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
$2.7m
Median penalty
$225k
Largest
$777k
Criminal parallel
34%
Action Agency Filed Technique Penalty Status
SEC v. Samuel Bankman-Fried (paid stock promotion, 2023) SEC 2023-01-19 Paid Stock Promotion — filed
SEC v. Covington & Burling LLP (insider trading, 2023) SEC 2023-01-12 Insider Trading — settled
SEC v. Yossi Engel (ponzi schemes, 2023) SEC 2023-01-12 Ponzi Schemes — unknown
SEC v. Lawrence Billimek and Alan Williams (front running, 2022) SEC 2022-12-20 Front Running — unknown
SEC v. Honeywell International Inc. (Corrected) (wash trading, 2022) SEC 2022-12-19 Wash Trading — unknown
SEC v. In Ovations Holdings, Inc. and Mark Goldberg (fake press releases, 2022) SEC 2022-12-09 Fake Press Releases , Paid Stock Promotion — judgment
SEC v. Vincent Issier (insider trading, 2022) SEC 2022-12-06 Insider Trading — settled
SEC v. Joseph R. Earle Jr, Barry D. Reagh, William Clayton, Francis T. Dudley, Steven E. Bryant, Upper Street Marketing, Inc. and Project Growth International, Inc. (boiler rooms, 2022) SEC 2022-12-05 Boiler Rooms , Pump And Dump — unknown
SEC v. PFP Entrust Corp. (unregistered distributions, 2022) SEC 2022-12-05 Unregistered Distributions — settled
SEC v. Bruce Conway et al. (insider trading, 2022) SEC 2022-12-02 Insider Trading — unknown
SEC v. Yinghang "James" Yang and Yuanbiao Chen (insider trading, 2022) SEC 2022-11-30 Insider Trading $246k judgment
SEC v. Legal & General Investment Management America, Inc. (matched orders, 2022) SEC 2022-11-21 Matched Orders — settled
SEC v. Tang and Jason Jianxun, CPA (reverse merger schemes, 2022) SEC 2022-11-17 Reverse Merger Schemes — dismissed
SEC v. Charles Rustin Holzer, Fernando Motta Moraes (insider trading, 2022) SEC 2022-11-16 Insider Trading — judgment
SEC v. Adrian J. Kawuba, Civ. Action (ponzi schemes, 2022) SEC 2022-11-14 Ponzi Schemes — judgment
SEC v. Brian Wong (insider trading, 2022) SEC 2022-11-10 Insider Trading — settled
SEC v. PIC Renegade Properties, LLC (unregistered distributions, 2022) SEC 2022-11-09 Unregistered Distributions — settled
SEC v. Douver Torres Braga, Joff Paradise, and Keleionalani Akana Taylor, Jonathan Tetreault (ponzi schemes, 2022) SEC 2022-11-04 Ponzi Schemes — settled
SEC v. Geraci and Paul (boiler rooms, 2022) SEC 2022-11-04 Boiler Rooms — unknown
SEC v. Michael E. Mueller (insider trading, 2022) SEC 2022-11-04 Insider Trading — settled
SEC v. Scott David Mahoney (paid stock promotion, 2022) SEC 2022-11-04 Paid Stock Promotion — judgment
SEC v. Jeremy K. Rounsville (wash trading, 2022) SEC 2022-11-03 Wash Trading $207k settled
SEC v. John C. Ahearn (undisclosed control blocks, 2022) SEC 2022-11-03 Undisclosed Control Blocks — judgment
SEC v. Syed Arham Arbab, Tomas Javier Jimenez, Blake Douglas McKinney, Mushfiqur Rahman, John Ryan Shows, and William Carl Spagnoli (ponzi schemes, 2022) SEC 2022-11-01 Ponzi Schemes — settled
SEC v. Mark Alan Lisser a/k/a Mark Alan a/k/a Mark Allen (boiler rooms, 2022) SEC 2022-10-27 Boiler Rooms — judgment
SEC v. Scott A. Woodward, CPA (insider trading, 2022) SEC 2022-10-25 Insider Trading — settled
SEC v. NewAge, Inc. (paid stock promotion, 2022) SEC 2022-10-19 Paid Stock Promotion — settled
SEC v. Brent David Willis (insider trading, 2022) SEC 2022-10-18 Insider Trading — unknown
SEC v. Kevin B. Merrill, et al. (ponzi schemes, 2022) SEC 2022-10-18 Ponzi Schemes — judgment
SEC v. National Realty Investment Advisors LLC, Rey E. Grabato II, Daniel Coley O'Brien, Thomas Nicholas Salzano and others (ponzi schemes, 2022) SEC 2022-10-14 Ponzi Schemes — filed
SEC v. Harpreet Saini and John Lester Mandac Natividad (insider trading, 2022) SEC 2022-10-03 Insider Trading — filed
