Market Manipulation. Search

ASIC manipulation enforcement actions

This library records 112 market manipulation enforcement actions brought by the Australian Securities and Investments Commission.

These are the ASIC actions our ingest has classified as involving a manipulation technique. Actions that do not allege manipulation are outside this library's scope and are not recorded, so this is not a complete mirror of ASIC enforcement.

Actions
100
Total penalties
$0
Median penalty
Largest
Criminal parallel
69%
Action Agency Filed Technique Penalty Status
Fund manager Rodney Forrest re-sentenced to five years and three months’ jail following insider trading appeal (ASIC, 2026) ASIC 2026-05-22 Insider Trading unknown
ASIC v. Alexander McCulloch (insider trading, 2026) ASIC 2026-04-17 Insider Trading unknown
Former Big Un CEO pleads guilty in insider trading case (ASIC, 2026) ASIC 2026-04-09 Insider Trading unknown
Fund manager sentenced to 6 years’ jail in $3 million Platinum Asset Management insider trading case (ASIC, 2026) ASIC 2026-01-23 Insider Trading filed
Market riggers sentenced in ASX ‘pump and dump’ case (ASIC, 2025) ASIC 2025-12-22 Chat Group Pumps , Pump And Dump unknown
Victorian man sentenced in market manipulation case (ASIC, 2025) ASIC 2025-12-12 Insider Trading , Price Manipulation +1 judgment
Victorian man sentenced in Cann Group insider trading case (ASIC, 2025) ASIC 2025-10-06 Insider Trading unknown
Melbourne man sentenced in Kidman Resources insider trading case (ASIC, 2025) ASIC 2025-09-15 Insider Trading unknown
Charges laid in Platinum Asset Management insider trading case (ASIC, 2025) ASIC 2025-08-12 Insider Trading filed
ASIC v. Delta Power (price manipulation, 2025) ASIC 2025-06-30 Price Manipulation unknown
ASIC secures guilty pleas in Telegram ‘pump and dump’ action (2025) ASIC 2025-06-10 Chat Group Pumps , Pump And Dump unknown
ASIC v. Darryl Mapleson (insider trading, 2025) ASIC 2025-05-16 Insider Trading unknown
Victorian man charged over alleged market manipulation (ASIC, 2025) ASIC 2025-03-14 Price Manipulation , Wash Trading filed
Antonio Stella indicted on insider trading charges (ASIC, 2025) ASIC 2025-03-06 Insider Trading unknown
Perth accountant charged over alleged insider trading in Genesis Minerals shares (ASIC, 2024) ASIC 2024-12-23 Insider Trading filed
Third person sentenced for Courtenay House misconduct (ASIC, 2024) ASIC 2024-12-22 Ponzi Schemes filed
Former Courtenay House director sentenced to 11 years imprisonment (ASIC, 2024) ASIC 2024-09-02 Ponzi Schemes unknown
ASIC v. COFCO International Australia Pty Ltd (marking the close, 2024) ASIC 2024-07-24 Marking The Close , Price Manipulation unknown
Charges laid in alleged Telegram ‘pump and dump’ conspiracy following ASIC investigation (ASIC, 2024) ASIC 2024-07-23 Chat Group Pumps , Pump And Dump filed
ASIC v. Henry Eng Chye Heng (insider trading, 2024) ASIC 2024-04-22 Insider Trading unknown
Third person pleads guilty in relation to Courtenay House Ponzi scheme (ASIC, 2024) ASIC 2024-03-19 Ponzi Schemes filed
Court declares Westpac engaged in unconscionable conduct for interest rate swap, maximum penalty applied (ASIC, 2024) ASIC 2024-01-31 Insider Trading judgment
ASIC v. Cameron Waugh (insider trading, 2024) ASIC 2024-01-24 Insider Trading unknown
ASIC v. Henry Eng Chye Heng (price manipulation, 2023) ASIC 2023-12-04 Price Manipulation filed
ASIC v. Interactive Brokers (marking the close, 2023) ASIC 2023-09-20 Marking The Close unknown
Melbourne man charged over alleged insider trading in Kidman Resources shares (ASIC, 2023) ASIC 2023-08-24 Insider Trading filed
ASIC v. Openmarkets (wash trading, 2023) ASIC 2023-07-05 Wash Trading unknown
Former CFO of Big Un Limited charged with insider trading (ASIC, 2023) ASIC 2023-06-13 Insider Trading filed
ASIC bans former fund manager for naked short selling (2023) ASIC 2023-05-22 Naked Short Selling Debate unknown
Vaughan Bowen indicted on insider trading charges (ASIC, 2023) ASIC 2023-05-12 Insider Trading filed
