Home / Cases / Paid stock promotion / Page 2 Paid stock promotion enforcement actions This library records 219 enforcement actions tagged paid stock promotion. Paid stock promotion is publicising a security in exchange for compensation, which is lawful only if the fact of payment, the payer and the amount are fully disclosed under Securities Act Section 17(b).
Actions are listed newest first. Each row links to a case page carrying the regulator's own release and, where one was published, the complaint. For how this technique works and what statute it engages, read the paid stock promotion technique page.
Actions 100
Total penalties $14.4m
Median penalty $150k
Largest $6m
Criminal parallel 30% Action Agency Filed Penalty Status SEC v. Reynolds and Norman T., Esq. (paid stock promotion, 2020) SEC 2020-10-22 — judgment SEC v. McAfee et al. (paid stock promotion, 2020) SEC 2020-10-06 — filed SEC v. Joel Stohlman, et al. (matched orders, 2020) SEC 2020-09-30 — filed SEC v. Unikrn, Inc. (paid stock promotion, 2020) SEC 2020-09-15 — settled SEC v. IRTH Communications, LLC and Andrew Haag (paid stock promotion, 2020) SEC 2020-07-22 $35k settled SEC v. Plutus Financial Inc. d/b/a Abra and Plutus Technologies Philippines Corp. (paid stock promotion, 2020) SEC 2020-07-13 — settled SEC v. Shawn Severson (paid stock promotion, 2020) SEC 2020-02-28 $3.5k settled SEC v. Steven Seagal (paid stock promotion, 2020) SEC 2020-02-27 — settled SEC v. David Aubel and Robert Raffa (paid stock promotion, 2020) SEC 2020-01-27 $150k judgment SEC v. Lidingo Holdings, LLC, et al. (paid stock promotion, 2020) SEC 2020-01-14 — judgment SEC v. Jeffrey O. Friedland, Global Corporate Strategies LLC., and Intiva Pharma, LLC (paid stock promotion, 2019) SEC 2019-12-09 $2m judgment SEC v. Michael J. Starkweather and Andiamo Corporation, William White (matched orders, 2019) SEC 2019-10-17 — filed SEC v. George Matin (matched orders, 2019) SEC 2019-09-25 — settled SEC v. Harold Minsky (matched orders, 2019) SEC 2019-09-25 — settled SEC v. Brian Robert Sodi, et al. (newsletter scalping, 2019) SEC 2019-09-19 — settled SEC v. Marvell Technology Group, Ltd. (paid stock promotion, 2019) SEC 2019-09-16 — settled SEC v. Morrie Tobin et al. (paid stock promotion, 2019) SEC 2019-08-30 — filed SEC v. ICO Rating (paid stock promotion, 2019) SEC 2019-08-20 — settled SEC v. Samuel Brown, et al. (paid stock promotion, 2019) SEC 2019-08-16 — judgment CFTC v. unnamed respondents (paid stock promotion, 2019) CFTC 2019-07-19 $2.9m judgment SEC v. George Slowinski (paid stock promotion, 2019) SEC 2019-05-29 — filed SEC v. Wilson-Davis & Co., Inc. (paid stock promotion, 2019) SEC 2019-05-15 — settled SEC v. Kent R.E. Whitney, David Lee Parrish, The Church for the Healthy Self a/k/a CHS Trust, and CHS Asset Management Inc. (paid stock promotion, 2019) SEC 2019-03-18 — unknown SEC v. Jason McDiarmid, et al. (paid stock promotion, 2019) SEC 2019-02-12 — judgment SEC v. Edward Withrow, et al. (paid stock promotion, 2019) SEC 2019-02-05 — filed SEC v. Anthony J. Thompson, Jr., et al. (paid stock promotion, 2019) SEC 2019-02-01 — settled SEC v. America Modern Green Senior (Houston) LLC and America Modern Green Community (Houston) LLC and America Modern Green Residential (Houston) LLC (paid stock promotion, 