SEC v. Kimberly Kardashian (paid stock promotion, 2022) SEC 2022-10-03 Paid Stock Promotion — settled
SEC v. Mauricio Chavez, et al. (ponzi schemes, 2022) SEC 2022-10-03 Ponzi Schemes — unknown
SEC v. Arbitrade Ltd., et al. (pump and dump, 2022) SEC 2022-09-30 Pump And Dump — unknown
SEC v. Ari Lauer (ponzi schemes, 2022) SEC 2022-09-30 Ponzi Schemes — filed
SEC v. Carl V. Dawson (undisclosed control blocks, 2022) SEC 2022-09-30 Undisclosed Control Blocks — settled
SEC v. Cemtrex, Inc. and Saagar Govil (Corrected) (paid stock promotion, 2022) SEC 2022-09-30 Paid Stock Promotion — settled
SEC v. Darrell Green (undisclosed control blocks, 2022) SEC 2022-09-30 Undisclosed Control Blocks — settled
SEC v. Jonathan William Mikula, et al. (paid stock promotion, 2022) SEC 2022-09-30 Paid Stock Promotion $777k settled
SEC v. Lisa Sanford (paid stock promotion, 2022) SEC 2022-09-30 Paid Stock Promotion — settled
SEC v. Charles Parrino (false rumors, 2022) SEC 2022-09-28 False Rumors — settled
SEC v. Matthew Nicosia, William Reninger, Fabrizio Di Carlo, and Ronald Touchard (boiler rooms, 2022) SEC 2022-09-28 Boiler Rooms , Pump And Dump — filed
SEC v. Christian J. Gonzalez (ponzi schemes, 2022) SEC 2022-09-27 Ponzi Schemes — filed
SEC v. James T. Patten, et al. (reverse merger schemes, 2022) SEC 2022-09-27 Reverse Merger Schemes — filed
SEC v. Kendricks, et al., Mark Wayne Ramsey (insider trading, 2022) SEC 2022-09-27 Insider Trading — judgment
SEC v. James Patrick O'connell (undisclosed control blocks, 2022) SEC 2022-09-26 Undisclosed Control Blocks — settled
SEC v. Judith Paris-Pinder (ponzi schemes, 2022) SEC 2022-09-26 Ponzi Schemes — judgment
SEC v. Sang N. Phan and Rich N. Phan (free riding and parking, 2022) SEC 2022-09-26 Free Riding And Parking — filed
SEC v. Brian Lam, et al. (ponzi schemes, 2022) SEC 2022-09-23 Ponzi Schemes — filed
SEC v. Compass Minerals International, Inc. (paid stock promotion, 2022) SEC 2022-09-23 Paid Stock Promotion — settled
SEC v. Friedman LLP (reverse merger schemes, 2022) SEC 2022-09-23 Reverse Merger Schemes — dismissed
SEC v. James Arthur McDonald, Jr. and Hercules Investments, LLC (ponzi schemes, 2022) SEC 2022-09-22 Ponzi Schemes — unknown
SEC v. Michael Weiss (insider trading, 2022) SEC 2022-09-22 Insider Trading — judgment
SEC v. Sheng Fu and Ming Xu (insider trading, 2022) SEC 2022-09-21 Insider Trading — settled
SEC v. John P. Mendes, et al. (insider trading, 2022) SEC 2022-09-20 Insider Trading $51.6k settled
SEC v. Sparkster, Ltd. and Sajjad Daya (unregistered distributions, 2022) SEC 2022-09-19 Unregistered Distributions $500k settled
SEC v. Waddell & Reed, LLC (churning, 2022) SEC 2022-09-19 Churning — settled
SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2022) SEC 2022-09-16 Unregistered Distributions — unknown
SEC v. Gabriel Edelman, Creative Advancement LLC and Edelman Blockchain Advisors LLC (ponzi schemes, 2022) SEC 2022-09-15 Ponzi Schemes — unknown
SEC v. NPA Asset Management, LLC (churning, 2022) SEC 2022-09-08 Churning — settled
SEC v. Todd Christopher Doucette (insider trading, 2022) SEC 2022-09-07 Insider Trading — settled
SEC v. Pavel Ruiz (ponzi schemes, 2022) SEC 2022-08-30 Ponzi Schemes — settled
SEC v. Harmel S. Rayat, RenovaCare, Inc., Jatinder Bhogal, Jeetenderjit Singh Sidhu, and Sharon Fleming (newsletter scalping, 2022) SEC 2022-08-29 Newsletter Scalping — unknown
SEC v. Heckele and Mark W., Esq. (unregistered distributions, 2022) SEC 2022-08-29 Unregistered Distributions — judgment
SEC v. Taronis Technologies, Inc., et al. (paid stock promotion, 2022) SEC 2022-08-25 Paid Stock Promotion $150k settled
