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: $5.9bn
Median penalty: $165k
Largest: $5.9bn
Criminal parallel: 31%

Action	Agency	Filed	Technique	Penalty	Status
SEC v. FibroGen, Inc. (paid stock promotion, 2025)	SEC	2025-09-05	Paid Stock Promotion	—	settled
SEC v. Ryan Squillante (insider trading, 2025)	SEC	2025-09-05	Insider Trading	—	settled
SEC v. Daryl F. Heller and others (ponzi schemes, 2025)	SEC	2025-09-03	Ponzi Schemes	—	filed
SEC v. David J. Minson (insider trading, 2025)	SEC	2025-08-22	Insider Trading	—	settled
SEC v. Rouzbeh “Ross” Haghighat and others (insider trading, 2025)	SEC	2025-08-22	Insider Trading	—	filed
SEC v. Justin Chen and Jun Zhen (insider trading, 2025)	SEC	2025-08-21	Insider Trading	—	judgment
SEC v. Stock Purse Trading LLC and others (ponzi schemes, 2025)	SEC	2025-08-21	Ponzi Schemes	—	settled
SEC v. Brent Cranmer and others (insider trading, 2025)	SEC	2025-08-18	Insider Trading	—	unknown
SEC v. Robert Alan Yedid, Andrew Kaufman, Mark Jacobs (insider trading, 2025)	SEC	2025-08-18	Insider Trading	—	settled
SEC v. Wendy Swensen (ponzi schemes, 2025)	SEC	2025-08-18	Ponzi Schemes	—	judgment
SEC v. Ryan R. Wear and others (ponzi schemes, 2025)	SEC	2025-08-15	Ponzi Schemes	—	filed
SEC v. Bruce Cameron Conway (insider trading, 2025)	SEC	2025-08-11	Insider Trading	—	unknown
SEC v. Ryan N. Cole (spoofing, 2025)	SEC	2025-08-11	Spoofing	—	judgment
SEC v. Doron A. Tavlin, Afshin Farahan, and David Gantman (insider trading, 2025)	SEC	2025-08-06	Insider Trading	—	judgment
SEC v. Anthony Finale (insider trading, 2025)	SEC	2025-08-01	Insider Trading	—	settled
SEC v. Vincent Barbuto (insider trading, 2025)	SEC	2025-08-01	Insider Trading	$19.9k	settled
SEC v. Dishant Gupta (insider trading, 2025)	SEC	2025-07-30	Insider Trading	—	judgment
SEC v. Jose D. Rocha (ponzi schemes, 2025)	SEC	2025-07-30	Ponzi Schemes	—	judgment
SEC v. Brian M. Kashman (insider trading, 2025)	SEC	2025-07-22	Insider Trading	—	judgment
SEC v. Edwin Brant Frost IV and First Liberty Building & Loan LLC (ponzi schemes, 2025)	SEC	2025-07-22	Ponzi Schemes	—	settled
SEC v. Edwin Emmett Lickiss, Jr. (ponzi schemes, 2025)	SEC	2025-07-22	Ponzi Schemes	—	filed
SEC v. Robert Brian Thompson (insider trading, 2025)	SEC	2025-07-21	Insider Trading	—	judgment
SEC v. Suyun Gu, et al. (wash trading, 2025)	SEC	2025-07-21	Wash Trading	—	judgment
SEC v. Eric J. Watson (insider trading, 2025)	SEC	2025-07-15	Insider Trading	—	dismissed
SEC v. Diana Mae Fernandez (paid stock promotion, 2025)	SEC	2025-07-11	Paid Stock Promotion , Ponzi Schemes	—	judgment
SEC v. Trijya Vakil and Neeraj Visen (insider trading, 2025)	SEC	2025-07-11	Insider Trading	—	judgment
SEC v. William A. Justice, Keith A. Rosenbaum, Brian D. Shibley, and Randell R. Torno (pump and dump, 2025)	SEC	2025-07-10	Pump And Dump	—	judgment
SEC v. Eduardo Hernandez (free riding and parking, 2025)	SEC	2025-07-03	Free Riding And Parking	—	judgment
SEC v. Benjamin Ballout and Mohamed Zayed (pump and dump, 2025)	SEC	2025-06-20	Pump And Dump	$461k	judgment
SEC v. Ongkaruck Sripetch, et al. (pump and dump, 2025)	SEC	2025-06-20	Pump And Dump , Unregistered Distributions	—	dismissed
SEC v. Peter Scalise III and The3rdBevco Inc. (unregistered distributions, 2025)	SEC	2025-06-17	Unregistered Distributions	$236k	judgment
SEC v. Jack Brewer (insider trading, 2025)	SEC	2025-06-10	Insider Trading	—	filed
SEC v. Medallion Financial Corp., Andrew Murstein, Lawrence Meyers, and Ichabod’s Cranium, Inc. (paid stock promotion, 2025)	SEC	2025-06-06	Paid Stock Promotion	$3m	judgment
