Home / Cases / 2019 Market manipulation enforcement actions filed in 2019 This library records 181 market manipulation enforcement actions filed in 2019, 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 100
Total penalties $97.2m
Median penalty $1m
Largest $37.5m
Criminal parallel 42% Action Agency Filed Technique Penalty Status SEC v. Amir Waldman, et al. (insider trading, 2019) SEC 2019-12-23 Insider Trading — judgment CFTC v. Executive at Global Investment Bank (price manipulation, 2019) CFTC 2019-12-20 Price Manipulation — filed SEC v. S. Paul Kelley, et al. (reverse merger schemes, 2019) SEC 2019-12-20 Reverse Merger Schemes , Unregistered Distributions — unknown SEC v. Songjiang Wang (insider trading, 2019) SEC 2019-12-20 Insider Trading — filed SEC v. Janardhan Nellore et al. (insider trading, 2019) SEC 2019-12-18 Insider Trading — unknown SEC v. Robert A. Karmann (ponzi schemes, 2019) SEC 2019-12-18 Ponzi Schemes — settled SEC v. Sam A. Antar (ponzi schemes, 2019) SEC 2019-12-18 Ponzi Schemes — filed SEC v. John Special, Defendant, and Michael Murphy, Relief Defendant, John Kenneth Davidson (insider trading, 2019) SEC 2019-12-12 Insider Trading $1.5m judgment CFTC v. New Mexico Resident (ponzi schemes, 2019) CFTC 2019-12-10 Ponzi Schemes — filed SEC v. Christopher Collins, et al. (insider trading, 2019) SEC 2019-12-10 Insider Trading — judgment SEC v. Jeffrey O. Friedland, Global Corporate Strategies LLC., and Intiva Pharma, LLC (paid stock promotion, 2019) SEC 2019-12-09 Paid Stock Promotion $2m judgment SEC v. Lester Burroughs (ponzi schemes, 2019) SEC 2019-12-05 Ponzi Schemes — filed CFTC v. unnamed respondents (spoofing, 2019) CFTC 2019-11-25 Spoofing — unknown SEC v. Brett Pittsenbargar, et al. (ponzi schemes, 2019) SEC 2019-11-25 Ponzi Schemes — filed SEC v. Kevin B. Merrill, et al. (ponzi schemes, 2019) SEC 2019-11-25 Ponzi Schemes — filed SEC v. Bandimere and others (ponzi schemes, 2019) SEC 2019-11-22 Ponzi Schemes , Unregistered Distributions $130k settled SEC v. Richard Lee, et al. (insider trading, 2019) SEC 2019-11-21 Insider Trading $130k judgment SEC v. Ruless Pierre a/k/a Rules Pierre (ponzi schemes, 2019) SEC 2019-11-21 Ponzi Schemes — unknown SEC v. Burkholz, et al. (ponzi schemes, 2019) SEC 2019-11-20 Ponzi Schemes — unknown SEC v. James S. Kimmel (insider trading, 2019) SEC 2019-11-19 Insider Trading — unknown SEC v. Sebastian Pinto-Thomaz (insider trading, 2019) SEC 2019-11-12 Insider Trading — judgment CFTC v. Mitsubishi Corporation RtM Japan Ltd. (spoofing, 2019) CFTC 2019-11-07 Spoofing $500k judgment CFTC v. Proprietary Trading Firm (spoofing, 2019) CFTC 2019-11-07 Spoofing $24.4m judgment SEC v. David N. Osegueda, et al. (pump and dump, 2019) SEC 2019-11-06 Pump And Dump — judgment SEC v. Richard Eden, et al. and Dale Pearlman (undisclosed control blocks, 2019) SEC 2019-11-04 Undisclosed Control Blocks $125k settled SEC v. Bovorn Rungruangnavarat (insider trading, 2019) SEC 2019-10-31 Insider Trading — judgment SEC v. DFRF Enterprises LLC, et al. (ponzi schemes, 2019) SEC 2019-10-29 Ponzi Schemes $1m judgment SEC v. Benjamin Taylor, Darina Windsor and Joseph Abdul Noor El-Khouri (insider trading, 2019) SEC 2019-10-22 Insider Trading — filed SEC v. Bryan Cohen and George Nikas (insider trading, 2019) SEC 2019-10-22 Insider Trading — unknown SEC v. Joseph Bayliss and Ronald Roach (ponzi schemes, 2019) SEC 2019-10-22 Ponzi Schemes — settled SEC v. Michael J. Starkweather and Andiamo Corporation, William White (matched orders, 2019) SEC 2019-10-17 Matched