Home / Cases / 2017 / Page 2 Market manipulation enforcement actions filed in 2017 This library records 228 market manipulation enforcement actions filed in 2017, 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 $14.6m
Median penalty $255k
Largest $6m
Criminal parallel 25% Action Agency Filed Technique Penalty Status CFTC v. New York Trader Simon Posen (spoofing, 2017) CFTC 2017-07-27 Spoofing $635k judgment SEC v. Carrillo and Luis J. (paid stock promotion, 2017) SEC 2017-07-26 Paid Stock Promotion , Pump And Dump +1 — judgment SEC v. Huettel and Wade D., Esq. (paid stock promotion, 2017) SEC 2017-07-26 Paid Stock Promotion , Pump And Dump +1 — judgment SEC v. Joey Stanton Dodson (ponzi schemes, 2017) SEC 2017-07-26 Ponzi Schemes — judgment SEC v. Joey Giamichael and Umbrella Research, LLC (newsletter scalping, 2017) SEC 2017-07-25 Newsletter Scalping , Paid Stock Promotion — settled SEC v. Andrew Farmer, et al. (pump and dump, 2017) SEC 2017-07-24 Pump And Dump — judgment SEC v. Lubin and David (unregistered distributions, 2017) SEC 2017-07-19 Unregistered Distributions — judgment SEC v. Troy Joseph Flowers, et al. (undisclosed control blocks, 2017) SEC 2017-07-19 Undisclosed Control Blocks — filed SEC v. John F. Stimpson (insider trading, 2017) SEC 2017-07-18 Insider Trading $136k settled SEC v. Ashley Antos, Defendants, and Antos, Inc. (boiler rooms, 2017) SEC 2017-07-12 Boiler Rooms — unknown SEC v. Victory Ho (insider trading, 2017) SEC 2017-07-12 Insider Trading — judgment SEC v. Wanger and Eric David Wanger Investment Management, Inc. (marking the close, 2017) SEC 2017-07-10 Marking The Close $75k dismissed SEC v. Steve G. Blasko (boiler rooms, 2017) SEC 2017-07-07 Boiler Rooms , Unregistered Distributions — filed SEC v. Cheryl L. Jones (ponzi schemes, 2017) SEC 2017-07-03 Ponzi Schemes — filed CFTC v. unnamed respondents (spoofing, 2017) CFTC 2017-06-30 Spoofing $350k judgment CFTC v. Rosenthal Collins Capital Markets LLC (wash trading, 2017) CFTC 2017-06-30 Wash Trading $5m judgment SEC v. Sasan Sabrdaran and Farhang Afsarpour (insider trading, 2017) SEC 2017-06-30 Insider Trading — judgment SEC v. Andrew S. Keck (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks — settled SEC v. Christopher A. Conley (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks — settled SEC v. Marilyn Stark (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks — settled SEC v. Matthew L. Egna (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks $10k settled SEC v. Nigel G. Lindsay (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks — settled SEC v. Sarah E. Keck (undisclosed control blocks, 2017) SEC 2017-06-29 Undisclosed Control Blocks — settled SEC v. Diana P. Lovera (boiler rooms, 2017) SEC 2017-06-28 Boiler Rooms — judgment SEC v. Harold L. Altvater, Maureen E. Curran, Susan L. Dubuc (insider trading, 2017) SEC 2017-06-27 Insider Trading — judgment SEC v. Wm Smith & Co. and William S. Smith (insider trading, 2017) SEC 2017-06-26 Insider Trading — settled SEC v. James M. Farinella, et al. (paid stock promotion, 2017) SEC 2017-06-21 Paid Stock Promotion — filed SEC v. Yu-Cheng Lin (insider trading, 2017) SEC 2017-06-19 Insider Trading — judgment ASIC v. UBS Securities (front running, 2017) ASIC 2017-06-15 Front Running — unknown SEC v. Edwin Yoshihiro Fujinaga and MRI International, Inc., et al. (ponzi schemes, 2017) SEC 2017-06-15 Ponzi Schemes — appealed SEC v. Jehu Hand and Antonio Katz (paid stock promotion, 2017) SEC 2017-06-15 Paid Stock Promotion , Pump And Dump — filed SEC v. Dan (“Alice”) Zhang, CPA (insider trading, 2017) SEC 2017-06-07 Insider Trading — settled SEC v. Michael Trahan (insider trading, 2017) SEC 2017-06-07 Insider Trading — judgment SEC v. Homero Joshua Garza, GAW Miners, LLC, and ZenMiner, LLC (ponzi schemes, 2017) SEC 2017-06-05 Ponzi Schemes — judgment CFTC v. David Liew (price manipulation, 2017) CFTC 2017-06-03 Price Manipulation , Spoofing — judgment SEC v. Adesh Kumar Tyagi (marking the close, 2017) SEC 2017-06-01 Marking The Close — unknown SEC v. Harrison Katzen (boiler rooms, 2017) SEC 2017-05-31 Boiler Rooms — judgment SEC v. Mark A. Jones (ponzi schemes, 2017) SEC 2017-05-25 Ponzi Schemes $160k judgment SEC v. William J. Wells and Promitor Capital Management LLC (ponzi schemes, 2017) SEC 2017-05-25 Ponzi Schemes — settled SEC v. Francisco Illarramendi, Highview Point Partners, LLC and others (ponzi schemes, 2017) SEC 2017-05-24 Ponzi Schemes $1m judgment SEC v. Imran Husain, et