Former Courtenay House contractor sentenced (ASIC, 2023) ASIC 2023-05-08 Ponzi Schemes unknown
ASIC v. Gabriel Govinda (price manipulation, 2023) ASIC 2023-05-03 Price Manipulation , Pump And Dump +1 unknown
Former Tesla Motors Australia director sentenced for insider trading (ASIC, 2023) ASIC 2023-03-20 Insider Trading unknown
ASIC brings criminal charges against third individual in relation to Courtenay House (2023) ASIC 2023-02-22 Ponzi Schemes filed
Former CEO of Big Un Limited charged with insider trading (ASIC, 2023) ASIC 2023-02-14 Insider Trading filed
ASIC v. Don George Evans (price manipulation, 2023) ASIC 2023-02-07 Price Manipulation filed
ASIC v. Vaughan Bowen (insider trading, 2022) ASIC 2022-12-23 Insider Trading filed
West Australian man arrested, charged with insider trading offences (ASIC, 2022) ASIC 2022-12-19 Insider Trading filed
Former Courtenay House contractor pleads guilty (ASIC, 2022) ASIC 2022-12-14 Ponzi Schemes unknown
Former Tesla Motors Australia director pleads guilty to insider trading (ASIC, 2022) ASIC 2022-11-16 Insider Trading unknown
Former Courtenay House director pleads guilty to conducting $180 million Ponzi scheme (ASIC, 2022) ASIC 2022-11-08 Ponzi Schemes unknown
ASIC v. Don Evans (price manipulation, 2022) ASIC 2022-08-05 Price Manipulation unknown
Former Sigma Healthcare general manager sentenced for insider trading (ASIC, 2022) ASIC 2022-06-27 Insider Trading unknown
Caloundra man sentenced for insider trading (ASIC, 2022) ASIC 2022-06-20 Insider Trading unknown
ASIC v. Benjamin Heath Cooper (price manipulation, 2022) ASIC 2022-06-10 Price Manipulation unknown
ASIC v. Gabriel Govinda (price manipulation, 2022) ASIC 2022-06-07 Price Manipulation , Pump And Dump +1 unknown
Caloundra man pleads guilty to insider trading (ASIC, 2022) ASIC 2022-01-28 Insider Trading unknown
ASIC v. Courtenay House (ponzi schemes, 2021) ASIC 2021-11-30 Ponzi Schemes filed
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
Former Quantum Resources director convicted of insider trading and market manipulation offences (ASIC, 2021) ASIC 2021-11-09 Insider Trading , Price Manipulation filed
ASIC v. Dylan Rands (price manipulation, 2021) ASIC 2021-09-22 Price Manipulation unknown
Melbourne man charged with insider trading (ASIC, 2021) ASIC 2021-09-14 Insider Trading filed
Melbourne man charged with multiple counts of market manipulation (ASIC, 2021) ASIC 2021-07-02 Price Manipulation filed
ASIC v. Avrohom Kimelman (insider trading, 2021) ASIC 2021-07-01 Insider Trading , Price Manipulation unknown
Former executive of Healthe Care Australia pleads guilty to insider trading (ASIC, 2021) ASIC 2021-05-21 Insider Trading dismissed
Insider trading charges against both the former Project Manager and the former Competent Person of ASX-listed gold explorer (ASIC, 2021) ASIC 2021-05-21 Insider Trading filed
Former CFO sentenced for market manipulation and fraud offences (ASIC, 2021) ASIC 2021-05-18 Price Manipulation filed
ASIC v. Benjamin Heath Cooper (price manipulation, 2021) ASIC 2021-03-17 Price Manipulation filed
Corporate finance director sentenced for conspiring to manipulate market (ASIC, 2021) ASIC 2021-02-10 Price Manipulation unknown
Sigma general manager charged with insider trading (ASIC, 2020) ASIC 2020-10-30 Insider Trading filed
ASIC v. Don Evans (insider trading, 2020) ASIC 2020-09-28 Insider Trading , Price Manipulation filed
Insider trader sentenced to three years imprisonment for trading in Big Un Ltd shares (ASIC, 2020) ASIC 2020-09-11 Insider Trading unknown
Corporate finance director pleads guilty to conspiring to manipulate market (ASIC, 2020) ASIC 2020-08-28 Price Manipulation unknown
Former financial adviser sentenced to six years’ imprisonment for dishonest conduct (ASIC, 2020) ASIC 2020-08-04 Ponzi Schemes unknown
ASIC v. Avrohom Kimelman (insider trading, 2020) ASIC 2020-06-23 Insider Trading filed
Former CFO charged with market manipulation and fraud offences (ASIC, 2020) ASIC 2020-06-11 Price Manipulation filed
