 2016) SEC 2016-06-03 Insider Trading $255k settled SEC v. Spongetech Delivery Systems, Inc., et al. (pump and dump, 2016) SEC 2016-06-02 Pump And Dump $100k judgment SEC v. Albert Fried & Company, LLC (paid stock promotion, 2016) SEC 2016-06-01 Paid Stock Promotion , Pump And Dump — settled SEC v. Steven V. McClatchey and Gary J. Pusey (insider trading, 2016) SEC 2016-06-01 Insider Trading — judgment SEC v. JSG Capital Investments, LLC, et al. (ponzi schemes, 2016) SEC 2016-05-31 Ponzi Schemes — filed SEC v. David B. Kaplan, Esq., et al. (ponzi schemes, 2016) SEC 2016-05-27 Ponzi Schemes — unknown SEC v. Federated Global Investment Management Corp. (insider trading, 2016) SEC 2016-05-27 Insider Trading — settled SEC v. Christopher R. Esposito, et al. (paid stock promotion, 2016) SEC 2016-05-26 Paid Stock Promotion — filed SEC v. John Patrick O'Neill (insider trading, 2016) SEC 2016-05-13 Insider Trading — unknown SEC v. Imran Husain, et al. (paid stock promotion, 2016) SEC 2016-05-12 Paid Stock Promotion , Shell Factories — unknown SEC v. Louis Martin Blazer III (ponzi schemes, 2016) SEC 2016-05-06 Ponzi Schemes — settled SEC v. Marquis Properties LLC, Chad Deucher and Richard Clatfelter (ponzi schemes, 2016) SEC 2016-05-05 Ponzi Schemes — filed SEC v. Santos and Postal & Company, P.C. and Joseph A. Scolaro, CPA (undisclosed control blocks, 2016) SEC 2016-04-29 Undisclosed Control Blocks — judgment SEC v. Asher Z. Zwebner and Luke C. Zouvas, et al. (paid stock promotion, 2016) SEC 2016-04-26 Paid Stock Promotion , Pump And Dump — unknown SEC v. Robert Grabowski (boiler rooms, 2016) SEC 2016-04-22 Boiler Rooms — judgment SEC v. Ener1, Inc. (insider trading, 2016) SEC 2016-04-19 Insider Trading — settled SEC v. Ariel Quiros, et al. (ponzi schemes, 2016) SEC 2016-04-14 Ponzi Schemes — unknown SEC v. John Afriyie (insider trading, 2016) SEC 2016-04-14 Insider Trading — unknown SEC v. Town of Ramapo, et al. (wash trading, 2016) SEC 2016-04-14 Wash Trading — filed SEC v. William E. Mapp, III, et al. (paid stock promotion, 2016) SEC 2016-04-11 Paid Stock Promotion $200k settled SEC v. David Aubel and Robert Raffa (paid stock promotion, 2016) SEC 2016-04-07 Paid Stock Promotion — unknown SEC v. Edward Laborio, et al. (boiler rooms, 2016) SEC 2016-04-07 Boiler Rooms — judgment SEC v. Steve Pappas (reverse merger schemes, 2016) SEC 2016-04-05 Reverse Merger Schemes $50k judgment SEC v. John Scott Clark (ponzi schemes, 2016) SEC 2016-03-31 Ponzi Schemes — filed SEC v. Daniel Rivera, et al. (ponzi schemes, 2016) SEC 2016-03-30 Ponzi Schemes $160k judgment SEC v. Gibson and Christopher M. (front running, 2016) SEC 2016-03-29 Front Running — unknown SEC v. Tobin Smith, et al. (paid stock promotion, 2016) SEC 2016-03-29 Paid Stock Promotion $75k settled SEC v. Arcturus Corporation, et al. (unregistered distributions, 2016) SEC 2016-03-24 Unregistered Distributions — unknown SEC v. Canaccord Genuity Inc. (reverse merger schemes, 2016) SEC 2016-03-24 Reverse Merger Schemes — settled SEC v. Guy Gentile (paid stock promotion, 2016) SEC 2016-03-23 Paid Stock Promotion — filed SEC v. John E. Hardy III (insider trading, 2016) SEC 2016-03-18 Insider Trading $184k settled SEC v. Cary Lee Peterson, et al. (paid stock promotion, 2016) SEC 2016-03-16 Paid Stock Promotion — filed SEC v. Eric J. Wolff (insider trading, 2016) SEC 2016-03-16 Insider Trading — settled SEC v. Mark A. Jones (paid stock promotion, 2016) SEC 2016-03-16 Paid Stock Promotion , Ponzi Schemes — filed SEC v. Yue Han, et al. (insider trading, 2016) SEC 2016-03-16 Insider Trading — judgment SEC v. Royal Alliance Associates, Inc. and Sagepoint Financial, Inc. and