Market Manipulation. Search

Market manipulation enforcement actions filed in 2022

This library records 174 market manipulation enforcement actions filed in 2022, 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
74
Total penalties
$1.2bn
Median penalty
$193k
Largest
$1.2bn
Criminal parallel
42%
Action Agency Filed Technique Penalty Status
SEC v. Hugh Lee Sweeney (insider trading, 2022) SEC 2022-07-07 Insider Trading — settled
SEC v. John W. Pauciulo, Esq. (undisclosed control blocks, 2022) SEC 2022-07-07 Undisclosed Control Blocks $490k settled
SEC v. Matthew Wade Beasley, et al. (ponzi schemes, 2022) SEC 2022-07-01 Ponzi Schemes — filed
SEC v. Prosperity Consultants, LLC (ponzi schemes, 2022) SEC 2022-07-01 Ponzi Schemes — filed
SEC v. Daniel J. Moscatiello (insider trading, 2022) SEC 2022-06-29 Insider Trading — judgment
SEC v. Eric D. Lachow (ponzi schemes, 2022) SEC 2022-06-24 Ponzi Schemes — filed
SEC v. Steven J. Sheinfeld (insider trading, 2022) SEC 2022-06-21 Insider Trading — judgment
SEC v. Lek Securities Corporation, et. al. (layering, 2022) SEC 2022-06-17 Layering , Spoofing — appealed
SEC v. David Roda and Andrew Larkin (insider trading, 2022) SEC 2022-06-15 Insider Trading — judgment
SEC v. Michael Mooney, Britt Wright, and Penny Flippen (ponzi schemes, 2022) SEC 2022-06-14 Ponzi Schemes — filed
SEC v. Lijuan "Sandra" Hao, CPA (insider trading, 2022) SEC 2022-06-09 Insider Trading $47.9k settled
SEC v. Patrick Churchville, et al. (ponzi schemes, 2022) SEC 2022-06-09 Ponzi Schemes $225k judgment
SEC v. Puneet Dikshit (insider trading, 2022) SEC 2022-06-09 Insider Trading — judgment
SEC v. Jae Cheol Oh (reverse merger schemes, 2022) SEC 2022-06-08 Reverse Merger Schemes — settled
SEC v. Stubos, et al. (paid stock promotion, 2022) SEC 2022-06-08 Paid Stock Promotion — filed
SEC v. Mohammed Pithapurwala, Ammar Kutiyanawalla, and Alifiya Kutiyanawalla (insider trading, 2022) SEC 2022-06-01 Insider Trading $523k judgment
SEC v. Hugues Pierre Joublin (insider trading, 2022) SEC 2022-05-27 Insider Trading — judgment
SEC v. Andrew M, Middlebrooks, et al (ponzi schemes, 2022) SEC 2022-05-25 Ponzi Schemes — filed
CFTC v. Glencore (price manipulation, 2022) CFTC 2022-05-24 Price Manipulation $1.2bn judgment
SEC v. Frank B. Glassner (insider trading, 2022) SEC 2022-05-24 Insider Trading — filed
CFTC v. Oregon and others (ponzi schemes, 2022) CFTC 2022-05-19 Ponzi Schemes — unknown
SEC v. Sohrab (Sam") Sharma (paid stock promotion, 2022) SEC 2022-05-19 Paid Stock Promotion — judgment
SEC v. Wynn Charlebois et al. (ponzi schemes, 2022) SEC 2022-05-19 Ponzi Schemes — unknown
SEC v. Jillian Sidoti (undisclosed control blocks, 2022) SEC 2022-05-17 Undisclosed Control Blocks $22k judgment
CFTC v. Long Island Resident and His Firm (ponzi schemes, 2022) CFTC 2022-05-13 Ponzi Schemes — unknown
SEC v. Brenda Smith, et al. (paid stock promotion, 2022) SEC 2022-05-11 Paid Stock Promotion — filed
CFTC v. California Man and His Companies (ponzi schemes, 2022) CFTC 2022-05-10 Ponzi Schemes — filed
SEC v. Manuel A. Romero (ponzi schemes, 2022) SEC 2022-05-10 Ponzi Schemes — judgment
SEC v. Sepehr Sarshar (insider trading, 2022) SEC 2022-05-09 Insider Trading — judgment
SEC v. TKO Farms, Inc., et al. (undisclosed control blocks, 2022) SEC 2022-05-09 Undisclosed Control Blocks — filed
SEC v. Perini Capital, LLC and Michael D. Perini (undisclosed control blocks, 2022) SEC 2022-05-06 Undisclosed Control Blocks — settled
SEC v. Derek J. Slattery and TradeSmart Software RIC Corporation (ponzi schemes, 2022) SEC 2022-05-05 Ponzi Schemes — unknown
SEC v. Mark Marchi (ponzi schemes, 2022) SEC 2022-05-05 Ponzi Schemes — settled
SEC v. BTIG, LLC (naked short selling debate, 2022) SEC 2022-05-03 Naked Short Selling Debate — judgment
SEC v. Balasubrahmanya Kuchibhotla (insider trading, 2022) SEC 2022-05-02 Insider Trading — settled
SEC v. Maplelane Capital LLC (naked short selling debate, 2022) SEC 2022-05-02 Naked Short Selling Debate — settled
SEC v. American Equities, Inc., American Eagle Mortgage Management, LLC, Ross C. Miles and Maureen T. Wile (ponzi schemes, 2022) SEC 2022-04-27 Ponzi Schemes — settled
