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
$3.2m
Median penalty
$66.7k
Largest
$1.1m
Criminal parallel
23%
Action Agency Filed Technique Penalty Status
SEC v. Morgan Stanley & Co. LLC (naked short selling debate, 2020) SEC 2020-09-30 Naked Short Selling Debate — settled
SEC v. Thomas J. Gity, et al. (ponzi schemes, 2020) SEC 2020-09-30 Ponzi Schemes — filed
SEC v. Todd W. Mixon (ponzi schemes, 2020) SEC 2020-09-30 Ponzi Schemes — filed
SEC v. J.P. Morgan Securities LLC (cash vs derivatives schemes, 2020) SEC 2020-09-29 Cash Vs Derivatives Schemes , Layering +1 — filed
SEC v. Lewis I. Wallach (ponzi schemes, 2020) SEC 2020-09-29 Ponzi Schemes — settled
SEC v. Laksha Bohra, Viky Bohra, and Gotham Bohra (insider trading, 2020) SEC 2020-09-28 Insider Trading — judgment
SEC v. Christopher D. Bachinski (insider trading, 2020) SEC 2020-09-25 Insider Trading $23.1k settled
SEC v. Eric M. Hill (insider trading, 2020) SEC 2020-09-25 Insider Trading — filed
SEC v. Rachelle A. Thatcher (insider trading, 2020) SEC 2020-09-25 Insider Trading $11.6k settled
SEC v. Craig A. Zabala (ponzi schemes, 2020) SEC 2020-09-24 Ponzi Schemes — filed
SEC v. Edward T. Kelly (insider trading, 2020) SEC 2020-09-23 Insider Trading — judgment
SEC v. PowerTradersPress.com, Inc., et al. (boiler rooms, 2020) SEC 2020-09-21 Boiler Rooms — judgment
SEC v. Robert Hoddes Jacobs (insider trading, 2020) SEC 2020-09-21 Insider Trading $157k judgment
SEC v. Scott Allen Fries (ponzi schemes, 2020) SEC 2020-09-17 Ponzi Schemes — filed
SEC v. Steven J. Sheinfeld (insider trading, 2020) SEC 2020-09-17 Insider Trading — filed
SEC v. Henry Sargent et al. (undisclosed control blocks, 2020) SEC 2020-09-16 Undisclosed Control Blocks — judgment
SEC v. Unikrn, Inc. (paid stock promotion, 2020) SEC 2020-09-15 Paid Stock Promotion — settled
SEC v. Craig P. Moyes (insider trading, 2020) SEC 2020-09-10 Insider Trading $116k settled
SEC v. Richard M. Kirsch and Adam Terris (insider trading, 2020) SEC 2020-09-10 Insider Trading $1.1m settled
SEC v. Covalent Collective, Inc. (unregistered distributions, 2020) SEC 2020-09-03 Unregistered Distributions — settled
SEC v. Peter DiChiara (reverse merger schemes, 2020) SEC 2020-09-03 Reverse Merger Schemes $40k judgment
SEC v. Phillip W. Conley (ponzi schemes, 2020) SEC 2020-09-03 Ponzi Schemes — filed
SEC v. Steven Fitzgerald Brown (ponzi schemes, 2020) SEC 2020-09-03 Ponzi Schemes — settled
SEC v. Yue Li (insider trading, 2020) SEC 2020-09-03 Insider Trading — settled
SEC v. Sepehr Sarshar (insider trading, 2020) SEC 2020-08-25 Insider Trading — filed
SEC v. Milan K. Patel, Esq. (pump and dump, 2020) SEC 2020-08-14 Pump And Dump — unknown
SEC v. Dale Tenhulzen et al. (ponzi schemes, 2020) SEC 2020-08-13 Ponzi Schemes — settled
SEC v. Kelvin Boon, LLC and Rajesh Pavithran (undisclosed control blocks, 2020) SEC 2020-08-13 Undisclosed Control Blocks — settled
SEC v. Sean R. Stewart et al. (insider trading, 2020) SEC 2020-08-13 Insider Trading — judgment
SEC v. Vu Anh Nguyen, et al. (free riding and parking, 2020) SEC 2020-08-11 Free Riding And Parking — settled
SEC v. Nicholas Mejia Scrivener (layering, 2020) SEC 2020-08-10 Layering , Spoofing $50k settled
SEC v. Jack Brewer (insider trading, 2020) SEC 2020-08-06 Insider Trading — filed
SEC v. Victor Lee Farias and Integrity Aviation & Leasing, LLC (ponzi schemes, 2020) SEC 2020-08-04 Ponzi Schemes — filed
