Home / Cases / 2015 Market manipulation enforcement actions filed in 2015 This library records 229 market manipulation enforcement actions filed in 2015, brought by ASIC, CFTC, OSC, 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 $42.7m
Median penalty $290k
Largest $27m
Criminal parallel 31% Action Agency Filed Technique Penalty Status SEC v. Bonan Huang, et al. (insider trading, 2015) SEC 2015-12-23 Insider Trading — judgment SEC v. Michael J. Ling (marking the close, 2015) SEC 2015-12-23 Marking The Close , Matched Orders $100k judgment SEC v. Danny E. Carpenter (insider trading, 2015) SEC 2015-12-22 Insider Trading — settled SEC v. Diane D. Dalmy, Esq. (reverse merger schemes, 2015) SEC 2015-12-22 Reverse Merger Schemes , Unregistered Distributions — filed SEC v. Morgan Stanley Investment Management Inc. and Sheila Huang (matched orders, 2015) SEC 2015-12-22 Matched Orders $125k settled ASIC bans former financial adviser for market manipulation (2015) ASIC 2015-12-18 Price Manipulation — appealed SEC v. Eric E. Shear (insider trading, 2015) SEC 2015-12-18 Insider Trading — settled SEC v. Edward Laborio and Jonathan Fraiman (boiler rooms, 2015) SEC 2015-12-16 Boiler Rooms $4m judgment SEC v. Oxford City Football Club, Inc. and Thomas Anthony Guerriero (boiler rooms, 2015) SEC 2015-12-16 Boiler Rooms — filed Former Gunns Ltd chairman ordered to pay $500,000 pecuniary penalty for insider trading (ASIC, 2015) ASIC 2015-12-15 Insider Trading — unknown SEC v. Jessica Gilbertson (reverse merger schemes, 2015) SEC 2015-12-15 Reverse Merger Schemes — unknown SEC v. Jehu Hand and Antonio Katz (paid stock promotion, 2015) SEC 2015-12-11 Paid Stock Promotion , Pump And Dump — filed OSC v. Zhen (Steven) Pang and Oasis World Trading Inc. (price manipulation, 2015) OSC 2015-12-10 Price Manipulation , Spoofing — settled CFTC v. Total Gas (price manipulation, 2015) CFTC 2015-12-08 Price Manipulation $3.6m judgment SEC v. Jeffrey K. Skilling et al. (insider trading, 2015) SEC 2015-12-08 Insider Trading — judgment SEC v. Trudy R. Gilmond (ponzi schemes, 2015) SEC 2015-12-08 Ponzi Schemes — unknown SEC v. National Note of Utah and Wayne L. Palmer (ponzi schemes, 2015) SEC 2015-12-04 Ponzi Schemes $1.1m unknown CFTC v. Arya Motazedi (front running, 2015) CFTC 2015-12-03 Front Running , Insider Trading $100k judgment SEC v. Homero Joshua Garza (ponzi schemes, 2015) SEC 2015-12-01 Ponzi Schemes — filed SEC v. James A. Torchia et al. (ponzi schemes, 2015) SEC 2015-12-01 Ponzi Schemes — settled SEC v. Marwood Group Research, LLC (insider trading, 2015) SEC 2015-11-24 Insider Trading — unknown SEC v. Steven C. Watson (insider trading, 2015) SEC 2015-11-17 Insider Trading — settled SEC v. Zhichen Zhou and Yannan Liu (insider trading, 2015) SEC 2015-11-10 Insider Trading — judgment Sydney man pleads guilty to insider trading (ASIC, 2015) ASIC 2015-11-09 Insider Trading — unknown CFTC v. Navinder Sarao (benchmark submission rigging, 2015) CFTC 2015-11-07 Benchmark Submission Rigging , Ponzi Schemes +3 $1.6m judgment SEC v. Abraxas J. Discala, Marc E. Wexler, Matthew A. Bell, Craig L. Josephberg, and Ira Shapiro (reverse merger schemes, 2015) SEC 2015-11-04 Reverse Merger Schemes , Unregistered Distributions — judgment OSC v. Argosy Securities Inc. and Keybase Financial Group Inc. (naked short selling debate, 2015) OSC 2015-11-03 Naked Short Selling Debate — appealed SEC v. Fenway Partners, LLC (undisclosed control blocks, 2015) SEC 2015-11-03 Undisclosed Control Blocks — settled SEC v. Vlad B. Spivak, et al. (insider trading, 2015) SEC 2015-11-02 Insider Trading — settled SEC v. William M. Apostelos, et al. (ponzi schemes, 2015) SEC 2015-10-30 Ponzi Schemes — unknown SEC v. Diverse Financial Corp., et al. (ponzi schemes, 2015) SEC 2015-10-29 Ponzi Schemes — unknown SEC v. Mary Beth Knight