2018) SEC 2018-12-12 $800k settled SEC v. Eric T. Landis et al. (matched orders, 2018) SEC 2018-11-29 — filed SEC v. Floyd Mayweather Jr. (paid stock promotion, 2018) SEC 2018-11-29 — settled SEC v. Khaled Khaled (paid stock promotion, 2018) SEC 2018-11-29 — settled SEC v. Morrie Tobin et al. (paid stock promotion, 2018) SEC 2018-11-28 — filed SEC v. SeeThruEquity, LLC et al. (newsletter scalping, 2018) SEC 2018-11-08 — filed SEC v. Brian Weber and Bebida Beverage Co. (fake press releases, 2018) SEC 2018-10-31 — judgment SEC v. Mark E. Fisher and Joseph F. Capuozzo (paid stock promotion, 2018) SEC 2018-10-22 — settled SEC v. Jehu Hand and Antonio Katz (paid stock promotion, 2018) SEC 2018-09-28 — judgment SEC v. Thomas Carter Ronk (boiler rooms, 2018) SEC 2018-09-28 — filed SEC v. CSIR Group, LLC, et al. (paid stock promotion, 2018) SEC 2018-09-20 — judgment SEC v. In Ovations Holdings, Inc. and Mark Goldberg (paid stock promotion, 2018) SEC 2018-09-06 — unknown SEC v. Gannon Giguiere et al. (paid stock promotion, 2018) SEC 2018-07-16 — filed SEC v. Richard Weed et al. (paid stock promotion, 2018) SEC 2018-06-26 $150k dismissed SEC v. Kon and Alexander (paid stock promotion, 2018) SEC 2018-05-29 $20k settled SEC v. Eddy U. Marin and Shane R. Spierdowis (paid stock promotion, 2018) SEC 2018-05-02 — settled SEC v. Christopher R. Esposito, et al. (paid stock promotion, 2018) SEC 2018-04-30 — judgment SEC v. Andrew J. Kandelapas (paid stock promotion, 2018) SEC 2018-04-13 $240k settled SEC v. Wellness Center USA, Inc. (fake press releases, 2018) SEC 2018-04-12 — settled SEC v. Aegis Capital Corporation (paid stock promotion, 2018) SEC 2018-03-28 — filed SEC v. Terracciano and Eugene (paid stock promotion, 2018) SEC 2018-03-28 — unknown SEC v. Palladino and James M. (paid stock promotion, 2017) SEC 2017-11-29 — unknown SEC v. Ferrone and Stephen D. (paid stock promotion, 2017) SEC 2017-11-08 $120k judgment SEC v. Andalusian Resorts and others (fake press releases, 2017) SEC 2017-10-30 — filed SEC v. Artemus Mayor (paid stock promotion, 2017) SEC 2017-10-26 — settled SEC v. Micheal A. Skerry (newsletter scalping, 2017) SEC 2017-09-29 $100k judgment SEC v. Moses Investment Company, LLC and Michael S. Moses (paid stock promotion, 2017) SEC 2017-09-22 — filed SEC v. Dawn J. Bennett and DJB Holdings LLC (paid stock promotion, 2017) SEC 2017-08-28 — filed SEC v. Smith, et al. (paid stock promotion, 2017) SEC 2017-08-11 — judgment SEC v. Joe Yiu Cheung ( and Dylon De Lu Zhang) (paid stock promotion, 2017) SEC 2017-08-02 — settled SEC v. Jeffrey D. Martin, et al. (custodianship shell hijacking, 2017) SEC 2017-08-01 — judgment SEC v. Karen F. Aalders (paid stock promotion, 2017) SEC 2017-07-31 — judgment SEC v. Carrillo and Luis J. (paid stock promotion, 2017) SEC 2017-07-26 — judgment SEC v. Huettel and Wade D., Esq. (paid stock promotion, 2017) SEC 2017-07-26 — judgment SEC v. Joey Giamichael and Umbrella Research, LLC (newsletter scalping, 2017) SEC 2017-07-25 — settled SEC v. James M. Farinella, et al. (paid stock promotion, 2017) SEC 2017-06-21 — filed SEC v. Jehu Hand and Antonio Katz (paid stock promotion, 2017) SEC 2017-06-15 — filed SEC v. Wensheng Lin and Sheng Li Chen (paid stock promotion, 2017) SEC 2017-05-01 — filed SEC v. Justin D. Meadlin and