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
$44.8m
Median penalty
$145k
Largest
$39.5m
Criminal parallel
23%
Action Agency Filed Technique Penalty Status
SEC v. Umapathi Kakkera (insider trading, 2024) SEC 2024-10-17 Insider Trading — settled
SEC v. Baris Cabalar (churning, 2024) SEC 2024-10-16 Churning — unknown
SEC v. Destiny Robotics Corp., et al. (paid stock promotion, 2024) SEC 2024-10-15 Paid Stock Promotion — settled
SEC v. Gotbit Consulting LLC a/k/a Gotbit Hedge Fund and Fedor Kedrov (wash trading, 2024) SEC 2024-10-15 Wash Trading — unknown
SEC v. Matthew Groom (insider trading, 2024) SEC 2024-10-15 Insider Trading $12.9k settled
SEC v. ZM Quant Investment Ltd., Baijun Ou a/k/a Eric Ou, and Ruiqi Lau a/k/a Ricky Liu (wash trading, 2024) SEC 2024-10-15 Wash Trading — unknown
SEC v. Minerco, Inc., Bobby Shumake Japhia, and Julius Makiri Jenge (custodianship shell hijacking, 2024) SEC 2024-10-09 Custodianship Shell Hijacking , Pump And Dump — filed
SEC v. Barry Siegel (insider trading, 2024) SEC 2024-10-01 Insider Trading $113k judgment
SEC v. Marathon Asset Management, LP (insider trading, 2024) SEC 2024-09-30 Insider Trading — settled
SEC v. TD Securities (USA) LLC (cash vs derivatives schemes, 2024) SEC 2024-09-30 Cash Vs Derivatives Schemes , Spoofing — unknown
SEC v. Austin Kauh (insider trading, 2024) SEC 2024-09-27 Insider Trading — settled
SEC v. Bryan Scott McMillan (insider trading, 2024) SEC 2024-09-27 Insider Trading — unknown
SEC v. Eric Hannelius (insider trading, 2024) SEC 2024-09-27 Insider Trading — settled
SEC v. Mango Labs, LLC, Mango DAO, and Blockworks Foundation (unregistered distributions, 2024) SEC 2024-09-27 Unregistered Distributions — settled
SEC v. Marco Babini, et al. (paid stock promotion, 2024) SEC 2024-09-27 Paid Stock Promotion — judgment
SEC v. Robert B. Westbrook (insider trading, 2024) SEC 2024-09-27 Insider Trading — judgment
SEC v. Bhardwaj et al. (insider trading, 2024) SEC 2024-09-26 Insider Trading — judgment
SEC v. Karina N. Fernandez and others (ponzi schemes, 2024) SEC 2024-09-26 Ponzi Schemes — settled
SEC v. Adage Capital Management, L.P. (undisclosed control blocks, 2024) SEC 2024-09-25 Undisclosed Control Blocks — settled
SEC v. Alphabet Inc. (undisclosed control blocks, 2024) SEC 2024-09-25 Undisclosed Control Blocks — settled
SEC v. David L. Kanen (undisclosed control blocks, 2024) SEC 2024-09-25 Undisclosed Control Blocks — settled
SEC v. Essex Woodlands Management, Inc. (undisclosed control blocks, 2024) SEC 2024-09-25 Undisclosed Control Blocks — settled
SEC v. Oaktree Capital Management, L.P. (undisclosed control blocks, 2024) SEC 2024-09-25 Undisclosed Control Blocks — settled
SEC v. The Bank of Nova Scotia (undisclosed control blocks, 2024) SEC 2024-09-25 Undisclosed Control Blocks — settled
SEC v. The Goldman Sachs Group, Inc. (undisclosed control blocks, 2024) SEC 2024-09-25 Undisclosed Control Blocks — settled
SEC v. Eric J. Watson et al. (insider trading, 2024) SEC 2024-09-24 Insider Trading — judgment
SEC v. WM Technology, Inc. (paid stock promotion, 2024) SEC 2024-09-24 Paid Stock Promotion — settled
SEC v. Benjamin Ballout, Mohamed Zayed, and William Fielding (pump and dump, 2024) SEC 2024-09-23 Pump And Dump — judgment
SEC v. DiScala et al., (pump and dump, 2024) SEC 2024-09-20 Pump And Dump , Reverse Merger Schemes — judgment
SEC v. Keith D. Beekmeyer and Andrew M. Bye (reverse merger schemes, 2024) SEC 2024-09-20 Reverse Merger Schemes — settled
SEC v. Philip Markin (insider trading, 2024) SEC 2024-09-19 Insider Trading — judgment
SEC v. Rari Capital Infrastructure LLC (unregistered distributions, 2024) SEC 2024-09-18 Unregistered Distributions — settled
