Home / Cases / 2017 Market manipulation enforcement actions filed in 2017 This library records 228 market manipulation enforcement actions filed in 2017, brought by ASIC, CFTC, FCA, 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 $56.4m
Median penalty $156k
Largest $26.4m
Criminal parallel 32% Action Agency Filed Technique Penalty Status SEC v. Robert H. Shapiro, Woodbridge Group of Companies, LLC, et al. (ponzi schemes, 2017) SEC 2017-12-21 Ponzi Schemes — filed SEC v. Stephen C. Peters, VisionQuest Wealth Management, LLC, VisionQuest Capital, LLC, and VQ Wealth, LLC (ponzi schemes, 2017) SEC 2017-12-21 Ponzi Schemes — filed SEC v. Ronald A. Fossum, Jr. and Alonzo R. Cahoon (unregistered distributions, 2017) SEC 2017-12-20 Unregistered Distributions — filed SEC v. Jason A. Wallace (boiler rooms, 2017) SEC 2017-12-18 Boiler Rooms — judgment ASIC v. Interactive Brokers LLC (marking the close, 2017) ASIC 2017-12-14 Marking The Close — unknown SEC v. Kenneth Peer (insider trading, 2017) SEC 2017-12-14 Insider Trading $10.2k settled SEC v. Lanny Brown, et al. (insider trading, 2017) SEC 2017-12-14 Insider Trading — judgment AAT upholds ASIC bans of client advisers for trading in 'MINI' warrants (ASIC, 2017) ASIC 2017-12-11 Matched Orders — appealed OSC v. Aurora Cannabis Inc. and others (insider trading, 2017) OSC 2017-12-08 Insider Trading — judgment SEC v. Stephen J. Leonard (insider trading, 2017) SEC 2017-12-07 Insider Trading $107k judgment SEC v. Palladino and James M. (paid stock promotion, 2017) SEC 2017-11-29 Paid Stock Promotion — unknown CFTC v. unnamed respondents (spoofing, 2017) CFTC 2017-11-22 Spoofing , Wash Trading — unknown FCA v. Paul Axel Walter Individual (price manipulation, 2017) FCA 2017-11-22 Price Manipulation — judgment SEC v. Capital Financial Partners, LLC et al. (ponzi schemes, 2017) SEC 2017-11-17 Ponzi Schemes — judgment SEC v. Nathan Whitney Drage, Esq. (reverse merger schemes, 2017) SEC 2017-11-17 Reverse Merger Schemes — unknown Caloundra man charged for insider trading (ASIC, 2017) ASIC 2017-11-16 Insider Trading — filed SEC v. Pedro Fort Berbel et al. (ponzi schemes, 2017) SEC 2017-11-16 Ponzi Schemes — filed CFTC v. INTL FCStone Financial Inc. and FCStone Merchant Services LLC (wash trading, 2017) CFTC 2017-11-14 Wash Trading $280k judgment CFTC v. Statoil ASA (price manipulation, 2017) CFTC 2017-11-14 Price Manipulation , Settlement Price Manipulation $4m judgment SEC v. Susan L. Ellerin and Edward D. Blumstein (insider trading, 2017) SEC 2017-11-14 Insider Trading — settled SEC v. The End of the Rainbow Partners, L.L.C., and others (ponzi schemes, 2017) SEC 2017-11-14 Ponzi Schemes — unknown Operators of 'binary options trading boiler room' convicted and sentenced (ASIC, 2017) ASIC 2017-11-09 Boiler Rooms — unknown SEC v. Ferrone and Stephen D. (paid stock promotion, 2017) SEC 2017-11-08 Paid Stock Promotion $120k judgment SEC v. James P. Kolf (ponzi schemes, 2017) SEC 2017-11-03 Ponzi Schemes — settled SEC v. Joseph Meli, et al. and Craig H. Carton, et al. (ponzi schemes, 2017) SEC 2017-10-31 Ponzi Schemes — unknown SEC v. Andalusian Resorts and others (fake press releases, 2017) SEC 2017-10-30 Fake Press Releases , Paid Stock Promotion +2 — filed SEC v. Artemus Mayor (paid stock promotion, 2017) SEC 2017-10-26 Paid Stock Promotion , Pump And Dump — settled SEC v. Canterbury Consulting, Inc. (churning, 2017) SEC 2017-10-26 Churning — settled SEC v. Harold J. Swart, Jr. (undisclosed control blocks, 2017) SEC 2017-10-26 Undisclosed Control Blocks — judgment SEC v. J. Patrick O'Neill and Robert H. Bray (insider trading, 2017) SEC 2017-10-25 Insider Trading — appealed SEC v. Mayank Gupta, CPA (insider trading, 2017) SEC 2017-10-19 Insider Trading — judgment SEC v. James M. Schneider (pump and dump, 2017) SEC 2017-10-11 Pump And Dump , Reverse Merger Schemes — filed CFTC v. Arab Global Commodities DMCC (spoofing, 2017) CFTC 2017-10-10 Spoofing $300k judgment SEC v. Marc A. Celello (ponzi schemes, 2017) SEC 2017-10-06 Ponzi Schemes — filed SEC v. Homero Joshua Garza (ponzi schemes, 2017) SEC 2017-10-04 Ponzi Schemes — judgment SEC v. Arun J. Singh (insider trading, 2017) SEC 2017-10-03 Insider Trading $25k judgment SEC v. Jammin' Java Corp. et al. (pump and dump, 2017) SEC 2017-10-03 Pump And Dump $26.4m appealed SEC v. Martin T. Cantu (fake press releases, 2017) SEC 2017-10-02 Fake Press Releases , Pump And Dump — unknown CFTC v. California Residents Hasan Sarwar a/k/a Alexander Sarwar (ponzi schemes, 2017) CFTC 2017-09-30 Ponzi Schemes — filed CFTC v. Logista Advisors LLC (spoofing, 2017) CFTC 2017-09-30 Spoofing $250k judgment CFTC v. Connecticut-Based Tillage Commodities (spoofing, 2017) CFTC 2017-09-29 Spoofing $150k judgment SEC v. Avaneesh Krishnamoorthy (insider trading, 2017) SEC 2017-09-29 Insider Trading — judgment SEC v. Jason McDiarmid, et al. (boiler rooms, 2017) SEC 2017-09-29 Boiler Rooms , Pump And Dump — unknown SEC v. Micheal A. Skerry (newsletter scalping, 2017) SEC 2017-09-29 Newsletter Scalping , Paid Stock Promotion +1 $100k judgment SEC v. David Howard Welch, et al (boiler rooms, 2017) SEC 2017-09-28 Boiler Rooms — settled SEC v. Fengjiu Zhang and Xianli Kong (insider trading, 2017) SEC 2017-09-28 Insider Trading — settled SEC v. Laurence M. Torres (churning, 2017) SEC 2017-09-28 Churning — settled SEC v. Naris Chamroonrat, et al. (ponzi schemes, 2017) SEC 2017-09-28 Ponzi Schemes — judgment SEC v. Sean Stewart et al. (insider trading, 2017) SEC 2017-09-28 Insider Trading — judgment SEC v. Success Holding Group International, Inc. (unregistered distributions, 2017) SEC 2017-09-28 Unregistered Distributions $100k settled SEC v. Jason Napodano, Bilal Basrai and Bryce Stirton (insider trading, 2017) SEC 2017-09-26 Insider Trading $240k settled SEC v. LBMZ Securities, Inc. (insider trading, 2017) SEC 2017-09-26 Insider Trading — settled CFTC v. Nicholas Gelfman and Gelfman Blueprint (ponzi schemes, 2017) CFTC 2017-09-22 Ponzi Schemes — filed OSC v. Patrick Jelf Caruso and others (insider trading, 2017) OSC 2017-09-22 Insider Trading — dismissed SEC v. Moses Investment Company, LLC and Michael S. Moses (paid stock promotion, 2017) SEC 2017-09-22 Paid Stock Promotion — filed SEC v. Joel P. Zingerman (insider trading, 2017) SEC 2017-09-21 Insider Trading $56.6k settled SEC v. Justin Samuel Cary (insider trading, 2017) SEC 2017-09-21 Insider Trading — filed SEC v. Peter C. Chang (insider trading, 2017) SEC 2017-09-20 Insider Trading — filed Sydney man faces charges for market manipulation (ASIC, 2017) ASIC 2017-09-19 Price Manipulation — unknown SEC v. Francisco Illarramendi, et al. (ponzi schemes, 2017) SEC 2017-09-19 Ponzi Schemes — judgment SEC v. Lawrence F. Cluff, Jr., Roger E. Shaoul, and James Shaoul (insider trading, 2017) SEC 2017-09-13 Insider Trading — judgment SEC v. Mayank Gupta, et al. (insider trading, 2017) SEC 2017-09-13 Insider Trading $23.8k settled SEC v. Potomac Asset Management Company, Inc. and Goodloe E. Byron, Jr. (undisclosed control blocks, 2017) SEC 2017-09-11 Undisclosed Control Blocks — settled SEC v. Brett Kennedy, et al. (insider trading, 2017) SEC 2017-09-07 Insider Trading — settled SEC v. Craig H. Carton, et al. (ponzi schemes, 2017) SEC 2017-09-06 Ponzi Schemes — filed SEC v. Scott Newsholme (ponzi