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
$2.2m
Median penalty
$54.1k
Largest
$1.2m
Criminal parallel
31%
Action Agency Filed Technique Penalty Status
SEC v. Marwood Group Research, LLC (insider trading, 2015) SEC 2015-11-24 Insider Trading — unknown
SEC v. Steven C. Watson (insider trading, 2015) SEC 2015-11-17 Insider Trading — settled
SEC v. Zhichen Zhou and Yannan Liu (insider trading, 2015) SEC 2015-11-10 Insider Trading — judgment
SEC v. Abraxas J. Discala, Marc E. Wexler, Matthew A. Bell, Craig L. Josephberg, and Ira Shapiro (reverse merger schemes, 2015) SEC 2015-11-04 Reverse Merger Schemes , Unregistered Distributions — judgment
SEC v. Fenway Partners, LLC (undisclosed control blocks, 2015) SEC 2015-11-03 Undisclosed Control Blocks — settled
SEC v. Vlad B. Spivak, et al. (insider trading, 2015) SEC 2015-11-02 Insider Trading — settled
SEC v. William M. Apostelos, et al. (ponzi schemes, 2015) SEC 2015-10-30 Ponzi Schemes — unknown
SEC v. Diverse Financial Corp., et al. (ponzi schemes, 2015) SEC 2015-10-29 Ponzi Schemes — unknown
SEC v. Mary Beth Knight and Rebecca Norton (insider trading, 2015) SEC 2015-10-28 Insider Trading — judgment
SEC v. Summit Trust Company, et al. (ponzi schemes, 2015) SEC 2015-10-27 Ponzi Schemes — judgment
SEC v. James N. Fry (ponzi schemes, 2015) SEC 2015-10-26 Ponzi Schemes — settled
SEC v. Joseph Catapano and Michael Piervinanzi (paid stock promotion, 2015) SEC 2015-10-26 Paid Stock Promotion $44k judgment
SEC v. Vladimir Eydelman (insider trading, 2015) SEC 2015-10-23 Insider Trading $1.2m judgment
SEC v. Andrew Farmer, et al. (paid stock promotion, 2015) SEC 2015-10-09 Paid Stock Promotion , Pump And Dump — unknown
SEC v. Francis J. van Steenberge and Nicolas Zanen (insider trading, 2015) SEC 2015-10-09 Insider Trading — judgment
SEC v. Allen Ross Smith (unregistered distributions, 2015) SEC 2015-10-08 Unregistered Distributions $43.3k judgment
SEC v. Briargate Trading, LLC and and Eric Oscher (spoofing, 2015) SEC 2015-10-08 Spoofing — judgment
SEC v. Garfield Taylor, Inc., et al. (ponzi schemes, 2015) SEC 2015-10-08 Ponzi Schemes $150k judgment
SEC v. Wolverine Trading, LLC and and Wolverine Asset Management, LLC (insider trading, 2015) SEC 2015-10-08 Insider Trading , Naked Short Selling Debate — settled
SEC v. Oscar Wu (insider trading, 2015) SEC 2015-10-07 Insider Trading — settled
SEC v. Commodore Financial Corp., et al. (boiler rooms, 2015) SEC 2015-10-01 Boiler Rooms , Unregistered Distributions — unknown
SEC v. Saleem Khan et al. (insider trading, 2015) SEC 2015-10-01 Insider Trading — judgment
SEC v. Spencer Pharmaceutical Inc., Jean-François Amyot, Maximilien Arella, Ian Morrice, IAB Media Inc., and Hilbroy Advisory Inc. (pump and dump, 2015) SEC 2015-10-01 Pump And Dump — judgment
SEC v. Charles Riel III and REinvest LLC (ponzi schemes, 2015) SEC 2015-09-30 Ponzi Schemes — filed
SEC v. David P. Godwin and Anthony G. Roth (wash trading, 2015) SEC 2015-09-30 Wash Trading — judgment
SEC v. James Goodland and Securus Wealth Management, LLC (marking the close, 2015) SEC 2015-09-30 Marking The Close , Reverse Merger Schemes — settled
SEC v. Christopher Mire (insider trading, 2015) SEC 2015-09-29 Insider Trading — settled
SEC v. Eddie R. Leblanc (insider trading, 2015) SEC 2015-09-29 Insider Trading — settled
SEC v. Robert L. Spallina, et al. (insider trading, 2015) SEC 2015-09-28 Insider Trading $32.9k settled
SEC v. iShopNoMarkup.com, Inc. (unregistered distributions, 2015) SEC 2015-09-25 Unregistered Distributions $330k judgment
SEC v. Morando Berrettini, et al. (insider trading, 2015) SEC 2015-09-25 Insider Trading — unknown
SEC v. Jason W. Galanis (matched orders, 2015) SEC 2015-09-24 Matched Orders — judgment
