Home / Cases / Page 9 Market manipulation case library
This library records 2,348 market manipulation enforcement actions brought by financial
regulators, each with the agency, the date, the alleged technique, the monetary relief ordered
and a link to the regulator's own filing. The whole dataset is downloadable as
JSON .
Actions 2,348
Total penalties $15.4bn
Median penalty $255k
Agencies 5
Techniques 37 All actions, newest first Action Agency Filed Technique Penalty Status 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 Caloundra man pleads guilty to insider trading (ASIC, 2022) ASIC 2022-01-28 Insider Trading — unknown 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 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 ASIC v. Courtenay House (ponzi schemes, 2021) ASIC 2021-11-30 Ponzi Schemes — filed 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 Former executive of Healthe Care Australia sentenced to 12 months imprisonment and fined $10,000 for insider trading (ASIC, 2021) ASIC 2021-11-16 Insider Trading — unknown OSC v. Michael Paul Kraft and Michael Brian Stein (insider trading, 2021) OSC 2021-11-16 Insider Trading — dismissed 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 Former Quantum Resources director convicted of insider trading and market manipulation offences (ASIC, 2021) ASIC 2021-11-09 Insider Trading , Price Manipulation — filed 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 FCA v. Colin Bermingham Individual (benchmark submission rigging, 2021) FCA 2021-09-27 Benchmark Submission Rigging , Insider Trading — filed 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 ASIC v. Dylan Rands (price manipulation, 2021) ASIC 2021-09-22 Price Manipulation — 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 (ponzi schemes, 2021) CFTC 2021-09-16 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 Melbourne man charged with insider trading (ASIC, 2021) ASIC 2021-09-14 Insider Trading — filed 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
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