Home / Cases / 2021 / Page 2 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 42
Total penalties $51.4m
Median penalty $450k
Largest $32m
Criminal parallel 43% Action Agency Filed Technique Penalty Status SEC v. Robert Joseph Armijo, et al. (ponzi schemes, 2021) SEC 2021-06-15 Ponzi Schemes — filed CFTC v. Zhao (spoofing, 2021) CFTC 2021-06-11 Spoofing — settled SEC v. The Estate of Kenneth J. Casey (ponzi schemes, 2021) SEC 2021-06-02 Ponzi Schemes — filed CFTC v. Chicago Commodity Pool Operators (paid stock promotion, 2021) CFTC 2021-05-27 Paid Stock Promotion $150k judgment SEC v. Mohammed A. Bari (insider trading, 2021) SEC 2021-05-27 Insider Trading — settled SEC v. Kai Christian Petersen, et al. (boiler rooms, 2021) SEC 2021-05-25 Boiler Rooms $100k judgment SEC v. BTIG, LLC (naked short selling debate, 2021) SEC 2021-05-20 Naked Short Selling Debate — filed SEC v. LFS Funding Limited Partnership, et al. (undisclosed control blocks, 2021) SEC 2021-05-20 Undisclosed Control Blocks — settled CFTC v. Connecticut Firm (wash trading, 2021) CFTC 2021-05-18 Wash Trading $500k judgment CFTC v. Cipolla (ponzi schemes, 2021) CFTC 2021-05-14 Ponzi Schemes $5m judgment SEC v. Peter J. Decaprio (undisclosed control blocks, 2021) SEC 2021-05-10 Undisclosed Control Blocks — settled SEC v. David N. Osegueda, et al. (pump and dump, 2021) SEC 2021-05-07 Pump And Dump $400k judgment CFTC v. Aaron Michael Scott (ponzi schemes, 2021) CFTC 2021-04-27 Ponzi Schemes $1.3m judgment SEC v. Jonathan P. Maroney, Et. Al (ponzi schemes, 2021) SEC 2021-04-27 Ponzi Schemes — unknown SEC v. Gregory Altieri (ponzi schemes, 2021) SEC 2021-04-23 Ponzi Schemes — judgment SEC v. Amit Tandon, Esq. (paid stock promotion, 2021) SEC 2021-04-22 Paid Stock Promotion — judgment SEC v. Ubong Uboh and Tyler Crockett (pump and dump, 2021) SEC 2021-04-22 Pump And Dump — filed SEC v. Edward J. Kosinski (insider trading, 2021) SEC 2021-04-21 Insider Trading — judgment SEC v. Morrie Tobin et al. (paid stock promotion, 2021) SEC 2021-04-19 Paid Stock Promotion — judgment CFTC v. unnamed respondents (ponzi schemes, 2021) CFTC 2021-04-08 Ponzi Schemes $32m judgment CFTC v. Douglas Lien (ponzi schemes, 2021) CFTC 2021-04-08 Ponzi Schemes $5.2m judgment SEC v. Zachary J. Horwitz, et al. (ponzi schemes, 2021) SEC 2021-04-08 Ponzi Schemes — unknown CFTC v. Former Fuel Oil Trader (price manipulation, 2021) CFTC 2021-03-25 Price Manipulation $100k judgment SEC v. Jason P. Wootten, et al. (ponzi schemes, 2021) SEC 2021-03-23 Ponzi Schemes — filed CFTC v. Coinbase Inc. (exchange wash trading, 2021) CFTC 2021-03-19 Exchange Wash Trading , Matched Orders +1 $6.5m judgment SEC v. Seth P. Levine (ponzi schemes, 2021) SEC 2021-03-19 Ponzi Schemes — settled SEC v. Shawn C. Cutting (paid stock promotion, 2021) SEC 2021-03-11 Paid Stock Promotion , Ponzi Schemes — unknown CFTC v. Two Individuals (paid stock promotion, 2021) CFTC 2021-03-05 Paid Stock Promotion , Pump And Dump — filed SEC v. AT&T, Inc., et al. (insider trading, 2021) SEC 2021-03-05 Insider Trading — filed SEC v. EarthSource Minerals International, LLC et al. (ponzi schemes, 2021) SEC 2021-03-02 Ponzi Schemes $125k settled SEC v. Bruce Schoengood, Medifirst Solutions, Inc. and Joshua Tyrell (paid stock promotion, 2021) SEC 2021-02-24 Paid Stock Promotion — filed CFTC v. Eibschutz (insider trading, 2021) CFTC 2021-02-23 Insider Trading $75k settled SEC v. James T. Booth (ponzi schemes, 2021) SEC 2021-02-22 Ponzi Schemes — judgment SEC v. Isaiah L. Goodman (ponzi schemes, 2021) SEC 2021-02-09 Ponzi Schemes — filed SEC v. Rosedale Asset Management, LLC and Princeton Advisory Wealth Management, LLC (undisclosed control blocks, 2021) SEC 2021-02-05 Undisclosed Control Blocks — settled SEC v. CR Intrinsic Investors, et al. (insider trading, 2021) SEC 2021-02-03 Insider Trading — judgment SEC v. Vuuzle Media Corp., Ronald Shane Flynn, and Richard Marchitto (boiler rooms, 2021) SEC 2021-01-27 Boiler Rooms — filed CFTC v. New York Man (ponzi schemes, 2021) CFTC 2021-01-26 Ponzi Schemes — filed SEC v. William Andrew Stack, Esq. (undisclosed control blocks, 2021) SEC 2021-01-21 Undisclosed Control Blocks , Unregistered Distributions — filed SEC v. Abhi Batra a/k/a Abhimanyu Batra (free riding and parking, 2021) SEC 2021-01-19 Free Riding And Parking — unknown SEC v. Jacob C. Glick (ponzi schemes, 2021) SEC 2021-01-19 Ponzi Schemes — filed SEC v. Advance Practice Advisors, LLC and Paul C. Spitzer (insider trading, 2021) SEC 2021-01-14 Insider Trading — settled
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