SEC v. Nicolas Arkells (unregistered distributions, 2022) SEC 2022-08-24 Unregistered Distributions — filed
SEC v. The Bancorp, Inc. (benchmark submission rigging, 2022) SEC 2022-08-24 Benchmark Submission Rigging — settled
SEC v. Lee Simmons (price manipulation, 2022) SEC 2022-08-19 Price Manipulation — filed
SEC v. Nicholas Daniel (insider trading, 2022) SEC 2022-08-17 Insider Trading — settled
SEC v. Sergei Polevikov, et al. (front running, 2022) SEC 2022-08-17 Front Running — dismissed
SEC v. Ann M. Dishinger, Jerrold I. Palmer, and Lawrence M. Palmer (insider trading, 2022) SEC 2022-08-16 Insider Trading — judgment
SEC v. IMC Chicago, LLC (naked short selling debate, 2022) SEC 2022-08-12 Naked Short Selling Debate — settled
SEC v. Maccio and Michelle (undisclosed control blocks, 2022) SEC 2022-08-09 Undisclosed Control Blocks — unknown
SEC v. Deccan Value Investors LP and Vinit Bodas (undisclosed control blocks, 2022) SEC 2022-08-03 Undisclosed Control Blocks — settled
SEC v. Vladimir Okhotnikov et al. (ponzi schemes, 2022) SEC 2022-08-01 Ponzi Schemes — settled
SEC v. Mark Klein, et al. (insider trading, 2022) SEC 2022-07-28 Insider Trading — judgment
SEC v. Alexandra Robert, Chalala Academy LLC (ponzi schemes, 2022) SEC 2022-07-27 Ponzi Schemes — filed
SEC v. Amit Bhardwaj, et al. (insider trading, 2022) SEC 2022-07-26 Insider Trading — unknown
SEC v. Seth Markin and Brandon Wong (insider trading, 2022) SEC 2022-07-26 Insider Trading — unknown
SEC v. Todd Lahr and Thomas Megas (ponzi schemes, 2022) SEC 2022-07-26 Ponzi Schemes — judgment
SEC v. Brijesh Goel and Akshay Niranjan (insider trading, 2022) SEC 2022-07-25 Insider Trading — filed
SEC v. Stephen E. Buyer, et al. (insider trading, 2022) SEC 2022-07-25 Insider Trading — unknown
SEC v. Apostolos Trovias (insider trading, 2022) SEC 2022-07-21 Insider Trading — judgment
SEC v. Bruce Schoengood, Medifirst Solutions, Inc., and Joshua Tyrell (paid stock promotion, 2022) SEC 2022-07-18 Paid Stock Promotion — judgment
SEC v. John David McAfee and Jimmy Gale Watson, Jr. (newsletter scalping, 2022) SEC 2022-07-15 Newsletter Scalping , Paid Stock Promotion — judgment
SEC v. Steven J. Sheinfeld, CPA (insider trading, 2022) SEC 2022-07-08 Insider Trading — judgment
SEC v. Doron A. Tavlin, Afshin Farahan, and David J. Gantman (insider trading, 2022) SEC 2022-07-07 Insider Trading — unknown
SEC v. George W. Haywood (insider trading, 2022) SEC 2022-07-07 Insider Trading — filed
SEC v. Hugh Lee Sweeney (insider trading, 2022) SEC 2022-07-07 Insider Trading — settled
SEC v. John W. Pauciulo, Esq. (undisclosed control blocks, 2022) SEC 2022-07-07 Undisclosed Control Blocks $490k settled
SEC v. Matthew Wade Beasley, et al. (ponzi schemes, 2022) SEC 2022-07-01 Ponzi Schemes — filed
SEC v. Prosperity Consultants, LLC (ponzi schemes, 2022) SEC 2022-07-01 Ponzi Schemes — filed
SEC v. Daniel J. Moscatiello (insider trading, 2022) SEC 2022-06-29 Insider Trading — judgment
SEC v. Eric D. Lachow (ponzi schemes, 2022) SEC 2022-06-24 Ponzi Schemes — filed
SEC v. Steven J. Sheinfeld (insider trading, 2022) SEC 2022-06-21 Insider Trading — judgment
SEC v. Lek Securities Corporation, et. al. (layering, 2022) SEC 2022-06-17 Layering , Spoofing — appealed
SEC v. David Roda and Andrew Larkin (insider trading, 2022) SEC 2022-06-15 Insider Trading — judgment
SEC v. Michael Mooney, Britt Wright, and Penny Flippen (ponzi schemes, 2022) SEC 2022-06-14 Ponzi Schemes — filed
SEC v. Lijuan "Sandra" Hao, CPA (insider trading, 2022) SEC 2022-06-09 Insider Trading $47.9k settled
SEC v. Patrick Churchville, et al. (ponzi schemes, 2022) SEC 2022-06-09 Ponzi Schemes $225k judgment