Home / Cases / 2021 Market manipulation enforcement actions filed in 2021 This library records 142 market manipulation enforcement actions filed in 2021, 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 $11.6m
Median penalty $326k
Largest $2.5m
Criminal parallel 29% Action Agency Filed Technique Penalty Status CFTC v. New Jersey-Based Entities and Individuals (ponzi schemes, 2021) CFTC 2021-12-28 Ponzi Schemes — unknown CFTC v. Dubai Traders and Their Firms (wash trading, 2021) CFTC 2021-12-27 Wash Trading $100k judgment SEC v. Marco "Sully" Perez and Permian Basin Proppants, Inc. (ponzi schemes, 2021) SEC 2021-12-22 Ponzi Schemes — filed SEC v. Daniel V.T. Catenacci (insider trading, 2021) SEC 2021-12-20 Insider Trading — filed SEC v. J.P. Morgan Securities LLC (chat group pumps, 2021) SEC 2021-12-17 Chat Group Pumps — filed SEC v. Wedbush Securities Inc. (undisclosed control blocks, 2021) SEC 2021-12-15 Unregistered Distributions $1m settled CFTC v. Puerto Rico Resident and His Firm (wash trading, 2021) CFTC 2021-12-10 Wash Trading — settled SEC v. Mohammed Pithapurwala, Ammar Kutiyanawalla, and Alifiya Kutiyanawalla (insider trading, 2021) SEC 2021-12-09 Insider Trading — filed CFTC v. Banoczay Jr. (spoofing, 2021) CFTC 2021-12-08 Spoofing $750k settled SEC v. Auzins (unregistered distributions, 2021) SEC 2021-12-03 Unregistered Distributions — filed SEC v. Michael J. Starkweather and Andiamo Corporation (fake press releases, 2021) SEC 2021-12-03 Fake Press Releases , Paid Stock Promotion — judgment SEC v. Carnovale, et al. (paid stock promotion, 2021) SEC 2021-12-02 Paid Stock Promotion — filed SEC v. Robert C. Dobkin, Cynthia Braun, Michael Fiorillo and Jeffrey S. Gregersen (insider trading, 2021) SEC 2021-12-01 Insider Trading — unknown SEC v. Marc Demane Debih (insider trading, 2021) SEC 2021-11-30 Insider Trading — settled SEC v. Guy Scott Griffithe and Robert William Russell (ponzi schemes, 2021) SEC 2021-11-24 Ponzi Schemes — dismissed SEC v. Carol E. Cohen and Austin Rotter (insider trading, 2021) SEC 2021-11-23 Insider Trading $91.3k judgment SEC v. Tomer Feingold and Dov Malnik (insider trading, 2021) SEC 2021-11-23 Insider Trading — judgment SEC v. ProPetro Holding Corp. and Dale Redman (insider trading, 2021) SEC 2021-11-22 Insider Trading — settled SEC v. MIO Partners, Inc. (insider trading, 2021) SEC 2021-11-19 Insider Trading — settled SEC v. William E. Gericke, Esq. (insider trading, 2021) SEC 2021-11-19 Insider Trading — settled CFTC v. Daniel Fingerhut (wash trading, 2021) CFTC 2021-11-17 Wash Trading $600k judgment SEC v. William Wright, CPA (insider trading, 2021) SEC 2021-11-12 Insider Trading — judgment SEC v. Douglas A. Roth (insider trading, 2021) SEC 2021-11-10 Insider Trading — unknown SEC v. Gerald Fauth (insider trading, 2021) SEC 2021-11-10 Insider Trading — unknown SEC v. David P. Godwin, et al. (wash trading, 2021) SEC 2021-11-04 Wash Trading — judgment SEC v. Mark A. Miller, Saeid Jaberian and Christopher J. Rajkaran (pump and dump, 2021) SEC 2021-11-01 Pump And Dump — filed SEC v. BNZ One Capital, LLC, et al. (paid stock promotion, 2021) SEC 2021-10-29 Paid Stock Promotion , Ponzi Schemes — filed CFTC v. New Jersey Resident and His Company (ponzi schemes, 2021) CFTC 2021-10-27 Ponzi Schemes — settled SEC v. Ann M. Vick (ponzi schemes, 2021) SEC 2021-10-26 Ponzi Schemes — settled SEC v. Denis Georgiyevich Sotnikov, et al. (spoofing, 2021) SEC 2021-10-26 Spoofing $2.5m judgment CFTC v. El Paso Resident and His Firm (ponzi schemes, 2021) CFTC 2021-10-20 Ponzi Schemes — filed CFTC v. Craig L. Clavin (ponzi schemes, 2021) CFTC 2021-10-12 Ponzi Schemes $370k judgment CFTC v. North Carolina Companies and Their Owners (ponzi schemes, 2021) CFTC 