SEC v. Joel David Castro Leon and Shmuel A. Sherr (spoofing, 2024) SEC 2024-09-17 Spoofing $125k judgment
SEC v. NanoBit Limited, Radiant Horizons Limited, Sweet Karma Fashion Inc., Zhao Tropical Deli Inc., Jiajie Liu, Fei Liao, and Hua Zhao (chat group pumps, 2024) SEC 2024-09-17 Chat Group Pumps — filed
SEC v. Federico Nannini, Mauro Nannini, Alejandro Thermiotis, and Francisco Tonarely (insider trading, 2024) SEC 2024-09-16 Insider Trading — filed
SEC v. Flyfish Club, LLC (chat group pumps, 2024) SEC 2024-09-16 Chat Group Pumps , Unregistered Distributions $750k settled
SEC v. Anthony Guarino (boiler rooms, 2024) SEC 2024-09-12 Boiler Rooms — settled
SEC v. Dishant Gupta (insider trading, 2024) SEC 2024-09-10 Insider Trading — settled
SEC v. Hunter Haithcock a/k/a Hunter Elliott and Hunter Allen (ponzi schemes, 2024) SEC 2024-09-09 Ponzi Schemes — unknown
SEC v. James M. Phillips (insider trading, 2024) SEC 2024-09-09 Insider Trading — settled
SEC v. Stephen Forlano (insider trading, 2024) SEC 2024-09-09 Insider Trading $18.2k settled
SEC v. Esmark Inc. and James P. Bouchard (reverse merger schemes, 2024) SEC 2024-09-06 Reverse Merger Schemes — settled
SEC v. Chanon Gordon (ponzi schemes, 2024) SEC 2024-09-03 Ponzi Schemes — settled
SEC v. Drew Morgan Ciccarelli (pump and dump, 2024) SEC 2024-08-30 Pump And Dump — judgment
SEC v. Nutra Pharma Corporation, et al. (unregistered distributions, 2024) SEC 2024-08-30 Unregistered Distributions — judgment
SEC v. Shaohua (Michael) Yin, et al. (insider trading, 2024) SEC 2024-08-30 Insider Trading $39.5m judgment
SEC v. Tanner S. Adam, Jonathan L. Adam, Triten Financial Group, LLC and GCZ Global LLC (ponzi schemes, 2024) SEC 2024-08-30 Ponzi Schemes — unknown
SEC v. Bernardo Mendia-Alcaraz and Toltec Capital LLC (ponzi schemes, 2024) SEC 2024-08-28 Ponzi Schemes — filed
SEC v. Maggie Chen (insider trading, 2024) SEC 2024-08-28 Insider Trading — settled
SEC v. Dileep Murthy (insider trading, 2024) SEC 2024-08-26 Insider Trading $88k settled
SEC v. Sound Point Capital Management LLP (insider trading, 2024) SEC 2024-08-26 Insider Trading — settled
SEC v. FlowPoint Partners, LLC and Peter J. DeCaprio (insider trading, 2024) SEC 2024-08-21 Insider Trading $145k judgment
SEC v. Wells Real Estate Investment, LLC, Janalie C. Joseph a/k/a Janalie C. Bingham, and Jean Joseph, et al. (ponzi schemes, 2024) SEC 2024-08-20 Ponzi Schemes , Undisclosed Control Blocks — unknown
SEC v. Drive Planning, LLC and Russell Todd Burkhalter (ponzi schemes, 2024) SEC 2024-08-14 Ponzi Schemes — unknown
SEC v. Robert Del Prete (insider trading, 2024) SEC 2024-08-13 Insider Trading — judgment
SEC v. Stephen Durland (pump and dump, 2024) SEC 2024-08-13 Pump And Dump — judgment
SEC v. OTC Link LLC (layering, 2024) SEC 2024-08-12 Layering , Spoofing +2 — settled
SEC v. Kevan Casey et al. (pump and dump, 2024) SEC 2024-08-09 Pump And Dump — filed
SEC v. Steven D. Targum et al. (insider trading, 2024) SEC 2024-08-08 Insider Trading $86.8k settled
SEC v. South Bay Acquisitions, LLC, et al. (ponzi schemes, 2024) SEC 2024-07-31 Ponzi Schemes — filed
SEC v. Charles Baugh (insider trading, 2024) SEC 2024-07-30 Insider Trading — judgment
SEC v. Sivannarayana Barama (insider trading, 2024) SEC 2024-07-29 Insider Trading — judgment
SEC v. Robert Newell and Black Hawk Funding, Inc. (ponzi schemes, 2024) SEC 2024-07-23 Ponzi Schemes — judgment
SEC v. Ricardi Celicourt and Brisly Guillaume (ponzi schemes, 2024) SEC 2024-07-19 Ponzi Schemes — filed
SEC v. Yossi Engel (ponzi schemes, 2024) SEC 2024-07-19 Ponzi Schemes — judgment
SEC v. Eliyahu Weinstein, Aryeh L. Bromberg, Joel L. Wittels, Richard M. Curry, Christopher J. Anderson, Alaa Mohamed Hattab, and Shlomo Erez (ponzi schemes, 2024) SEC 2024-07-15 Ponzi Schemes — unknown