schemes, 2017) SEC 2017-09-06 Ponzi Schemes — filed SEC v. Alan M. Stark, Esq. (insider trading, 2017) SEC 2017-09-05 Insider Trading — settled SEC v. Richard P. Cedrone, Steven R. Ferris and George R. Thoreson (marking the close, 2017) SEC 2017-09-05 Marking The Close $75k judgment SEC v. Evan R. Kita, et al. (insider trading, 2017) SEC 2017-08-31 Insider Trading — filed SEC v. Tennstar Energy, Inc., et al. (boiler rooms, 2017) SEC 2017-08-30 Boiler Rooms — filed OSC v. Khalid Walid Jawhari (insider trading, 2017) OSC 2017-08-30 Insider Trading — unknown SEC v. Lek Securities Corp. et al. (layering, 2017) SEC 2017-08-29 Layering , Undisclosed Control Blocks — unknown Day trader pleads guilty to market manipulation (ASIC, 2017) ASIC 2017-08-28 Price Manipulation — unknown SEC v. Dawn J. Bennett and DJB Holdings LLC (paid stock promotion, 2017) SEC 2017-08-28 Paid Stock Promotion , Ponzi Schemes — filed CFTC v. South Carolina Resident Thomas Lanzana (ponzi schemes, 2017) CFTC 2017-08-25 Ponzi Schemes — filed SEC v. Caledonian Bank Ltd., et al. (unregistered distributions, 2017) SEC 2017-08-25 Unregistered Distributions $19.2m judgment SEC v. Jack Sini (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — filed SEC v. Jason Hershberger (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — filed SEC v. Juan M. Perez Ortega (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — filed SEC v. Martin Miller (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — filed SEC v. Shawna Leigh Lynch (boiler rooms, 2017) SEC 2017-08-23 Boiler Rooms — unknown SEC v. Allen Chi (undisclosed control blocks, 2017) SEC 2017-08-21 Undisclosed Control Blocks — judgment SEC v. Deerfield Management Company, L.P. (insider trading, 2017) SEC 2017-08-21 Insider Trading $3.9m settled SEC v. Banca IMI Securities Corp. (naked short selling debate, 2017) SEC 2017-08-18 Naked Short Selling Debate — settled CFTC v. Aruba-based Copersucar Trading A.V.V. (wash trading, 2017) CFTC 2017-08-16 Wash Trading $300k judgment SEC v. Daniel Rivas, et al. (insider trading, 2017) SEC 2017-08-16 Insider Trading — unknown SEC v. Robert Cortez Marshall (ponzi schemes, 2017) SEC 2017-08-16 Ponzi Schemes — filed SEC v. KPMG LLP and John Riordan, CPA (reverse merger schemes, 2017) SEC 2017-08-15 Reverse Merger Schemes — settled SEC v. Damon Hovannisian, et al. (insider trading, 2017) SEC 2017-08-11 Insider Trading $156k judgment SEC v. Smith, et al. (paid stock promotion, 2017) SEC 2017-08-11 Paid Stock Promotion — judgment SEC v. Louis Martin Blazer III (ponzi schemes, 2017) SEC 2017-08-10 Ponzi Schemes — judgment CFTC v. The Bank (spoofing, 2017) CFTC 2017-08-08 Spoofing $600k judgment SEC v. David Blaszczak, et al. (insider trading, 2017) SEC 2017-08-08 Insider Trading — settled SEC v. Steven V. McClatchey and Gary J. Pusey (insider trading, 2017) SEC 2017-08-08 Insider Trading — judgment SEC v. Joe Yiu Cheung ( and Dylon De Lu Zhang) (paid stock promotion, 2017) SEC 2017-08-02 Paid Stock Promotion , Pump And Dump +2 — settled SEC v. Jeffrey D. Martin, et al. (custodianship shell hijacking, 2017) SEC 2017-08-01 Custodianship Shell Hijacking , Paid Stock Promotion +1 — judgment SEC v. Karen F. Aalders (paid stock promotion, 2017) SEC 2017-07-31 Paid Stock Promotion — judgment SEC v. Sterling Craig Barton (insider trading, 2017) SEC 2017-07-31 Insider Trading — judgment SEC v. Harold L. Altvater (insider trading, 2017) SEC 2017-07-28 Insider Trading — unknown SEC v. Windsor Street Capital, L.P. ( and others (unregistered distributions, 2017) SEC 2017-07-28 Unregistered Distributions — settled
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