Home / Cases / 2017 / Page 3 Market manipulation enforcement actions filed in 2017 This library records 210 market manipulation enforcement actions filed in 2017, brought by CFTC, SEC.
Counts by year reflect when an action was filed or announced, not when the underlying conduct occurred — those are often years apart. Compare across years with care: a single multi-defendant sweep can dominate a year's count.
Actions 10
Total penalties $25.1m
Median penalty $40k
Largest $25m
Criminal parallel 30% Action Agency Filed Technique Penalty Status CFTC v. Citigroup Global Markets Inc. (cash vs derivatives schemes, 2017) CFTC 2017-01-19 Cash Vs Derivatives Schemes , Spoofing $25m judgment SEC v. Cort Poyner et al. (paid stock promotion, 2017) SEC 2017-01-19 Paid Stock Promotion — judgment SEC v. Charles A. Bennett (ponzi schemes, 2017) SEC 2017-01-18 Ponzi Schemes — unknown SEC v. Eytan Bar (insider trading, 2017) SEC 2017-01-18 Insider Trading — settled SEC v. MDC Partners Inc. (insider trading, 2017) SEC 2017-01-18 Insider Trading — settled SEC v. Orthofix International N.V.; Jeffrey Hammel and CPA; Brian McCollum; Kenneth Mack and Bryan McMillan (naked short selling debate, 2017) SEC 2017-01-18 Naked Short Selling Debate $40k settled SEC v. Robin G. Charlet, Steven W. Sparks, Gregory J. Tuthill and Kirk D. Porter (unregistered distributions, 2017) SEC 2017-01-13 Unregistered Distributions $25k judgment SEC v. Gregory W. Gray, Jr., et al. (ponzi schemes, 2017) SEC 2017-01-12 Ponzi Schemes — judgment SEC v. ITG Inc. (naked short selling debate, 2017) SEC 2017-01-12 Naked Short Selling Debate — settled SEC v. Douglas Furth (matched orders, 2017) SEC 2017-01-10 Matched Orders — judgment
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