SEC v. Richard Condon, et al. (insider trading, 2015) SEC 2015-09-24 Insider Trading — filed
SEC v. Idle Media, Inc. and and Marcus Frasier (reverse merger schemes, 2015) SEC 2015-09-22 Reverse Merger Schemes — settled
SEC v. Eric McPhail, et al. (insider trading, 2015) SEC 2015-09-21 Insider Trading — settled
SEC v. Frank Morelli III and Louis Buonocore (paid stock promotion, 2015) SEC 2015-09-21 Paid Stock Promotion — filed
SEC v. Christopher D. Whetman, CPA (pump and dump, 2015) SEC 2015-09-18 Pump And Dump , Reverse Merger Schemes — dismissed
SEC v. Brian David Hall (naked short selling debate, 2015) SEC 2015-09-17 Naked Short Selling Debate — settled
SEC v. George Ivakhnik and The Mobile Star Corporation (fake press releases, 2015) SEC 2015-09-17 Fake Press Releases — filed
SEC v. Rudolfo DeLaSierra (naked short selling debate, 2015) SEC 2015-09-17 Naked Short Selling Debate — settled
SEC v. 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq. (fake press releases, 2015) SEC 2015-09-16 Fake Press Releases — judgment
SEC v. Jason Mogler, et al. (ponzi schemes, 2015) SEC 2015-09-15 Ponzi Schemes — filed
SEC v. Marco Babini et al. (paid stock promotion, 2015) SEC 2015-09-14 Paid Stock Promotion , Pump And Dump — judgment
SEC v. Joseph Paul Zada (ponzi schemes, 2015) SEC 2015-09-11 Ponzi Schemes — appealed
SEC v. Steven M. Dombrowski, CPA (insider trading, 2015) SEC 2015-09-11 Insider Trading — unknown
SEC v. Benjamin Wey, et al. (reverse merger schemes, 2015) SEC 2015-09-10 Reverse Merger Schemes — dismissed
SEC v. Maher F. Kara, et al. (insider trading, 2015) SEC 2015-09-10 Insider Trading — judgment
SEC v. BDO USA, LLP (undisclosed control blocks, 2015) SEC 2015-09-09 Undisclosed Control Blocks — judgment
SEC v. Bennett Group Financial Services, LLC Bennett and Dawn J. (churning, 2015) SEC 2015-09-09 Churning , Paid Stock Promotion — unknown
SEC v. John McEnery III et al. (insider trading, 2015) SEC 2015-09-09 Insider Trading $64.2k settled
SEC v. Sean C. Henaghan, CPA (undisclosed control blocks, 2015) SEC 2015-09-09 Undisclosed Control Blocks — judgment
SEC v. Timothy M. Roberts, Terrance F. Taylor, and Craig Constantinou (unregistered distributions, 2015) SEC 2015-09-09 Unregistered Distributions — filed
SEC v. Caribbean Pacific Marketing, Inc. (reverse merger schemes, 2015) SEC 2015-09-08 Reverse Merger Schemes — settled
SEC v. Ditto Holdings, Inc. (Now Known as Sovestech and Inc.) (unregistered distributions, 2015) SEC 2015-09-08 Unregistered Distributions — settled
SEC v. Marc S. Mandel (unregistered distributions, 2015) SEC 2015-09-08 Unregistered Distributions — settled
SEC v. Donald E. Robar (insider trading, 2015) SEC 2015-09-04 Insider Trading — settled
SEC v. Robert A. Hanner (insider trading, 2015) SEC 2015-09-04 Insider Trading — settled
SEC v. Kevin McDonnell (reverse merger schemes, 2015) SEC 2015-09-03 Reverse Merger Schemes — settled
SEC v. Mackensen & Company, Inc. and and Warren J. Mackensen (undisclosed control blocks, 2015) SEC 2015-09-03 Undisclosed Control Blocks — settled
SEC v. Eric Aronson, et al. (ponzi schemes, 2015) SEC 2015-09-02 Ponzi Schemes $250k judgment
SEC v. Johnson Lambert LLP and Bradley Scott Diericx, CPA (ponzi schemes, 2015) SEC 2015-08-31 Ponzi Schemes — settled
SEC v. Ashish Aggarwal, et al. (insider trading, 2015) SEC 2015-08-25 Insider Trading — judgment
SEC v. Moshe Yehuda Dunoff (boiler rooms, 2015) SEC 2015-08-20 Boiler Rooms — filed
SEC v. Citigroup Global Markets, Inc. (insider trading, 2015) SEC 2015-08-19 Insider Trading — settled
SEC v. Bradford D. Szczecinski (undisclosed control blocks, 2015) SEC 2015-08-17 Undisclosed Control Blocks — settled