SEC v. Mustafa David Sayid (pump and dump, 2020) SEC 2020-07-29 Pump And Dump $160k judgment
SEC v. Celadon Financial Group LLC (naked short selling debate, 2020) SEC 2020-07-27 Naked Short Selling Debate — settled
SEC v. Harold L. Altvater (insider trading, 2020) SEC 2020-07-24 Insider Trading — judgment
SEC v. IRTH Communications, LLC and Andrew Haag (paid stock promotion, 2020) SEC 2020-07-22 Paid Stock Promotion $35k settled
SEC v. Edmond Leung (insider trading, 2020) SEC 2020-07-21 Insider Trading $69.6k settled
SEC v. Joseph Zhang (insider trading, 2020) SEC 2020-07-21 Insider Trading $66.7k settled
SEC v. Abetterfinancialplan.Com, LLC (unregistered distributions, 2020) SEC 2020-07-14 Unregistered Distributions — settled
SEC v. Plutus Financial Inc. d/b/a Abra and Plutus Technologies Philippines Corp. (paid stock promotion, 2020) SEC 2020-07-13 Paid Stock Promotion — settled
SEC v. Ralph C. Greaves, Esq. (ponzi schemes, 2020) SEC 2020-07-06 Ponzi Schemes — judgment
SEC v. Michelle Dipp (reverse merger schemes, 2020) SEC 2020-06-30 Reverse Merger Schemes — settled
SEC v. BNP Paribas Securities Corp. (naked short selling debate, 2020) SEC 2020-06-29 Naked Short Selling Debate — settled
SEC v. Dandan Wu (insider trading, 2020) SEC 2020-06-29 Insider Trading — settled
SEC v. Todd H. Lahr, Esq. (ponzi schemes, 2020) SEC 2020-06-24 Ponzi Schemes — judgment
SEC v. Todd Lahr and Thomas Megas (ponzi schemes, 2020) SEC 2020-06-24 Ponzi Schemes — judgment
SEC v. Matthew Ledvina, Esq. (pump and dump, 2020) SEC 2020-06-22 Pump And Dump — unknown
SEC v. Diane J. Harrison, Esq. (undisclosed control blocks, 2020) SEC 2020-06-18 Undisclosed Control Blocks — judgment
SEC v. Gomes et al. (unregistered distributions, 2020) SEC 2020-06-18 Unregistered Distributions — filed
SEC v. Neil Burkholz, et al. (ponzi schemes, 2020) SEC 2020-06-15 Ponzi Schemes — judgment
SEC v. Jason C. Nielsen (pump and dump, 2020) SEC 2020-06-10 Pump And Dump , Spoofing — filed
SEC v. Daniel F. Putnam, Jean Paul Ramirez Rico, Angel A. Rodriguez, MMT Distribution, LLC, R & D Global (ponzi schemes, 2020) SEC 2020-06-05 Ponzi Schemes — unknown
SEC v. Jana Faith Kiena, CPA (insider trading, 2020) SEC 2020-06-05 Insider Trading $125k settled
SEC v. BitClave PTE Ltd. (unregistered distributions, 2020) SEC 2020-05-28 Unregistered Distributions $400k settled
SEC v. Ares Management LLC (insider trading, 2020) SEC 2020-05-26 Insider Trading — settled
SEC v. Paul Ewer (boiler rooms, 2020) SEC 2020-05-22 Boiler Rooms — unknown
SEC v. Robert Gilbert (boiler rooms, 2020) SEC 2020-05-22 Boiler Rooms — judgment
SEC v. Turbo Global Partners, Inc. and Robert W. Singerman (boiler rooms, 2020) SEC 2020-05-14 Boiler Rooms — filed
SEC v. Clinton Maurice Tucker II (boiler rooms, 2020) SEC 2020-05-11 Boiler Rooms — filed
SEC v. Damon Elliott, et al. (ponzi schemes, 2020) SEC 2020-05-06 Ponzi Schemes — filed
SEC v. Zhuobin Hong, et al. (insider trading, 2020) SEC 2020-05-05 Insider Trading — filed
SEC v. American Bondholders Foundation, LLC and Jonna Bianco (unregistered distributions, 2020) SEC 2020-04-30 Unregistered Distributions $65k settled
SEC v. Wei Duan (insider trading, 2020) SEC 2020-04-30 Insider Trading — settled
SEC v. Aequitas Management, LLC, et al. (ponzi schemes, 2020) SEC 2020-04-24 Ponzi Schemes $625k judgment
SEC v. Biltmore International Corporation (naked short selling debate, 2020) SEC 2020-04-24 Naked Short Selling Debate , Unregistered Distributions — settled
