Home / Cases / 2023 / Page 2 Market manipulation enforcement actions filed in 2023 This library records 202 market manipulation enforcement actions filed in 2023, 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 $77.1m
Median penalty $414k
Largest $45m
Criminal parallel 27% Action Agency Filed Technique Penalty Status SEC v. Chadd L. Evans (free riding and parking, 2023) SEC 2023-07-19 Free Riding And Parking $10k judgment SEC v. James P. Anglim (boiler rooms, 2023) SEC 2023-07-17 Boiler Rooms — judgment SEC v. Nirdosh Jagota, Ph.D. (insider trading, 2023) SEC 2023-07-17 Insider Trading — settled SEC v. Joseph Michael Todd, et al. (ponzi schemes, 2023) SEC 2023-07-13 Ponzi Schemes — settled CFTC v. Florida (price manipulation, 2023) CFTC 2023-07-12 Price Manipulation $11.7m judgment SEC v. Nayeem Choudhury and Dream Venture Capital Group, LLC (paid stock promotion, 2023) SEC 2023-07-12 Paid Stock Promotion , Ponzi Schemes — unknown SEC v. RSE Markets, Inc. (matched orders, 2023) SEC 2023-07-12 Matched Orders — settled SEC v. Costello et al. (paid stock promotion, 2023) SEC 2023-07-11 Paid Stock Promotion — judgment SEC v. Legend Venture Partners LLC (boiler rooms, 2023) SEC 2023-07-11 Boiler Rooms — filed SEC v. Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nikola Faukovic, and Catherine DeFrancesco (pump and dump, 2023) SEC 2023-07-07 Pump And Dump — judgment CFTC v. Unregistered Michigan Commodity Pool Operator and its President (ponzi schemes, 2023) CFTC 2023-07-06 Ponzi Schemes — unknown SEC v. Empires Consulting Corp., et al. (paid stock promotion, 2023) SEC 2023-07-06 Paid Stock Promotion $6m judgment SEC v. Bruce Garelick, Michael Shvartsman, Rocket One Capital LLC, and Gerald Shvartsman (insider trading, 2023) SEC 2023-06-30 Insider Trading — unknown SEC v. Damon R. Durante (undisclosed control blocks, 2023) SEC 2023-06-30 Undisclosed Control Blocks — unknown SEC v. Jordan Meadow and Steven Teixeira (insider trading, 2023) SEC 2023-06-30 Insider Trading — unknown SEC v. Juan Roman (insider trading, 2023) SEC 2023-06-30 Insider Trading $97.8k judgment CFTC v. unnamed respondents (insider trading, 2023) CFTC 2023-06-29 Insider Trading — unknown SEC v. Ashutosh Bhardwaj (insider trading, 2023) SEC 2023-06-29 Insider Trading — settled SEC v. Wilson Baston (A/K/A Chanon Gordon) (ponzi schemes, 2023) SEC 2023-06-28 Ponzi Schemes — filed SEC v. Vuuzle Media Corp., Vuuzle Media Corp. Limited, Ronald Shane Flynn, and Richard Marchitto (boiler rooms, 2023) SEC 2023-06-27 Boiler Rooms — judgment SEC v. Royal Bengal Logistics, Inc. and Sanjay Singh (ponzi schemes, 2023) SEC 2023-06-26 Ponzi Schemes — filed CFTC v. unnamed respondents (wash trading, 2023) CFTC 2023-06-20 Wash Trading — unknown SEC v. Hal D. Mintz and Sabby Management LLC (naked short selling debate, 2023) SEC 2023-06-14 Naked Short Selling Debate — filed SEC v. Josh S. Verne (ponzi schemes, 2023) SEC 2023-06-14 Ponzi Schemes — unknown CFTC v. unnamed respondents (cash vs derivatives schemes, 2023) CFTC 2023-06-12 Cash Vs Derivatives Schemes — unknown SEC v. Chimene Van Gundy and others (ponzi schemes, 2023) SEC 2023-05-31 Ponzi Schemes — judgment SEC v. RTW Investments, LP (undisclosed control blocks, 2023) SEC 2023-05-30 Undisclosed Control Blocks — settled SEC v. Eleazar Kauderer, GPL Ventures LLC, et al. (paid stock promotion, 2023) SEC 2023-05-24 Paid Stock Promotion — judgment SEC v. Integrated National Resources, Inc. dba WeedGenics, Rolf Max Hirschmann aka "Max Bergmann," and Patrick Earl Williams (ponzi schemes, 2023) SEC 2023-05-23 Ponzi Schemes — unknown SEC v. Thomas Carter Ronk (paid stock promotion, 2023) SEC 2023-05-22 Paid Stock Promotion — judgment SEC v. Sam A. Antar (ponzi schemes, 2023) SEC 