Former CEO and director of Sirtex Medical Limited sentenced for insider trading (ASIC, 2020) ASIC 2020-06-04 Insider Trading filed
Former investment analyst pleads guilty to insider trading in securities of Big Un Limited (ASIC, 2020) ASIC 2020-02-25 Insider Trading filed
Corporate finance director charged with conspiring to manipulate market (ASIC, 2019) ASIC 2019-09-18 Price Manipulation filed
Former director convicted of market manipulation (ASIC, 2019) ASIC 2019-09-09 Price Manipulation unknown
Former CEO and director of Sirtex Medical Limited pleads guilty to insider trading (ASIC, 2019) ASIC 2019-07-03 Insider Trading filed
ASIC v. Steven Oakes (insider trading, 2019) ASIC 2019-06-25 Insider Trading unknown
Former mining executive sentenced to serve 9 months for insider trading (ASIC, 2019) ASIC 2019-02-11 Insider Trading filed
Court orders penalties and other relief against Westpac for BBSW conduct (ASIC, 2018) ASIC 2018-11-09 Price Manipulation unknown
Former CEO and director of Sirtex Medical Limited charged with insider trading (ASIC, 2018) ASIC 2018-09-26 Insider Trading filed
Former managing director of mining company found guilty of insider trading (ASIC, 2018) ASIC 2018-08-21 Insider Trading filed
Former executive charged with insider trading (ASIC, 2018) ASIC 2018-07-23 Insider Trading dismissed
ASIC v. CBA (price manipulation, 2018) ASIC 2018-07-10 Price Manipulation unknown
South Australian day trader sentenced for market manipulation (ASIC, 2018) ASIC 2018-04-10 Price Manipulation unknown
Operators of 'binary options trading boiler room' banned following conviction (ASIC, 2018) ASIC 2018-02-08 Boiler Rooms unknown
ASIC commences civil penalty proceedings against Commonwealth Bank of Australia for BBSW conduct (2018) ASIC 2018-01-30 Price Manipulation judgment
ASIC v. Interactive Brokers LLC (marking the close, 2017) ASIC 2017-12-14 Marking The Close unknown
AAT upholds ASIC bans of client advisers for trading in 'MINI' warrants (ASIC, 2017) ASIC 2017-12-11 Matched Orders appealed
Caloundra man charged for insider trading (ASIC, 2017) ASIC 2017-11-16 Insider Trading filed
Operators of 'binary options trading boiler room' convicted and sentenced (ASIC, 2017) ASIC 2017-11-09 Boiler Rooms unknown
Sydney man faces charges for market manipulation (ASIC, 2017) ASIC 2017-09-19 Price Manipulation unknown
Day trader pleads guilty to market manipulation (ASIC, 2017) ASIC 2017-08-28 Price Manipulation unknown
ASIC v. UBS Securities (front running, 2017) ASIC 2017-06-15 Front Running unknown
Former Perth managing director sentenced to 18 months' jail for insider trading (ASIC, 2017) ASIC 2017-04-28 Insider Trading filed
ASIC v. Steven Robert Noske (insider trading, 2017) ASIC 2017-04-03 Insider Trading unknown
ASIC v. Hochtief AG (insider trading, 2016) ASIC 2016-12-08 Insider Trading unknown
Former Sydney investment banker charged with procuring insider trading (ASIC, 2016) ASIC 2016-09-20 Insider Trading filed
Former director of joint venture partner charged with insider trading offences (ASIC, 2016) ASIC 2016-08-26 Insider Trading filed
Sydney man jailed on insider trading charges (ASIC, 2016) ASIC 2016-06-03 Insider Trading filed
Former Hanlong managing director sentenced to more than 8 years jail for insider trading (ASIC, 2016) ASIC 2016-03-11 Insider Trading judgment
Court reduces jail time for New South Wales man sentenced for market manipulation (ASIC, 2016) ASIC 2016-02-29 Matched Orders , Price Manipulation unknown
Perth man charged with insider trading appears in court (ASIC, 2016) ASIC 2016-02-04 Insider Trading filed
ASIC bans former financial adviser for market manipulation (2015) ASIC 2015-12-18 Price Manipulation appealed
Former Gunns Ltd chairman ordered to pay $500,000 pecuniary penalty for insider trading (ASIC, 2015) ASIC 2015-12-15 Insider Trading unknown
Sydney man pleads guilty to insider trading (ASIC, 2015) ASIC 2015-11-09 Insider Trading unknown