Orders , Paid Stock Promotion — filed CFTC v. Nevada Company and its Owner (ponzi schemes, 2019) CFTC 2019-10-16 Ponzi Schemes — unknown CFTC v. unnamed respondents (ponzi schemes, 2019) CFTC 2019-10-15 Ponzi Schemes $12.6m judgment SEC v. Eric J. "EJ" Dalius et al. (ponzi schemes, 2019) SEC 2019-10-15 Ponzi Schemes , Undisclosed Control Blocks — unknown SEC v. Anton Senderov, et al. (boiler rooms, 2019) SEC 2019-10-10 Boiler Rooms — filed SEC v. Daniel Rivas, et al. (insider trading, 2019) SEC 2019-10-10 Insider Trading — judgment SEC v. Lek Securities Corp., et al. (layering, 2019) SEC 2019-10-10 Layering $1m judgment CFTC v. Sechovich (wash trading, 2019) CFTC 2019-10-07 Wash Trading — judgment CFTC v. Chicago Trading Firm Belvedere Trading LLC (spoofing, 2019) CFTC 2019-10-01 Spoofing $1.1m judgment CFTC v. Energy Broker and Its Owner (front running, 2019) CFTC 2019-10-01 Front Running $1.5m judgment CFTC v. Morgan Stanley Capital Group Inc. (spoofing, 2019) CFTC 2019-10-01 Spoofing $1.5m judgment CFTC v. RBC Capital Markets (wash trading, 2019) CFTC 2019-10-01 Wash Trading $5m judgment CFTC v. Trading Firm Mitsubishi International Corporation (spoofing, 2019) CFTC 2019-10-01 Spoofing $400k judgment CFTC v. Two Trading Firms (spoofing, 2019) CFTC 2019-10-01 Spoofing $1.5m judgment CFTC v. Chicago Trading Firm and Its Co-Founder (price manipulation, 2019) CFTC 2019-09-30 Price Manipulation , Spoofing $1.8m judgment SEC v. Block.One (unregistered distributions, 2019) SEC 2019-09-30 Unregistered Distributions — settled SEC v. Gil Beserglik, et al. (boiler rooms, 2019) SEC 2019-09-30 Boiler Rooms — filed SEC v. James T. Booth (ponzi schemes, 2019) SEC 2019-09-30 Ponzi Schemes — filed SEC v. iQuantifi, Inc. and Thomas F. White (unregistered distributions, 2019) SEC 2019-09-27 Unregistered Distributions $25k settled SEC v. Sean Stewart, et al. (insider trading, 2019) SEC 2019-09-26 Insider Trading — appealed SEC v. Andres Fernandez and Edison Denizard (ponzi schemes, 2019) SEC 2019-09-25 Ponzi Schemes — unknown SEC v. Chip Hackley (matched orders, 2019) SEC 2019-09-25 Matched Orders , Undisclosed Control Blocks — unknown SEC v. George Matin (matched orders, 2019) SEC 2019-09-25 Matched Orders , Paid Stock Promotion +2 — settled SEC v. Harold Minsky (matched orders, 2019) SEC 2019-09-25 Matched Orders , Paid Stock Promotion +2 — settled SEC v. James Alex Irvin (insider trading, 2019) SEC 2019-09-25 Insider Trading — settled SEC v. William M. Apostelos, et al. (ponzi schemes, 2019) SEC 2019-09-25 Ponzi Schemes , Unregistered Distributions — judgment SEC v. James Wallace Nall, III, et al. (insider trading, 2019) SEC 2019-09-24 Insider Trading $140k judgment SEC v. Benjamin Conde, Defendant, and others (boiler rooms, 2019) SEC 2019-09-23 Boiler Rooms — filed CFTC v. Trader and his Company (ponzi schemes, 2019) CFTC 2019-09-19 Ponzi Schemes — unknown SEC v. Brian Robert Sodi, et al. (newsletter scalping, 2019) SEC 2019-09-19 Newsletter Scalping , Paid Stock Promotion +1 — settled SEC v. Mediatrix Capital Inc., et al. (ponzi schemes, 2019) SEC 2019-09-18 Ponzi Schemes — filed CFTC v. Christian Trunz (spoofing, 2019) CFTC 2019-09-16 Spoofing — judgment CFTC v. Futures Trader and Industrial Firm (spoofing, 2019) CFTC 2019-09-16 Spoofing $130k judgment CFTC v. Traders at Major U.S. Bank (price manipulation, 2019) CFTC 2019-09-16 Price Manipulation , Spoofing — filed SEC v. Marvell Technology Group, Ltd. (paid stock promotion, 2019) SEC 2019-09-16 Paid Stock Promotion — settled SEC v. Vandham Securities