2023-05-19 Ponzi Schemes — judgment SEC v. Brian Raymond Callahan et al. (ponzi schemes, 2023) SEC 2023-05-17 Ponzi Schemes — judgment SEC v. Green Stream Holdings, Inc. (unregistered distributions, 2023) SEC 2023-05-16 Unregistered Distributions — settled SEC v. LiveWire Ergogenics, Inc. (unregistered distributions, 2023) SEC 2023-05-16 Unregistered Distributions — settled SEC v. Principal Solar, Inc. (unregistered distributions, 2023) SEC 2023-05-16 Unregistered Distributions — settled SEC v. SFLMaven Corp. (unregistered distributions, 2023) SEC 2023-05-16 Unregistered Distributions — settled SEC v. Verde Bio Holdings, Inc. (unregistered distributions, 2023) SEC 2023-05-16 Unregistered Distributions — settled CFTC v. HSBC Bank USA (spoofing, 2023) CFTC 2023-05-12 Spoofing $45m judgment SEC v. Alexander J. Dillon (undisclosed control blocks, 2023) SEC 2023-05-12 Undisclosed Control Blocks — judgment SEC v. Cosmin I. Panait (undisclosed control blocks, 2023) SEC 2023-05-12 Undisclosed Control Blocks — judgment SEC v. Discala et al. (price manipulation, 2023) SEC 2023-05-12 Price Manipulation — judgment SEC v. Joshua David Nicholas, et al. (paid stock promotion, 2023) SEC 2023-05-12 Paid Stock Promotion — judgment SEC v. Joshua Sason, et al. (Corrected) (unregistered distributions, 2023) SEC 2023-05-12 Unregistered Distributions — dismissed SEC v. Todd Dobberfuhl (insider trading, 2023) SEC 2023-05-12 Insider Trading — settled CFTC v. Commodity Pool Operator Tyche Asset Management LLC and its Controlling Principal (ponzi schemes, 2023) CFTC 2023-05-11 Ponzi Schemes — filed SEC v. Charles T. Lawrence, Jr., et al. (ponzi schemes, 2023) SEC 2023-05-11 Ponzi Schemes — filed SEC v. Cedric Dewayne Griffin (ponzi schemes, 2023) SEC 2023-05-04 Ponzi Schemes — unknown SEC v. Brett M. Bartlett and others (ponzi schemes, 2023) SEC 2023-05-03 Ponzi Schemes — filed SEC v. Carlos Eduardo Reyes Alvarez (wash trading, 2023) SEC 2023-05-01 Wash Trading — judgment SEC v. Neil Bergquist; Up and Global SEZC; Coinme, Inc. (paid stock promotion, 2023) SEC 2023-04-28 Paid Stock Promotion , Unregistered Distributions $150k settled CFTC v. Precious Metals Dealers and Their Owner (boiler rooms, 2023) CFTC 2023-04-25 Boiler Rooms — filed SEC v. Betterment LLC (wash trading, 2023) SEC 2023-04-18 Wash Trading $9m settled SEC v. No Respondents (insider trading, 2023) SEC 2023-04-18 Insider Trading — judgment CFTC v. New York Resident (ponzi schemes, 2023) CFTC 2023-04-11 Ponzi Schemes — filed SEC v. Matthew Nicosia, William Reininger, Fabrizio Di Carlo, and Ronald Touchard (boiler rooms, 2023) SEC 2023-04-10 Boiler Rooms — judgment SEC v. Darren L. Ofsink (reverse merger schemes, 2023) SEC 2023-04-04 Reverse Merger Schemes , Unregistered Distributions — judgment SEC v. Michael J. French, et al. (ponzi schemes, 2023) SEC 2023-04-04 Ponzi Schemes — filed SEC v. Michael T. Morris (price manipulation, 2023) SEC 2023-04-04 Price Manipulation — judgment SEC v. Chatham Asset Management, LLC and Anthony Melchiorre (benchmark submission rigging, 2023) SEC 2023-04-03 Benchmark Submission Rigging $600k settled SEC v. DiScala et al. (reverse merger schemes, 2023) SEC 2023-04-03 Reverse Merger Schemes — judgment SEC v. Carnovale, et al. (paid stock promotion, 2023) SEC 2023-03-31 Paid Stock Promotion — judgment SEC v. Sean Wygovsky and Christopher Matthaei (front running, 2023) SEC 2023-03-31 Front Running , Insider Trading — settled SEC v. William Andrew Stack, Esq. (undisclosed control blocks, 2023) SEC 2023-03-31 Undisclosed Control Blocks , Unregistered Distributions $333k judgment SEC v. Surage Kamal Roshan Perera and Janues Capital Incorporated (ponzi schemes, 2023) SEC 2023-03-29 Ponzi Schemes — filed CFTC v. Chinese National (insider trading, 2023) CFTC 2023-03-28 Insider Trading — filed SEC v. Aaron Cain McKnight, et al. (ponzi schemes, 2023) SEC 2023-03-27 Ponzi Schemes — judgment SEC v. Justin Sun et al. (paid stock promotion, 2023) SEC 2023-03-24 Paid Stock Promotion , Unregistered Distributions +1 — settled SEC v. Aliaune Damala Badara Akon Thiam (paid stock promotion, 2023) SEC 2023-03-22 Paid Stock Promotion — settled SEC v. Jake Joseph Paul (paid stock promotion, 2023) SEC 2023-03-22 Paid Stock Promotion — settled SEC v. Lindsay Dee Lohan (paid stock promotion, 2023) SEC 2023-03-22 Paid Stock Promotion — settled SEC v. Michele Anne Mason (paid stock promotion, 2023) SEC 2023-03-22 Paid Stock Promotion — settled SEC v. Miles Parks McCollum (paid stock promotion, 2023) SEC 2023-03-22 Paid Stock Promotion — settled SEC v. Shaffer Chimere Smith (paid stock promotion, 2023) SEC 2023-03-22 Paid Stock Promotion — settled SEC v. Brian Robert Sodi, et al. (newsletter scalping, 2023) SEC 2023-03-14 Newsletter Scalping , Pump And Dump — judgment SEC v. Mahmoud Ali Abdelkader (insider trading, 2023) SEC 2023-03-09 Insider Trading $81.6k judgment CFTC v. Coquest Inc. (insider trading, 2023) CFTC 2023-03-08 Insider Trading $2.5m settled SEC v. Terren S. Peizer and Acuitas Group Holdings, LLC (insider trading, 2023) SEC 2023-03-08 Insider Trading — filed SEC v. BKCoin Management, LLC, et al. (ponzi schemes, 2023) SEC 2023-03-06 Ponzi Schemes — unknown SEC v. Adam S. Kaplan and Daniel E. Kaplan (ponzi schemes, 2023) SEC 2023-03-03 Ponzi Schemes — filed SEC v. Cambria Capital, LLC (unregistered distributions, 2023) SEC 2023-03-02 Unregistered Distributions $100k settled SEC v. Stephen Keith Woodard, Sr. (ponzi schemes, 2023) SEC 2023-03-01 Ponzi Schemes — filed SEC v. Shawn E. Good (ponzi schemes, 2023) SEC 2023-02-27 Ponzi Schemes — settled SEC v. Energy & Environmental Investments, LLC and others (ponzi schemes, 2023) SEC 2023-02-24 Ponzi Schemes $1m judgment CFTC v. Several People and Companies (ponzi schemes, 2023) CFTC 2023-02-23 Ponzi Schemes — filed SEC v. James Andrew Stiles, Jr. & Edward Gray Stiles, Jr. (insider trading, 2023) SEC 2023-02-23 Insider Trading — filed SEC v. Kevin A. Van de Grift and Gil Friedman (insider trading, 2023) SEC 2023-02-23 Insider Trading — filed SEC v. Paul Anthony Pierce (paid stock promotion, 2023) SEC 2023-02-17 Paid Stock Promotion — settled CFTC v. California-based Company and Its CEO (ponzi schemes, 2023) CFTC 2023-02-16 Ponzi Schemes — filed SEC v. Milan Patel (false rumors, 2023) SEC 2023-02-16 False Rumors — filed CFTC v. Three Puerto Rico Residents and Their Companies (ponzi schemes, 2023) CFTC 2023-02-13 Ponzi Schemes — filed SEC v. Olga Kuprina (insider trading, 2023) SEC 2023-02-08 Insider Trading , Spoofing — filed SEC v. Randy Herschaft (insider trading, 2023) SEC 2023-01-30 Insider Trading $35.2k settled SEC v. Donna Matuizek (insider trading, 2023) SEC 2023-01-27 Insider Trading — settled SEC v. Austin D. Ellison-Meade (ponzi schemes, 2023) SEC 2023-01-24 Ponzi Schemes — filed SEC v. Charlie Abujudeh (paid stock promotion, 2023) SEC 2023-01-23 Paid Stock Promotion $414k judgment SEC v. David S.Y. Chang (unregistered distributions, 2023) SEC 2023-01-23 Unregistered Distributions — settled SEC v. Caroline Ellison and Zixiao "Gary" Wang (paid stock promotion, 2023) SEC 2023-01-19 Paid Stock Promotion — settled SEC v. Nexo Capital Inc. (unregistered distributions, 2023) SEC 2023-01-19 Unregistered Distributions — settled SEC v. Samuel Bankman-Fried (paid stock promotion, 2023) SEC 2023-01-19 Paid Stock Promotion — filed SEC v. Covington & Burling LLP (insider trading, 2023) SEC 2023-01-12 Insider Trading — settled
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