SEC v. Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. (benchmark submission rigging, 2015) SEC 2015-08-17 Benchmark Submission Rigging — settled
SEC v. Tamara S. Kraus (undisclosed control blocks, 2015) SEC 2015-08-17 Undisclosed Control Blocks — settled
SEC v. Cedric Cañas Maillard (insider trading, 2015) SEC 2015-08-13 Insider Trading — settled
SEC v. Palladino, et al. (ponzi schemes, 2015) SEC 2015-08-13 Ponzi Schemes — unknown
SEC v. Lamson and Jeffrey L., CPA (reverse merger schemes, 2015) SEC 2015-08-11 Reverse Merger Schemes — judgment
SEC v. Guggenheim Partners Investment Management, LLC (insider trading, 2015) SEC 2015-08-10 Insider Trading — judgment
SEC v. unnamed respondents (paid stock promotion, 2015) SEC 2015-08-10 Paid Stock Promotion , Pump And Dump — judgment
SEC v. First Xeris Corp. (undisclosed control blocks, 2015) SEC 2015-08-06 Undisclosed Control Blocks — settled
SEC v. David J. Boden, Esq. (ponzi schemes, 2015) SEC 2015-08-05 Ponzi Schemes — filed
SEC v. Pamela S. Smith (unregistered distributions, 2015) SEC 2015-07-30 Unregistered Distributions — settled
SEC v. Timothy Patterson (unregistered distributions, 2015) SEC 2015-07-30 Unregistered Distributions — settled
SEC v. Stephen M. Coleman (unregistered distributions, 2015) SEC 2015-07-29 Unregistered Distributions — settled
SEC v. DFRF Enterprises LLC, et al. (ponzi schemes, 2015) SEC 2015-07-23 Ponzi Schemes — filed
SEC v. Donald L. Koch and Koch Asset Management, LLC (marking the close, 2015) SEC 2015-07-20 Marking The Close — appealed
SEC v. Michael R. Enea (ponzi schemes, 2015) SEC 2015-07-20 Ponzi Schemes — judgment
SEC v. Herbert K. Sudfeld, Jr., et al. (insider trading, 2015) SEC 2015-07-16 Insider Trading — filed
SEC v. Timothy J. McGee, et al. (insider trading, 2015) SEC 2015-07-15 Insider Trading — appealed
SEC v. unnamed respondents (paid stock promotion, 2015) SEC 2015-07-14 Paid Stock Promotion , Pump And Dump — filed
SEC v. Oz Management, LP (insider trading, 2015) SEC 2015-07-14 Insider Trading — unknown
SEC v. Frank Tamayo (insider trading, 2015) SEC 2015-07-13 Insider Trading — judgment
SEC v. Gerard Boudreault (insider trading, 2015) SEC 2015-07-10 Insider Trading — settled
SEC v. Patrick Lehnert (insider trading, 2015) SEC 2015-07-09 Insider Trading $15.8k settled
SEC v. Luca International Group, LLC, et al. (ponzi schemes, 2015) SEC 2015-07-06 Ponzi Schemes $25.5k settled
SEC v. Malcolm Segal (ponzi schemes, 2015) SEC 2015-07-01 Ponzi Schemes — filed
SEC v. Goldman and Sachs & Co. (undisclosed control blocks, 2015) SEC 2015-06-30 Undisclosed Control Blocks — settled
SEC v. Peter Voutsas (reverse merger schemes, 2015) SEC 2015-06-30 Reverse Merger Schemes , Undisclosed Control Blocks — settled
SEC v. Gregg R. Mulholland (pump and dump, 2015) SEC 2015-06-25 Pump And Dump — filed
SEC v. Ireeco, LLC Ireeco Limited (paid stock promotion, 2015) SEC 2015-06-23 Paid Stock Promotion — settled
SEC v. Phil Donnahue Williamson (ponzi schemes, 2015) SEC 2015-06-23 Ponzi Schemes — judgment
SEC v. Norstra Energy Inc., Glen Landry and Eric Dany (paid stock promotion, 2015) SEC 2015-06-18 Paid Stock Promotion — judgment
SEC v. Sand Hill Exchange and Gerrit Hall and Elaine Ou (paid stock promotion, 2015) SEC 2015-06-17 Paid Stock Promotion — settled
SEC v. Dimitry Braverman and Vitaly Pupynin (insider trading, 2015) SEC 2015-06-16 Insider Trading — judgment
SEC v. Equity Trust Company (ponzi schemes, 2015) SEC 2015-06-16 Ponzi Schemes — judgment
SEC v. Capital Financial Partners, LLC et al. Will D. Allen and Susan C. Daub (ponzi schemes, 2015) SEC 2015-06-15 Ponzi Schemes — judgment
SEC v. Helmut Anscheringer (insider trading, 2015) SEC 2015-06-15 Insider Trading — settled