SEC v. Kronus Financial Corporation, Finser International Corporation, Andrew H. Jacobus (ponzi schemes, 2025)	SEC	2025-05-29	Ponzi Schemes	—	filed
SEC v. Christopher Aubin and others (ponzi schemes, 2025)	SEC	2025-05-27	Ponzi Schemes	—	filed
SEC v. Joel J. Natario and Jefferson Scott Baker (ponzi schemes, 2025)	SEC	2025-05-23	Ponzi Schemes	—	unknown
SEC v. Kenneth Mattson and Relief Defendant KS Mattson Partners LP (ponzi schemes, 2025)	SEC	2025-05-23	Ponzi Schemes	—	filed
SEC v. Kenneth W. Alexander II and others (ponzi schemes, 2025)	SEC	2025-05-02	Ponzi Schemes	—	filed
SEC v. Jenni Yoon Jeong Lee (a/k/a Jenni Lee Or Yoon Jeong Lee) and Evergreen Property Developments LLC (ponzi schemes, 2025)	SEC	2025-04-30	Ponzi Schemes	—	unknown
SEC v. Ramil Ventura Palafox (ponzi schemes, 2025)	SEC	2025-04-29	Ponzi Schemes	—	filed
SEC v. Marshall E. Melton and Integrated Consulting & Management, LLC (paid stock promotion, 2025)	SEC	2025-04-24	Paid Stock Promotion	—	unknown
SEC v. Saeid Jaberian (pump and dump, 2025)	SEC	2025-04-17	Pump And Dump	—	unknown
SEC v. Milan V. Patel (false rumors, 2025)	SEC	2025-04-11	False Rumors	—	judgment
SEC v. Emergent BioSolutions, Inc. (paid stock promotion, 2025)	SEC	2025-04-07	Paid Stock Promotion	—	settled
SEC v. Eamma Safi and Zhi Ge a/k/a Josh Ge (insider trading, 2025)	SEC	2025-03-14	Insider Trading	—	unknown
SEC v. Ronald Pallek (ponzi schemes, 2025)	SEC	2025-03-11	Ponzi Schemes	—	filed
SEC v. George N. Demos (insider trading, 2025)	SEC	2025-03-10	Insider Trading	—	settled
SEC v. Rey D. Acosta (free riding and parking, 2025)	SEC	2025-03-06	Free Riding And Parking	$15k	judgment
SEC v. Jeffrey Suchecki (insider trading, 2025)	SEC	2025-03-04	Insider Trading	$64.6k	settled
SEC v. Robert Allen Stanford and others (ponzi schemes, 2025)	SEC	2025-02-24	Ponzi Schemes	$5.9bn	judgment
SEC v. Thurman P. Bryant, III and others (ponzi schemes, 2025)	SEC	2025-02-20	Ponzi Schemes	—	judgment
SEC v. Charlie Jinan Chen (insider trading, 2025)	SEC	2025-02-13	Insider Trading	—	judgment
SEC v. Anthony Marsico and others (insider trading, 2025)	SEC	2025-02-10	Insider Trading	—	settled
SEC v. Airborne Wireless Network and others (pump and dump, 2025)	SEC	2025-02-07	Pump And Dump , Undisclosed Control Blocks	—	judgment
SEC v. Frank T. Poerio, Jr. (insider trading, 2025)	SEC	2025-02-06	Insider Trading	—	judgment
SEC v. Andre Wong (insider trading, 2025)	SEC	2025-02-04	Insider Trading	—	judgment
SEC v. John A. Heropoulos (insider trading, 2025)	SEC	2025-01-24	Insider Trading	—	settled
SEC v. Kenneth G. Miccio (insider trading, 2025)	SEC	2025-01-24	Insider Trading	$10k	settled
SEC v. Gabriel Rebeiz (insider trading, 2025)	SEC	2025-01-22	Insider Trading	$361k	judgment
SEC v. Karina N. Fernandez (ponzi schemes, 2025)	SEC	2025-01-21	Ponzi Schemes	—	settled
SEC v. Barry A. Ruffalo (insider trading, 2025)	SEC	2025-01-17	Insider Trading	—	settled
SEC v. Investview, Inc. (unregistered distributions, 2025)	SEC	2025-01-17	Unregistered Distributions	—	settled
SEC v. Naufal Sanaullah (ponzi schemes, 2025)	SEC	2025-01-17	Ponzi Schemes	—	settled
SEC v. Robert L. Ruffalo and others (insider trading, 2025)	SEC	2025-01-17	Insider Trading	—	settled
SEC v. William R. Ruffalo (insider trading, 2025)	SEC	2025-01-17	Insider Trading	$108k	settled
SEC v. Eric Zhu (rug pulls, 2025)	SEC	2025-01-16	Rug Pulls	—	settled