SEC v. Jeffrey G. Klein (boiler rooms, 2020) SEC 2020-04-24 Boiler Rooms — unknown
SEC v. Barry R. Bekkedam (ponzi schemes, 2020) SEC 2020-04-22 Ponzi Schemes — unknown
SEC v. Amir Waldman, et al. (insider trading, 2020) SEC 2020-04-17 Insider Trading — judgment
SEC v. Brian Robert Sodi, CPA (newsletter scalping, 2020) SEC 2020-04-17 Newsletter Scalping , Unregistered Distributions — judgment
SEC v. Bryan Cohen and George Nikas (insider trading, 2020) SEC 2020-03-30 Insider Trading — judgment
SEC v. Benjamin Kirkland (insider trading, 2020) SEC 2020-03-27 Insider Trading — settled
SEC v. David M. Mahan (insider trading, 2020) SEC 2020-03-26 Insider Trading — judgment
SEC v. Kendricks, et al., Hamed A. Ettu (insider trading, 2020) SEC 2020-03-23 Insider Trading — judgment
SEC v. Scott O. Hirsch and Kenneth L. Friedman (insider trading, 2020) SEC 2020-03-19 Insider Trading — settled
SEC v. Denis Georgiyevich Sotnikov, et al. (spoofing, 2020) SEC 2020-03-16 Spoofing — filed
SEC v. Stacey Beane, Justin Deckert and Travis Laska (ponzi schemes, 2020) SEC 2020-03-13 Ponzi Schemes $30k judgment
SEC v. BMA Securities, LLC (naked short selling debate, 2020) SEC 2020-03-12 Naked Short Selling Debate — settled
SEC v. David G. Dreslin, CPA (reverse merger schemes, 2020) SEC 2020-03-12 Reverse Merger Schemes — judgment
SEC v. Barry Honig, et al. (pump and dump, 2020) SEC 2020-03-11 Pump And Dump — judgment
SEC v. Todays Growth Consultant Inc. and Kenneth D. Courtright, III (ponzi schemes, 2020) SEC 2020-03-06 Ponzi Schemes — filed
SEC v. Tomer Feingold and Dov Malnik (insider trading, 2020) SEC 2020-03-06 Insider Trading — filed
SEC v. Brook Church-Koegel, et al. (ponzi schemes, 2020) SEC 2020-03-05 Ponzi Schemes — filed
SEC v. Bradley Davis (insider trading, 2020) SEC 2020-02-28 Insider Trading — unknown
SEC v. Shawn Severson (paid stock promotion, 2020) SEC 2020-02-28 Paid Stock Promotion $3.5k settled
SEC v. Steven Seagal (paid stock promotion, 2020) SEC 2020-02-27 Paid Stock Promotion — settled
SEC v. Charles F. Kerwin (insider trading, 2020) SEC 2020-02-24 Insider Trading $47.4k settled
SEC v. Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong (matched orders, 2020) SEC 2020-02-21 Matched Orders — judgment
SEC v. Jon L. Aronson and Elliet N. Aronson (insider trading, 2020) SEC 2020-02-20 Insider Trading — judgment
SEC v. Richard Lee, et al. (insider trading, 2020) SEC 2020-02-20 Insider Trading — judgment
SEC v. EquiAlt LLC et al. (ponzi schemes, 2020) SEC 2020-02-18 Ponzi Schemes — filed
SEC v. Marc A. Celello, Esq. (ponzi schemes, 2020) SEC 2020-02-13 Ponzi Schemes — judgment
SEC v. Charlie Jinan Chen and Shui Foon Mok (insider trading, 2020) SEC 2020-02-05 Insider Trading — unknown
SEC v. Cannell Capital, LLC (insider trading, 2020) SEC 2020-02-04 Insider Trading — settled
SEC v. Bill Tsai (insider trading, 2020) SEC 2020-01-31 Insider Trading — judgment
SEC v. DFRF Enterprises LLC, et al. (ponzi schemes, 2020) SEC 2020-01-31 Ponzi Schemes — judgment
SEC v. Michael Douglas Billings and MDB Group, LLC (ponzi schemes, 2020) SEC 2020-01-31 Ponzi Schemes — settled
SEC v. Edward E. Matthes (ponzi schemes, 2020) SEC 2020-01-28 Ponzi Schemes — judgment
SEC v. David Aubel and Robert Raffa (paid stock promotion, 2020) SEC 2020-01-27 Paid Stock Promotion $150k judgment
SEC v. Jeffrey P. Carpoff and Paulette Carpoff (ponzi schemes, 2020) SEC 2020-01-24 Ponzi Schemes — settled