and Rebecca Norton (insider trading, 2015) SEC 2015-10-28 Insider Trading — judgment SEC v. Summit Trust Company, et al. (ponzi schemes, 2015) SEC 2015-10-27 Ponzi Schemes — judgment SEC v. James N. Fry (ponzi schemes, 2015) SEC 2015-10-26 Ponzi Schemes — settled SEC v. Joseph Catapano and Michael Piervinanzi (paid stock promotion, 2015) SEC 2015-10-26 Paid Stock Promotion $44k judgment SEC v. Vladimir Eydelman (insider trading, 2015) SEC 2015-10-23 Insider Trading $1.2m judgment CFTC v. John R. Bullar (ponzi schemes, 2015) CFTC 2015-10-21 Ponzi Schemes — unknown CFTC v. Watson (ponzi schemes, 2015) CFTC 2015-10-21 Ponzi Schemes $27m judgment CFTC v. Chicago Trader Igor B. Oystacher & His Proprietary Trading Company (spoofing, 2015) CFTC 2015-10-20 Spoofing — unknown SEC v. Andrew Farmer, et al. (paid stock promotion, 2015) SEC 2015-10-09 Paid Stock Promotion , Pump And Dump — unknown SEC v. Francis J. van Steenberge and Nicolas Zanen (insider trading, 2015) SEC 2015-10-09 Insider Trading — judgment SEC v. Allen Ross Smith (unregistered distributions, 2015) SEC 2015-10-08 Unregistered Distributions $43.3k judgment SEC v. Briargate Trading, LLC and and Eric Oscher (spoofing, 2015) SEC 2015-10-08 Spoofing — judgment SEC v. Garfield Taylor, Inc., et al. (ponzi schemes, 2015) SEC 2015-10-08 Ponzi Schemes $150k judgment SEC v. Wolverine Trading, LLC and and Wolverine Asset Management, LLC (insider trading, 2015) SEC 2015-10-08 Insider Trading , Naked Short Selling Debate — settled SEC v. Oscar Wu (insider trading, 2015) SEC 2015-10-07 Insider Trading — settled SEC v. Commodore Financial Corp., et al. (boiler rooms, 2015) SEC 2015-10-01 Boiler Rooms , Unregistered Distributions — unknown SEC v. Saleem Khan et al. (insider trading, 2015) SEC 2015-10-01 Insider Trading — judgment SEC v. Spencer Pharmaceutical Inc., Jean-François Amyot, Maximilien Arella, Ian Morrice, IAB Media Inc., and Hilbroy Advisory Inc. (pump and dump, 2015) SEC 2015-10-01 Pump And Dump — judgment SEC v. Charles Riel III and REinvest LLC (ponzi schemes, 2015) SEC 2015-09-30 Ponzi Schemes — filed SEC v. David P. Godwin and Anthony G. Roth (wash trading, 2015) SEC 2015-09-30 Wash Trading — judgment SEC v. James Goodland and Securus Wealth Management, LLC (marking the close, 2015) SEC 2015-09-30 Marking The Close , Reverse Merger Schemes — settled SEC v. Christopher Mire (insider trading, 2015) SEC 2015-09-29 Insider Trading — settled SEC v. Eddie R. Leblanc (insider trading, 2015) SEC 2015-09-29 Insider Trading — settled SEC v. Robert L. Spallina, et al. (insider trading, 2015) SEC 2015-09-28 Insider Trading $32.9k settled NSW man jailed for market manipulation (ASIC, 2015) ASIC 2015-09-25 Matched Orders , Price Manipulation — unknown CFTC v. Cargill de México SA De CV (wash trading, 2015) CFTC 2015-09-25 Wash Trading $500k judgment CFTC v. TeraExchange LLC (wash trading, 2015) CFTC 2015-09-25 Wash Trading — judgment SEC v. iShopNoMarkup.com, Inc. (unregistered distributions, 2015) SEC 2015-09-25 Unregistered Distributions $330k judgment SEC v. Morando Berrettini, et al. (insider trading, 2015) SEC 2015-09-25 Insider Trading — unknown SEC v. Jason W. Galanis (matched orders, 2015) SEC 2015-09-24 Matched Orders — judgment SEC v. Richard Condon, et al. (insider trading, 2015) SEC 2015-09-24 Insider Trading — filed ASIC v. D J Carmichael Pty Limited (price manipulation, 2015) ASIC 2015-09-23 Price Manipulation — unknown SEC v. Idle Media, Inc. and and Marcus Frasier (reverse merger schemes, 2015) SEC 2015-09-22 Reverse Merger Schemes — settled SEC v. Eric McPhail, et al. (insider trading, 2015) SEC 2015-09-21 Insider Trading — settled SEC v. Frank Morelli III and Louis Buonocore (paid stock promotion, 2015) SEC 2015-09-21 Paid Stock Promotion — filed SEC v. Christopher D. Whetman, CPA (pump and dump, 2015) SEC 