SEC v. Alfred V. Tobia, Jr. and Elizabeth Lee (insider trading, 2025)	SEC	2025-01-14	Insider Trading	—	settled
SEC v. Hari Prasad Sure, et al. (insider trading, 2025)	SEC	2025-01-14	Insider Trading	—	judgment
SEC v. Robinhood Financial LLC and Robinhood Securities, LLC (naked short selling debate, 2025)	SEC	2025-01-13	Naked Short Selling Debate , Spoofing	—	settled
SEC v. SpeedRoute LLC (layering, 2025)	SEC	2025-01-10	Layering , Pump And Dump +2	—	settled
SEC v. Michael Caridi (paid stock promotion, 2025)	SEC	2025-01-08	Paid Stock Promotion	$180k	judgment
SEC v. David S. Sargent (insider trading, 2025)	SEC	2025-01-07	Insider Trading	$215k	judgment
SEC v. Joseph M. Dupont and others (insider trading, 2025)	SEC	2025-01-03	Insider Trading	—	judgment
SEC v. Dale B. Chappell, et al. (insider trading, 2024)	SEC	2024-12-31	Insider Trading	—	unknown
SEC v. Silver Point Capital, L.P. (insider trading, 2024)	SEC	2024-12-20	Insider Trading	—	filed
SEC v. Tai Mo Shan Limited (unregistered distributions, 2024)	SEC	2024-12-20	Unregistered Distributions	—	settled
SEC v. Curt L Dewitz (insider trading, 2024)	SEC	2024-12-19	Insider Trading	—	judgment
SEC v. Ronald Bauer et al. (pump and dump, 2024)	SEC	2024-12-19	Pump And Dump	—	judgment
SEC v. Ken Peterman (insider trading, 2024)	SEC	2024-12-18	Insider Trading	—	unknown
SEC v. Sai-Hong Ignatius Ou (insider trading, 2024)	SEC	2024-12-18	Insider Trading	$1.5m	judgment
SEC v. David Chong Kyi (insider trading, 2024)	SEC	2024-12-17	Insider Trading	$125k	settled
SEC v. Allen Y. Hsu, Esq. (ponzi schemes, 2024)	SEC	2024-12-13	Ponzi Schemes	$233k	judgment
SEC v. Zachary Stevenson (spoofing, 2024)	SEC	2024-12-13	Spoofing	$150k	settled
SEC v. Frederick Tayton Dencer, et al. (ponzi schemes, 2024)	SEC	2024-12-11	Ponzi Schemes	—	filed
SEC v. John S. Clayton and others (insider trading, 2024)	SEC	2024-12-11	Insider Trading , Paid Stock Promotion	—	filed
SEC v. David C. Underwood (unregistered distributions, 2024)	SEC	2024-12-09	Unregistered Distributions	$50k	settled
SEC v. Marc J. Toomey (unregistered distributions, 2024)	SEC	2024-12-09	Unregistered Distributions	$50k	settled
SEC v. Stephen R. Bishop (unregistered distributions, 2024)	SEC	2024-12-09	Unregistered Distributions	—	settled
SEC v. Jordan Qsar, Grant Witherspoon, Austin Bernard, and Chase Lambert (insider trading, 2024)	SEC	2024-12-05	Insider Trading	—	judgment
SEC v. Dow Rockwell LLC and Richard Dow Rockwell (ponzi schemes, 2024)	SEC	2024-12-03	Ponzi Schemes	—	judgment
SEC v. Lightspeed Financial Services Group LLC (layering, 2024)	SEC	2024-11-22	Layering , Wash Trading	—	settled
SEC v. Paulson Investment Company LLC (wash trading, 2024)	SEC	2024-11-22	Wash Trading	—	settled
SEC v. Webull Financial LLC (insider trading, 2024)	SEC	2024-11-22	Insider Trading	—	settled
SEC v. unnamed respondents (boiler rooms, 2024)	SEC	2024-11-20	Boiler Rooms	—	dismissed
SEC v. Robert Brian Thompson (insider trading, 2024)	SEC	2024-11-19	Insider Trading	—	judgment
SEC v. Epic Capital Wealth Advisors, LLC (unregistered distributions, 2024)	SEC	2024-11-08	Unregistered Distributions	—	judgment
SEC v. Carlos Sacanell (insider trading, 2024)	SEC	2024-10-31	Insider Trading	—	filed
SEC v. Dusan Varga and Pannon Investment Advisors LLC (ponzi schemes, 2024)	SEC	2024-10-31	Ponzi Schemes	—	judgment
SEC v. Morrie Tobin et al. (reverse merger schemes, 2024)	SEC	2024-10-18	Reverse Merger Schemes	$230k	judgment
SEC v. Ruimin Xie (insider trading, 2024)	SEC	2024-10-17	Insider Trading	$59.4k	settled