SEC v. Gene Daniel Levoff (insider trading, 2024) SEC 2024-07-08 Insider Trading $1.1m unknown
SEC v. John J. Kralik V, JKV Capital, LLC, and JKV LLC (ponzi schemes, 2024) SEC 2024-07-02 Ponzi Schemes — filed
SEC v. Adrian J. Kawuba (ponzi schemes, 2024) SEC 2024-07-01 Ponzi Schemes — judgment
SEC v. John Brda and Georgios Palikaras (engineered short squeeze, 2024) SEC 2024-06-25 Engineered Short Squeeze — filed
SEC v. Meta Materials, Inc. ( and others (engineered short squeeze, 2024) SEC 2024-06-25 Engineered Short Squeeze , Paid Stock Promotion +1 $1m settled
SEC v. Robert J. Schettino (insider trading, 2024) SEC 2024-06-25 Insider Trading — settled
SEC v. Giguiere et al. (paid stock promotion, 2024) SEC 2024-06-13 Paid Stock Promotion $875k judgment
SEC v. Janusz (John) Zukowski and Jerry Samaras (reverse merger schemes, 2024) SEC 2024-06-13 Reverse Merger Schemes — settled
SEC v. Kerry Lee Broderick (free riding and parking, 2024) SEC 2024-06-12 Free Riding And Parking — settled
SEC v. Mario Gogliormella, Steven Lacaj, and Karim Ibrahim a/k/a/ Chris Hayes (boiler rooms, 2024) SEC 2024-06-12 Boiler Rooms — filed
SEC v. Marc Henry Menard and Laesha Jean-Louis (ponzi schemes, 2024) SEC 2024-06-11 Ponzi Schemes — unknown
SEC v. Daniel Urness (insider trading, 2024) SEC 2024-06-10 Insider Trading — judgment
SEC v. Anders J. Lindgren (insider trading, 2024) SEC 2024-06-06 Insider Trading $682k settled
SEC v. HF Foods Group Inc. (reverse merger schemes, 2024) SEC 2024-06-06 Reverse Merger Schemes — settled
SEC v. Andre Wong (insider trading, 2024) SEC 2024-06-04 Insider Trading — unknown
SEC v. Andreas Bechtolsheim (insider trading, 2024) SEC 2024-06-03 Insider Trading — judgment
SEC v. Gregory P. Manning (insider trading, 2024) SEC 2024-06-03 Insider Trading — judgment
SEC v. Tyler Loudon (insider trading, 2024) SEC 2024-05-31 Insider Trading — judgment
SEC v. Frank Lynold Mercado and Tiger Wolf Capital, LLC (ponzi schemes, 2024) SEC 2024-05-30 Ponzi Schemes — settled
SEC v. Ian Balina (paid stock promotion, 2024) SEC 2024-05-23 Paid Stock Promotion — filed
SEC v. Teresa Perez De Madrid (insider trading, 2024) SEC 2024-05-21 Insider Trading — settled
SEC v. Pedram Abraham Mehrian, Strategic Legacy Investment Group, Inc., and SLIG High-Interest Liquid Savings Company (ponzi schemes, 2024) SEC 2024-05-20 Ponzi Schemes — judgment
SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2024) SEC 2024-05-15 Unregistered Distributions — dismissed
SEC v. Tyrone Johnny Lacy, Jr. (free riding and parking, 2024) SEC 2024-05-13 Free Riding And Parking — filed
SEC v. Frank T. Poerio, Jr. (insider trading, 2024) SEC 2024-05-10 Insider Trading — judgment
SEC v. C-Bond Systems, Inc. and Scott Silverman (reverse merger schemes, 2024) SEC 2024-05-09 Reverse Merger Schemes $175k settled
SEC v. Gene Daniel Levoff, Esq. (insider trading, 2024) SEC 2024-05-08 Insider Trading — unknown
SEC v. Steven Masterson (insider trading, 2024) SEC 2024-05-06 Insider Trading — settled
SEC v. Ahmed Alomari and MCM Consulting (paid stock promotion, 2024) SEC 2024-05-03 Paid Stock Promotion — filed
SEC v. John M. Moretz (insider trading, 2024) SEC 2024-05-03 Insider Trading — settled
SEC v. Sanjay Bhandari, Vinod Singhi, Rakesh Jain (insider trading, 2024) SEC 2024-04-30 Insider Trading $73.5k settled
SEC v. Kevin Crotty (insider trading, 2024) SEC 2024-04-26 Insider Trading — judgment
SEC v. George Stubos, et al. (paid stock promotion, 2024) SEC 2024-04-15 Paid Stock Promotion — judgment
SEC v. Gil Friedman (insider trading, 2024) SEC 2024-04-15 Insider Trading — judgment