2015-09-18 Pump And Dump , Reverse Merger Schemes — dismissed SEC v. Brian David Hall (naked short selling debate, 2015) SEC 2015-09-17 Naked Short Selling Debate — settled SEC v. George Ivakhnik and The Mobile Star Corporation (fake press releases, 2015) SEC 2015-09-17 Fake Press Releases — filed SEC v. Rudolfo DeLaSierra (naked short selling debate, 2015) SEC 2015-09-17 Naked Short Selling Debate — settled SEC v. 8000, Inc., Jonathan E. Bryant, Thomas J. Kelly, and Carl N. Duncan, Esq. (fake press releases, 2015) SEC 2015-09-16 Fake Press Releases — judgment SEC v. Jason Mogler, et al. (ponzi schemes, 2015) SEC 2015-09-15 Ponzi Schemes — filed SEC v. Marco Babini et al. (paid stock promotion, 2015) SEC 2015-09-14 Paid Stock Promotion , Pump And Dump — judgment SEC v. Joseph Paul Zada (ponzi schemes, 2015) SEC 2015-09-11 Ponzi Schemes — appealed SEC v. Steven M. Dombrowski, CPA (insider trading, 2015) SEC 2015-09-11 Insider Trading — unknown SEC v. Benjamin Wey, et al. (reverse merger schemes, 2015) SEC 2015-09-10 Reverse Merger Schemes — dismissed SEC v. Maher F. Kara, et al. (insider trading, 2015) SEC 2015-09-10 Insider Trading — judgment SEC v. BDO USA, LLP (undisclosed control blocks, 2015) SEC 2015-09-09 Undisclosed Control Blocks — judgment SEC v. Bennett Group Financial Services, LLC Bennett and Dawn J. (churning, 2015) SEC 2015-09-09 Churning , Paid Stock Promotion — unknown SEC v. John McEnery III et al. (insider trading, 2015) SEC 2015-09-09 Insider Trading $64.2k settled SEC v. Sean C. Henaghan, CPA (undisclosed control blocks, 2015) SEC 2015-09-09 Undisclosed Control Blocks — judgment SEC v. Timothy M. Roberts, Terrance F. Taylor, and Craig Constantinou (unregistered distributions, 2015) SEC 2015-09-09 Unregistered Distributions — filed SEC v. Caribbean Pacific Marketing, Inc. (reverse merger schemes, 2015) SEC 2015-09-08 Reverse Merger Schemes — settled SEC v. Ditto Holdings, Inc. (Now Known as Sovestech and Inc.) (unregistered distributions, 2015) SEC 2015-09-08 Unregistered Distributions — settled SEC v. Marc S. Mandel (unregistered distributions, 2015) SEC 2015-09-08 Unregistered Distributions — settled SEC v. Donald E. Robar (insider trading, 2015) SEC 2015-09-04 Insider Trading — settled SEC v. Robert A. Hanner (insider trading, 2015) SEC 2015-09-04 Insider Trading — settled SEC v. Kevin McDonnell (reverse merger schemes, 2015) SEC 2015-09-03 Reverse Merger Schemes — settled SEC v. Mackensen & Company, Inc. and and Warren J. Mackensen (undisclosed control blocks, 2015) SEC 2015-09-03 Undisclosed Control Blocks — settled Former Hanlong managing director pleads guilty to insider trading (ASIC, 2015) ASIC 2015-09-02 Insider Trading — filed SEC v. Eric Aronson, et al. (ponzi schemes, 2015) SEC 2015-09-02 Ponzi Schemes $250k judgment SEC v. Johnson Lambert LLP and Bradley Scott Diericx, CPA (ponzi schemes, 2015) SEC 2015-08-31 Ponzi Schemes — settled CFTC v. Ron Earl McCullough (ponzi schemes, 2015) CFTC 2015-08-29 Ponzi Schemes $2.5m judgment SEC v. Ashish Aggarwal, et al. (insider trading, 2015) SEC 2015-08-25 Insider Trading — judgment OSC v. Paul Camillo Dinardo (ponzi schemes, 2015) OSC 2015-08-20 Ponzi Schemes — filed SEC v. Moshe Yehuda Dunoff (boiler rooms, 2015) SEC 2015-08-20 Boiler Rooms — filed SEC v. Citigroup Global Markets, Inc. (insider trading, 2015) SEC 2015-08-19 Insider Trading — settled SEC v. Bradford D. Szczecinski (undisclosed control blocks, 2015) SEC 2015-08-17 Undisclosed Control Blocks — settled SEC v. Citigroup Alternative Investments LLC and Citigroup Global Markets Inc. (benchmark submission rigging, 2015) SEC 2015-08-17 Benchmark Submission Rigging — settled SEC v. Tamara S. Kraus (undisclosed control blocks, 2015) SEC 2015-08-17 Undisclosed Control Blocks — settled
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