Market manipulation enforcement actions filed in 2011
This library records 4 market manipulation enforcement actions filed in 2011, brought by 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
- 4
- Total penalties
- $0
- Median penalty
- —
- Largest
- —
- Criminal parallel
- 25%
| Action | Agency | Filed | Technique | Penalty | Status |
|---|---|---|---|---|---|
| SEC v. Peter Emrich and others (2011) | SEC | 2011-12-30 | — | judgment | |
| SEC v. Dohan + Company CPA and others (audit conduct, 2011) | SEC | 2011-06-27 | — | judgment | |
| SEC v. David W. Baldt (insider trading, 2011) | SEC | 2011-04-21 | Insider Trading | — | judgment |
| SEC v. David E. Zilkha (insider trading, 2011) | SEC | 2011-04-13 | Insider Trading | — | judgment |