Hyaline Capital Management, LLC (paid stock promotion, 2017) SEC 2017-04-17 — filed SEC v. Christopher R. Esposito, et al. (paid stock promotion, 2017) SEC 2017-04-14 $775k judgment SEC v. Lidingo Holdings, LLC, et al., CSIR Group, LLC, et al. (paid stock promotion, 2017) SEC 2017-04-12 — settled SEC v. Christopher French (paid stock promotion, 2017) SEC 2017-04-10 — settled SEC v. Ciaran Thornton (paid stock promotion, 2017) SEC 2017-04-10 — settled SEC v. Craig Keolanui (paid stock promotion, 2017) SEC 2017-04-10 — settled SEC v. Edward Borrelli and Dunedin, Inc. (paid stock promotion, 2017) SEC 2017-04-10 — settled SEC v. Galena Biopharma, Inc. and Mark J. Ahn (paid stock promotion, 2017) SEC 2017-04-10 — settled SEC v. ImmunoCellular Therapeutics, Ltd. (paid stock promotion, 2017) SEC 2017-04-10 — settled SEC v. Joel Corenman (paid stock promotion, 2017) SEC 2017-04-10 — settled SEC v. Lion Biotechnologies, Inc. (paid stock promotion, 2017) SEC 2017-04-10 — settled SEC v. Michael A. McCarthy (paid stock promotion, 2017) SEC 2017-04-10 — settled SEC v. Stephen Ramey (paid stock promotion, 2017) SEC 2017-04-10 $24k settled SEC v. Notis Global, Inc. (f/k/a Medbox, Inc.), et al. (paid stock promotion, 2017) SEC 2017-03-09 $6m judgment SEC v. Cort Poyner et al. (paid stock promotion, 2017) SEC 2017-01-19 — judgment SEC v. Empire Stock Transfer, Inc. and Matthew J. Blevins (paid stock promotion, 2016) SEC 2016-12-16 $50k settled SEC v. Richard Weed et al. (paid stock promotion, 2016) SEC 2016-10-04 — judgment SEC v. Marcus A. Luna, et al. (boiler rooms, 2016) SEC 2016-09-30 — filed SEC v. Och-Ziff Capital Management Group LLC Oz Management LP Och and others (paid stock promotion, 2016) SEC 2016-09-29 — settled CFTC v. Advanced Trading Workshop (newsletter scalping, 2016) CFTC 2016-09-28 $470k judgment SEC v. Jason A. Wallace (boiler rooms, 2016) SEC 2016-09-27 — filed SEC v. Manuel E. Jesus aka Manny Backus, et al. (paid stock promotion, 2016) SEC 2016-09-13 $235k judgment SEC v. Contrarian Press, LLC, Scott S. Fraser, and Nathan Yeung (paid stock promotion, 2016) SEC 2016-09-06 — filed SEC v. James Hugh Brennan, III, et al. (paid stock promotion, 2016) SEC 2016-07-25 — unknown SEC v. Albert Fried & Company, LLC (paid stock promotion, 2016) SEC 2016-06-01 — settled SEC v. Christopher R. Esposito, et al. (paid stock promotion, 2016) SEC 2016-05-26 — filed SEC v. Imran Husain, et al. (paid stock promotion, 2016) SEC 2016-05-12 — unknown SEC v. Asher Z. Zwebner and Luke C. Zouvas, et al. (paid stock promotion, 2016) SEC 2016-04-26 — unknown SEC v. William E. Mapp, III, et al. (paid stock promotion, 2016) SEC 2016-04-11 $200k settled SEC v. David Aubel and Robert Raffa (paid stock promotion, 2016) SEC 2016-04-07 — unknown SEC v. Tobin Smith, et al. (paid stock promotion, 2016) SEC 2016-03-29 $75k settled SEC v. Guy Gentile (paid stock promotion, 2016) SEC 2016-03-23 — filed SEC v. Cary Lee Peterson, et al. (paid stock promotion, 2016) SEC 2016-03-16 — filed SEC v. Mark A. Jones (paid stock promotion, 2016) SEC 2016-03-16 — filed SEC v. Reed J. Killion, et al. (paid stock promotion, 2016) SEC 2016-03-10 — judgment SEC v. Jehu Hand and Antonio Katz (paid stock promotion, 2015) SEC 2015-12-11 — filed
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