Market Manipulation. Search

Market manipulation enforcement actions filed in 2015

This library records 229 market manipulation enforcement actions filed in 2015, brought by CFTC, FCA, 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
29
Total penalties
$1.6m
Median penalty
$64k
Largest
$1.5m
Criminal parallel
24%
Action Agency Filed Technique Penalty Status
SEC v. Gary Eugene Patterson, Esq. (undisclosed control blocks, 2015) SEC 2015-03-03 Undisclosed Control Blocks — settled
SEC v. Gary S. Williky (insider trading, 2015) SEC 2015-03-02 Insider Trading , Newsletter Scalping +3 — settled
SEC v. Joseph A. Noel (pump and dump, 2015) SEC 2015-02-26 Pump And Dump — judgment
SEC v. Mark A. Lefkowitz, et al. (unregistered distributions, 2015) SEC 2015-02-24 Unregistered Distributions — judgment
SEC v. John A. Geringer (paid stock promotion, 2015) SEC 2015-02-23 Paid Stock Promotion , Ponzi Schemes — judgment
SEC v. Scott Zeringue and Jesse Roberts, III (insider trading, 2015) SEC 2015-02-19 Insider Trading $64k judgment
SEC v. Kristine L. Johnson, Troy A. Barnes, Work with Troy Barnes, Inc. (d/b/a) The Achieve Community, Defendants, and Achieve International, LLC, Relief Defendant (ponzi schemes, 2015) SEC 2015-02-18 Ponzi Schemes — unknown
SEC v. Steven B. Hart (insider trading, 2015) SEC 2015-02-18 Insider Trading — settled
SEC v. Caledonian Bank Ltd., et al. (unregistered distributions, 2015) SEC 2015-02-11 Unregistered Distributions — filed
SEC v. Hill and Charles L., Jr. (insider trading, 2015) SEC 2015-02-11 Insider Trading — unknown
SEC v. Mountain Share Transfer, LLC and Erik Sterling Nelson (undisclosed control blocks, 2015) SEC 2015-02-06 Undisclosed Control Blocks $10k settled
SEC v. John Gray et al. (insider trading, 2015) SEC 2015-02-05 Insider Trading — settled
SEC v. Joel J. Epstein (insider trading, 2015) SEC 2015-02-03 Insider Trading — judgment
SEC v. Phillip Cory Roberts (reverse merger schemes, 2015) SEC 2015-02-03 Reverse Merger Schemes — judgment
SEC v. Edwin Yoshihiro Fujinaga and MRI International, Inc., et al. (ponzi schemes, 2015) SEC 2015-01-30 Ponzi Schemes — judgment
SEC v. Francisco Illarramendi, et al. (ponzi schemes, 2015) SEC 2015-01-30 Ponzi Schemes — judgment
SEC v. International Capital Group, LLC (reverse merger schemes, 2015) SEC 2015-01-29 Reverse Merger Schemes , Unregistered Distributions $1.5m settled
SEC v. Loren W. Holzhueter, et al. (ponzi schemes, 2015) SEC 2015-01-29 Ponzi Schemes — unknown
SEC v. Oppenheimer & Co. Inc. (pump and dump, 2015) SEC 2015-01-27 Pump And Dump , Unregistered Distributions — filed
FCA v. David Caplin (benchmark submission rigging, 2015) FCA 2015-01-22 Benchmark Submission Rigging , Price Manipulation +1 — settled
FCA v. Jeremy Kraft (benchmark submission rigging, 2015) FCA 2015-01-22 Benchmark Submission Rigging , Cash Vs Derivatives Schemes +2 — settled
SEC v. du Pasquier & Co., Inc. (naked short selling debate, 2015) SEC 2015-01-21 Naked Short Selling Debate — settled
SEC v. Frederic Elm f/k/a Frederic Elmaleh, et al. (ponzi schemes, 2015) SEC 2015-01-21 Ponzi Schemes — judgment
SEC v. Robert A. Ramsey, CPA (insider trading, 2015) SEC 2015-01-21 Insider Trading — settled
SEC v. Charles Irizarry (undisclosed control blocks, 2015) SEC 2015-01-15 Undisclosed Control Blocks — settled
SEC v. Stuart Carnie (undisclosed control blocks, 2015) SEC 2015-01-15 Undisclosed Control Blocks — settled
SEC v. Wayne Middleton (undisclosed control blocks, 2015) SEC 2015-01-15 Undisclosed Control Blocks — settled
CFTC v. Allied Markets LLC (ponzi schemes, 2015) CFTC 2015-01-13 Ponzi Schemes — filed
SEC v. Aleksandr Milrud (layering, 2015) SEC 2015-01-13 Layering — judgment