Corp. (boiler rooms, 2019) SEC 2019-09-16 Boiler Rooms , Naked Short Selling Debate +1 — settled SEC v. Bio Defense Corporation, et al. (boiler rooms, 2019) SEC 2019-09-13 Boiler Rooms , Unregistered Distributions $37.5m judgment CFTC v. Unregistered Forex Trading Firm and Its Principal (ponzi schemes, 2019) CFTC 2019-09-09 Ponzi Schemes — filed SEC v. Abner Silva (insider trading, 2019) SEC 2019-09-06 Insider Trading — settled SEC v. Toon Goggles Inc., et al. (boiler rooms, 2019) SEC 2019-09-06 Boiler Rooms — judgment SEC v. Keith G. Daubenspeck and Geoffrey L. Homer (insider trading, 2019) SEC 2019-09-05 Insider Trading $111k judgment SEC v. Executive Financial Services, Inc. (ponzi schemes, 2019) SEC 2019-09-04 Ponzi Schemes , Unregistered Distributions — unknown SEC v. Morrie Tobin et al. (paid stock promotion, 2019) SEC 2019-08-30 Paid Stock Promotion , Reverse Merger Schemes — filed SEC v. EMS Capital LP (naked short selling debate, 2019) SEC 2019-08-27 Naked Short Selling Debate — settled SEC v. Terry Wayne Kelly and Kelly Management, LLC (ponzi schemes, 2019) SEC 2019-08-22 Ponzi Schemes — settled SEC v. ICO Rating (paid stock promotion, 2019) SEC 2019-08-20 Paid Stock Promotion — settled SEC v. TherapeuticsMD, Inc. (insider trading, 2019) SEC 2019-08-20 Insider Trading — settled SEC v. Bill Tsai (insider trading, 2019) SEC 2019-08-16 Insider Trading — filed SEC v. Jehu Hand, et al. (pump and dump, 2019) SEC 2019-08-16 Pump And Dump — judgment SEC v. Samuel Brown, et al. (paid stock promotion, 2019) SEC 2019-08-16 Paid Stock Promotion — judgment SEC v. Lorenz Erne (insider trading, 2019) SEC 2019-08-15 Insider Trading $79.6k settled SEC v. Thomas W. Avent, Jr., et al. (insider trading, 2019) SEC 2019-08-15 Insider Trading — settled CFTC v. International Enterprise (boiler rooms, 2019) CFTC 2019-08-12 Boiler Rooms — unknown SEC v. Mark E. Burns (price manipulation, 2019) SEC 2019-08-12 Price Manipulation — judgment SEC v. Tanmaya Kabra et al. (ponzi schemes, 2019) SEC 2019-08-08 Ponzi Schemes — unknown SEC v. Gregg Evan Jaclin, Esq. (shell factories, 2019) SEC 2019-08-06 Shell Factories — judgment SEC v. Imran Husain, et al. (shell factories, 2019) SEC 2019-08-06 Shell Factories — judgment CFTC v. Trader (spoofing, 2019) CFTC 2019-07-31 Spoofing $150k judgment SEC v. James W. Holden (insider trading, 2019) SEC 2019-07-31 Insider Trading — settled SEC v. Beaufort Secs. Ltd. and Kyriacou. (pump and dump, 2019) SEC 2019-07-29 Pump And Dump — judgment SEC v. Christopher Plaford (insider trading, 2019) SEC 2019-07-29 Insider Trading — judgment CFTC v. Corey D. Flaum (price manipulation, 2019) CFTC 2019-07-25 Price Manipulation , Spoofing — unknown SEC v. Balaji Sundarraj and David O'brien (insider trading, 2019) SEC 2019-07-23 Insider Trading $35k settled CFTC v. unnamed respondents (paid stock promotion, 2019) CFTC 2019-07-19 Paid Stock Promotion $2.9m judgment SEC v. Carol J. Wayland, et al. (boiler rooms, 2019) SEC 2019-07-19 Boiler Rooms , Unregistered Distributions — judgment SEC v. Garrett M. O'Rourke and Michael J. Black (pump and dump, 2019) SEC 2019-07-19 Pump And Dump — unknown SEC v. Jun Ying (insider trading, 2019) SEC 2019-07-18 Insider Trading — judgment SEC v. Mark Loman (insider trading, 2019) SEC 2019-07-18 Insider Trading — unknown SEC v. William J. Milles, Jr. and Donald J. Lutzko (ponzi schemes, 2019) SEC 2019-07-18 Ponzi Schemes — filed SEC v. Zev Saltsman, et al. (unregistered distributions, 2019) SEC 2019-07-17 Unregistered Distributions — judgment
← Previous 1 2
Next →