SEC v. Wealth Plus, Inc. (unregistered distributions, 2022) SEC 2022-04-27 Unregistered Distributions — settled
SEC v. Bernard L. Compton (insider trading, 2022) SEC 2022-04-22 Insider Trading — judgment
SEC v. Moshe Strugano and Rinat Gazit (insider trading, 2022) SEC 2022-04-20 Insider Trading — filed
SEC v. Domenic Calabrigo et al. (pump and dump, 2022) SEC 2022-04-19 Pump And Dump , Undisclosed Control Blocks — filed
SEC v. The Legal Funding Group of Georgia, LLC and Benjamin S. Eichholz (unregistered distributions, 2022) SEC 2022-04-19 Unregistered Distributions — settled
SEC v. Carl Iberger and Timothy Iberger (insider trading, 2022) SEC 2022-04-15 Insider Trading $69.2k judgment
SEC v. Damon Elliott, et al. (ponzi schemes, 2022) SEC 2022-04-15 Ponzi Schemes — judgment
SEC v. Dean Shah et al. (paid stock promotion, 2022) SEC 2022-04-15 Paid Stock Promotion , Undisclosed Control Blocks — filed
CFTC v. Tennessee Trader and Two Entities (cash vs derivatives schemes, 2022) CFTC 2022-04-14 Cash Vs Derivatives Schemes , Spoofing — unknown
SEC v. Mark Loman (insider trading, 2022) SEC 2022-04-14 Insider Trading — judgment
SEC v. Ronald Bauer et al. (pump and dump, 2022) SEC 2022-04-14 Pump And Dump — filed
SEC v. Justin Wallace Herman, Anthony Michael Baker, Ian Horn, and Island Capital Inc (boiler rooms, 2022) SEC 2022-04-12 Boiler Rooms $10k judgment
SEC v. Anthony Salandra (false rumors, 2022) SEC 2022-04-11 False Rumors — settled
SEC v. Julie Minuskin, Joshua Stoll, Dennis DiRicco, Tom Casey and Golden Genesis, Inc. (ponzi schemes, 2022) SEC 2022-04-11 Ponzi Schemes — settled
CFTC v. Danish (ponzi schemes, 2022) CFTC 2022-04-08 Ponzi Schemes $4.7m judgment
CFTC v. James Vorley (spoofing, 2022) CFTC 2022-04-07 Spoofing $150k judgment
SEC v. Lloyd D. Reed (insider trading, 2022) SEC 2022-04-04 Insider Trading — settled
CFTC v. unnamed respondents (ponzi schemes, 2022) CFTC 2022-03-29 Ponzi Schemes — settled
SEC v. Hari Prasad Sure, et al., Civ. Act. (insider trading, 2022) SEC 2022-03-29 Insider Trading — unknown
CFTC v. unnamed respondents (ponzi schemes, 2022) CFTC 2022-03-22 Ponzi Schemes $150k judgment
SEC v. Francis Biller, et al. (pump and dump, 2022) SEC 2022-03-17 Pump And Dump , Spoofing — unknown
CFTC v. Four Operators (ponzi schemes, 2022) CFTC 2022-03-08 Ponzi Schemes — filed
SEC v. Joseph Orazio DeGregorio (ponzi schemes, 2022) SEC 2022-03-02 Ponzi Schemes — settled
SEC v. Mark Alan Bourgeois (undisclosed control blocks, 2022) SEC 2022-03-02 Undisclosed Control Blocks — filed
SEC v. Andrew T.E. Coldicutt (pump and dump, 2022) SEC 2022-03-01 Pump And Dump — unknown
SEC v. John-Michael Havrilla (insider trading, 2022) SEC 2022-02-22 Insider Trading $160k judgment
SEC v. Global Wholehealth Partners Corp., Charles Strongo, Brian M. Volmer, Joshua Yafa, Jamie M. Yafa, and Empire Associates, Inc. (paid stock promotion, 2022) SEC 2022-02-17 Paid Stock Promotion , Pump And Dump — filed
SEC v. Nathaniel Brown, Benjamin Wylam, Naveen Sood, Marcus Bannon, Matthew Rauch, And Naresh Ramaiya (insider trading, 2022) SEC 2022-02-11 Insider Trading — judgment
SEC v. Robert Lenard Booth, Michael D'Urso, Daniel T. Wellcome Jr., Alyssa D'Urso, Antonella Chiaramonte, and Jay Garnock) (boiler rooms, 2022) SEC 2022-02-09 Boiler Rooms — unknown
SEC v. Michael M. Beck, a/k/a @BigMoneyMike6, and Relief Defendant Helen P. Robinson (newsletter scalping, 2022) SEC 2022-02-07 Newsletter Scalping — filed
SEC v. SeeThruEquity, LLC, Ajay Tandon, and Amit Tandon (newsletter scalping, 2022) SEC 2022-01-28 Newsletter Scalping $250k judgment
SEC v. Milrud (layering, 2022) SEC 2022-01-26 Layering — judgment
CFTC v. William S. Evans III (ponzi schemes, 2022) CFTC 2022-01-19 Ponzi Schemes $17m judgment
SEC v. David P. Forte, Gregory P. Manning and John D. Younis (insider trading, 2022) SEC 2022-01-19 Insider Trading — unknown
SEC v. Douglas A. Roth (insider trading, 2022) SEC 2022-01-13 Insider Trading — judgment
SEC v. David S. Sargent and Christopher M. Klundt (insider trading, 2022) SEC 2022-01-11 Insider Trading — unknown
SEC v. Tanmaya Kabra et al. (ponzi schemes, 2022) SEC 2022-01-06 Ponzi Schemes — judgment