2021-10-08 Ponzi Schemes — unknown SEC v. Steven Pagartanis (ponzi schemes, 2021) SEC 2021-10-07 Ponzi Schemes — judgment SEC v. Keith A. Wakefield (wash trading, 2021) SEC 2021-10-01 Wash Trading — settled SEC v. Adam Heimann (paid stock promotion, 2021) SEC 2021-09-30 Paid Stock Promotion — settled SEC v. Gregory L. Ciccone, et al. (ponzi schemes, 2021) SEC 2021-09-29 Ponzi Schemes — unknown SEC v. Sky Group, et al. (ponzi schemes, 2021) SEC 2021-09-29 Ponzi Schemes — filed SEC v. Jaeson Birnbaum (ponzi schemes, 2021) SEC 2021-09-28 Ponzi Schemes — filed SEC v. Tradition Securities and Derivatives, LLC (naked short selling debate, 2021) SEC 2021-09-28 Naked Short Selling Debate — settled SEC v. Suyun Gu, et al. (wash trading, 2021) SEC 2021-09-27 Wash Trading — judgment SEC v. Timothy Page et al., Daniel Cattlin and William R. Shupe (boiler rooms, 2021) SEC 2021-09-27 Boiler Rooms — filed SEC v. Xuepeng Xie (layering, 2021) SEC 2021-09-27 Layering , Spoofing $600k settled SEC v. Frantz Simeon and First Black Enterprises, Inc. (paid stock promotion, 2021) SEC 2021-09-23 Paid Stock Promotion , Ponzi Schemes — unknown SEC v. James Wallace Nall, III, Michael Hale Smith, Michael Dwaine Smith, Robert Walter Smith and Walter Vice Tutt (insider trading, 2021) SEC 2021-09-21 Insider Trading $221k judgment CFTC v. Former Hawaii Resident (benchmark submission rigging, 2021) CFTC 2021-09-16 Benchmark Submission Rigging , Ponzi Schemes — filed SEC v. Jason Dodd Bullard, Angela Romero-Bullard, and Bullard Enterprises LLC (ponzi schemes, 2021) SEC 2021-09-16 Ponzi Schemes — unknown CFTC v. Ronald Montano (wash trading, 2021) CFTC 2021-09-15 Wash Trading $1.7m judgment SEC v. Charles Parkinson Lloyd (reverse merger schemes, 2021) SEC 2021-09-15 Reverse Merger Schemes , Unregistered Distributions — settled SEC v. Simon Piers Thurlow, et al. (reverse merger schemes, 2021) SEC 2021-09-15 Reverse Merger Schemes — settled CFTC v. Texas Resident and others (ponzi schemes, 2021) CFTC 2021-09-14 Ponzi Schemes , Wash Trading — filed SEC v. App Annie Inc. and Bertrand Schmitt (insider trading, 2021) SEC 2021-09-14 Insider Trading — settled SEC v. Mark Ahn (insider trading, 2021) SEC 2021-09-10 Insider Trading — judgment SEC v. Todd Elliott Hitt et al. (ponzi schemes, 2021) SEC 2021-09-10 Ponzi Schemes — dismissed SEC v. Rivetz Corp., Rivetz International SEZC, and Steven K. Sprague (paid stock promotion, 2021) SEC 2021-09-08 Paid Stock Promotion — filed SEC v. Cavco Industries, Inc., Joseph Stegmayer, and Daniel Urness, Robert Scott Parkhurst (insider trading, 2021) SEC 2021-09-03 Insider Trading $1.5m judgment SEC v. Alexander Kon (paid stock promotion, 2021) SEC 2021-09-01 Paid Stock Promotion — unknown SEC v. Zeeshawn S. Zia (boiler rooms, 2021) SEC 2021-09-01 Boiler Rooms — filed SEC v. Steven Fitzgerald Brown (ponzi schemes, 2021) SEC 2021-08-31 Ponzi Schemes — judgment SEC v. Beth Mueller (insider trading, 2021) SEC 2021-08-30 Insider Trading — settled SEC v. Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (spoofing, 2021) SEC 2021-08-30 Spoofing — settled SEC v. Cetera Advisor Networks LLC (spoofing, 2021) SEC 2021-08-30 Spoofing — settled SEC v. Donald G. Blakstad, et al. (insider trading, 2021) SEC 2021-08-30 Insider Trading — unknown SEC v. KMS Financial Services, Inc. (spoofing, 2021) SEC 2021-08-30 Spoofing — settled SEC v. Roger E. Dobrovodsky (unregistered distributions, 2021) SEC 2021-08-30 Unregistered Distributions $50k settled SEC v. Scott and Lisa Chasin (insider trading, 2021) SEC 2021-08-30 Insider Trading — settled CFTC v. Glen Galemmo (ponzi schemes, 2021) CFTC 2021-08-27 Ponzi Schemes — settled SEC v. William B. McHenry Jr. and First South Investments, LLC (ponzi schemes, 2021) SEC 