Fsc Securities Corporation (churning, 2016) SEC 2016-03-14 Churning — settled SEC v. Aequitas Management, LLC, et al. (ponzi schemes, 2016) SEC 2016-03-11 Ponzi Schemes — dismissed SEC v. Reed J. Killion, et al. (paid stock promotion, 2016) SEC 2016-03-10 Paid Stock Promotion — judgment SEC v. Edwin Yoshihiro Fujinaga and MRI International, Inc., et al. (ponzi schemes, 2016) SEC 2016-03-09 Ponzi Schemes — judgment SEC v. Daryl M. Payton, et al. (insider trading, 2016) SEC 2016-03-02 Insider Trading — filed SEC v. Craig N. Salamone (insider trading, 2016) SEC 2016-03-01 Insider Trading — settled SEC v. Zachary Zwerko and David L. Post (insider trading, 2016) SEC 2016-03-01 Insider Trading — judgment SEC v. Bonan Huang, et al. (insider trading, 2016) SEC 2016-02-26 Insider Trading — judgment SEC v. Steven Fishoff, et al. (insider trading, 2016) SEC 2016-02-24 Insider Trading — judgment SEC v. IBC Funds, LLC (unregistered distributions, 2016) SEC 2016-02-19 Unregistered Distributions — settled SEC v. Nicholas A. Prezioso (insider trading, 2016) SEC 2016-02-19 Insider Trading $131k settled SEC v. Randy A. Hamdan and Oracle Consultants, LLC (fake press releases, 2016) SEC 2016-02-17 Fake Press Releases , Pump And Dump $150k judgment SEC v. Abdallah Fadel (insider trading, 2016) SEC 2016-02-10 Insider Trading $36k settled SEC v. Jarrod L. Spector (insider trading, 2016) SEC 2016-02-09 Insider Trading — settled SEC v. Robert M. Munakash, Carlos A. Rodriguez, and Marc Winters (insider trading, 2016) SEC 2016-02-08 Insider Trading — filed SEC v. Credit Suisse Securities (USA) LLC (matched orders, 2016) SEC 2016-01-31 Matched Orders — judgment SEC v. Vlad B. Spivak, et al. (insider trading, 2016) SEC 2016-01-27 Insider Trading — judgment SEC v. Marquis Properties, LLC (ponzi schemes, 2016) SEC 2016-01-21 Ponzi Schemes — unknown SEC v. Goldman and Sachs & Co. (naked short selling debate, 2016) SEC 2016-01-14 Naked Short Selling Debate — settled SEC v. Reid A. Hackney, CPA (insider trading, 2016) SEC 2016-01-12 Insider Trading $48.1k settled SEC v. Vivian S. Shields (insider trading, 2016) SEC 2016-01-04 Insider Trading — settled SEC v. Bonan Huang, et al. (insider trading, 2015) SEC 2015-12-23 Insider Trading — judgment SEC v. Michael J. Ling (marking the close, 2015) SEC 2015-12-23 Marking The Close , Matched Orders $100k judgment SEC v. Danny E. Carpenter (insider trading, 2015) SEC 2015-12-22 Insider Trading — settled SEC v. Diane D. Dalmy, Esq. (reverse merger schemes, 2015) SEC 2015-12-22 Reverse Merger Schemes , Unregistered Distributions — filed SEC v. Eric E. Shear (insider trading, 2015) SEC 2015-12-18 Insider Trading — settled SEC v. Edward Laborio and Jonathan Fraiman (boiler rooms, 2015) SEC 2015-12-16 Boiler Rooms $4m judgment SEC v. Oxford City Football Club, Inc. and Thomas Anthony Guerriero (boiler rooms, 2015) SEC 2015-12-16 Boiler Rooms — filed SEC v. Jessica Gilbertson (reverse merger schemes, 2015) SEC 2015-12-15 Reverse Merger Schemes — unknown SEC v. Jehu Hand and Antonio Katz (paid stock promotion, 2015) SEC 2015-12-11 Paid Stock Promotion , Pump And Dump — filed SEC v. Jeffrey K. Skilling et al. (insider trading, 2015) SEC 2015-12-08 Insider Trading — judgment SEC v. Trudy R. Gilmond (ponzi schemes, 2015) SEC 2015-12-08 Ponzi Schemes — unknown SEC v. National Note of Utah and Wayne L. Palmer (ponzi schemes, 2015) SEC 2015-12-04 Ponzi Schemes $1.1m unknown SEC v. Homero Joshua Garza (ponzi schemes, 2015) SEC 2015-12-01 Ponzi Schemes — filed SEC v. James A. Torchia et al. (ponzi schemes, 2015) SEC 2015-12-01 Ponzi Schemes — settled
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