2021-08-27 Ponzi Schemes — filed SEC v. John J. Woods, Livingston Group Asset Management Company d/b/a Southport Capital, and Horizon Private Equity, III, LLC (ponzi schemes, 2021) SEC 2021-08-25 Ponzi Schemes — unknown SEC v. Sung Mo Jun, Joon Jun, Junwoo Chon, Ayden Lee, and Jae Hyeon Bae (insider trading, 2021) SEC 2021-08-25 Insider Trading — judgment SEC v. Denise Grevas (insider trading, 2021) SEC 2021-08-18 Insider Trading — filed SEC v. William Scott Lawler, Esq. (matched orders, 2021) SEC 2021-08-18 Matched Orders , Wash Trading — judgment SEC v. Matthew Panuwat (insider trading, 2021) SEC 2021-08-17 Insider Trading — filed SEC v. Murchinson Ltd. and Marc Bistricer and Paul Zogala (naked short selling debate, 2021) SEC 2021-08-17 Naked Short Selling Debate — settled SEC v. Lawrence B. Adams (paid stock promotion, 2021) SEC 2021-08-16 Paid Stock Promotion — filed SEC v. Ahmad Haris Tajyar and Eric Leo Marsoubian (marking the close, 2021) SEC 2021-08-13 Marking The Close , Matched Orders +1 $220k settled SEC v. Martin Adrian Ruiz et al. (ponzi schemes, 2021) SEC 2021-08-13 Ponzi Schemes — unknown SEC v. MJ Capital Funding, LLC, et al, (ponzi schemes, 2021) SEC 2021-08-13 Ponzi Schemes — unknown SEC v. Zorayr Mikael Manukyan-Zakaryan (insider trading, 2021) SEC 2021-08-10 Insider Trading — settled SEC v. Leonard R. Barr (insider trading, 2021) SEC 2021-08-09 Insider Trading — judgment SEC v. Blockchain Credit Partners d/b/a DeFi Money Market and Gregory Keough and Derek Acree (undisclosed control blocks, 2021) SEC 2021-08-06 Undisclosed Control Blocks — settled SEC v. Virland A. Johnson (paid stock promotion, 2021) SEC 2021-08-03 Paid Stock Promotion — filed SEC v. George Heckler (ponzi schemes, 2021) SEC 2021-07-28 Ponzi Schemes — filed SEC v. Alan L. Alexander (insider trading, 2021) SEC 2021-07-23 Insider Trading — settled SEC v. Charlie Abujudeh (paid stock promotion, 2021) SEC 2021-07-22 Paid Stock Promotion , Pump And Dump — unknown SEC v. Outdoor Capital Partners, LLC (ponzi schemes, 2021) SEC 2021-07-22 Ponzi Schemes — unknown SEC v. Profit Connect Wealth Services, Inc., Joy I. Kovar, and Brent C. Kovar (ponzi schemes, 2021) SEC 2021-07-20 Ponzi Schemes — unknown SEC v. Blotics Ltd. f/d/b/a Coinschedule Ltd. (paid stock promotion, 2021) SEC 2021-07-14 Paid Stock Promotion — settled SEC v. Chancey and Paul L. Jr., CPA (wash trading, 2021) SEC 2021-07-13 Wash Trading $1.5m judgment SEC v. Jonathan Mimun a/k/a Jonathan Maymon and Ronn BenHarav (boiler rooms, 2021) SEC 2021-07-13 Boiler Rooms — unknown SEC v. Contrarian Press, LLC, Scott S. Fraser, and Nathan Yeung (paid stock promotion, 2021) SEC 2021-07-01 Paid Stock Promotion — dismissed SEC v. Mounir N. Gad (insider trading, 2021) SEC 2021-06-30 Insider Trading $51.7k settled SEC v. Nathan E. Guido (insider trading, 2021) SEC 2021-06-30 Insider Trading — settled SEC v. Reuben Robert Goldman and Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research (paid stock promotion, 2021) SEC 2021-06-30 Paid Stock Promotion — settled SEC v. Ron Phillips (matched orders, 2021) SEC 2021-06-30 Matched Orders $30k judgment SEC v. Matthew J. Skinner, et al. (ponzi schemes, 2021) SEC 2021-06-29 Ponzi Schemes — filed SEC v. Nathaniel Brown, Benjamin Wylam, Naveen Sood, Marcus Bannon, Matthew Rauch, and Naresh Ramaiya (insider trading, 2021) SEC 2021-06-25 Insider Trading $281k judgment SEC v. Wang (insider trading, 2021) SEC 2021-06-25 Insider Trading $50k judgment SEC v. Mark A. Miller (fake press releases, 2021) SEC 2021-06-21 Fake Press Releases , Pump And Dump — unknown CFTC v. Former Energy Broker and Its Owner (wash trading, 2021) CFTC 2021-06-15 Wash Trading — judgment
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