al. (shell factories, 2017) SEC 2017-05-24 Shell Factories , Undisclosed Control Blocks — filed SEC v. Murakami, et al. (ponzi schemes, 2017) SEC 2017-05-22 Ponzi Schemes — filed SEC v. Robert W. Murray (price manipulation, 2017) SEC 2017-05-19 Price Manipulation — unknown SEC v. Emerald Isle Exploration, Ltd. and Samuell Eads and Lloyd C. Brewer (insider trading, 2017) SEC 2017-05-12 Insider Trading , Undisclosed Control Blocks $10k settled OSC v. Jorge Neher (insider trading, 2017) OSC 2017-05-12 Insider Trading — unknown SEC v. Chamroonrat, et al. (ponzi schemes, 2017) SEC 2017-05-11 Ponzi Schemes — filed SEC v. Walter C. Little and Andrew M. Berke (insider trading, 2017) SEC 2017-05-11 Insider Trading — filed SEC v. Andrew T.E. Coldicutt, et al. (unregistered distributions, 2017) SEC 2017-05-05 Unregistered Distributions — unknown SEC v. William R. Schantz III and Verto Capital Management LLC (ponzi schemes, 2017) SEC 2017-05-04 Ponzi Schemes — settled OSC v. Dennis Wing (insider trading, 2017) OSC 2017-05-04 Insider Trading — dismissed SEC v. David Michael Burke (undisclosed control blocks, 2017) SEC 2017-05-02 Unregistered Distributions — settled SEC v. Mark J. Varacchi, et al. (ponzi schemes, 2017) SEC 2017-05-01 Ponzi Schemes — judgment SEC v. Wensheng Lin and Sheng Li Chen (paid stock promotion, 2017) SEC 2017-05-01 Paid Stock Promotion — filed Former Perth managing director sentenced to 18 months' jail for insider trading (ASIC, 2017) ASIC 2017-04-28 Insider Trading — filed SEC v. Demitrios Hallas (churning, 2017) SEC 2017-04-26 Churning — filed SEC v. Wilson-Davis & Company, Inc. (naked short selling debate, 2017) SEC 2017-04-26 Naked Short Selling Debate $75k settled SEC v. Kent P. Watts, et al. (unregistered distributions, 2017) SEC 2017-04-21 Unregistered Distributions — filed SEC v. Justin D. Meadlin and Hyaline Capital Management, LLC (paid stock promotion, 2017) SEC 2017-04-17 Paid Stock Promotion — filed SEC v. Christopher R. Esposito, et al. (paid stock promotion, 2017) SEC 2017-04-14 Paid Stock Promotion $775k judgment SEC v. Mustafa David Sayid (pump and dump, 2017) SEC 2017-04-13 Pump And Dump — filed SEC v. Ryan Gilbertson, et al. (reverse merger schemes, 2017) SEC 2017-04-13 Reverse Merger Schemes — judgment OSC v. Benedict Cheng and others (insider trading, 2017) OSC 2017-04-12 Insider Trading — dismissed SEC v. Lidingo Holdings, LLC, et al., CSIR Group, LLC, et al. (paid stock promotion, 2017) SEC 2017-04-12 Paid Stock Promotion — settled SEC v. Christopher French (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion — settled SEC v. Ciaran Thornton (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion — settled SEC v. Craig Keolanui (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion — settled SEC v. Edward Borrelli and Dunedin, Inc. (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion — settled SEC v. Galena Biopharma, Inc. and Mark J. Ahn (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion , Unregistered Distributions — settled SEC v. ImmunoCellular Therapeutics, Ltd. (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion — settled SEC v. Joel Corenman (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion — settled SEC v. Lion Biotechnologies, Inc. (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion — settled SEC v. Michael A. McCarthy (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion — settled SEC v. Stephen Ramey (paid stock promotion, 2017) SEC 2017-04-10 Paid Stock Promotion $24k settled SEC v. Lawrence F. Cluff, Jr. and Roger E. Shaoul (insider trading, 2017) SEC 2017-04-06 Insider Trading — judgment ASIC v. Steven Robert Noske (insider trading, 2017) ASIC 2017-04-03 Insider Trading — unknown SEC v. Vlad B. Spivak, et al. (insider trading, 2017) SEC 2017-04-03 Insider Trading — judgment CFTC v. Former Citigroup Global Markets Inc. Traders Stephen Gola and Jonathan Brims (cash vs derivatives schemes, 2017) CFTC 2017-03-31 Cash Vs Derivatives Schemes , Spoofing $350k judgment SEC v. Alison, LLC Alison and Stephen D. (undisclosed control blocks, 2017) SEC 2017-03-29 Undisclosed Control Blocks — settled SEC v. LottoNet Operating Corp., et al. (boiler rooms, 2017) SEC 2017-03-27 Boiler Rooms — filed SEC v. Ariel Darvasi and Amir Waldman (insider trading, 2017) SEC 2017-03-24 Insider Trading — judgment SEC v. Nino Coppero del Valle et al. (insider trading, 2017) SEC 2017-03-24 Insider Trading — judgment SEC v. Quigley and William (churning, 2017) SEC 2017-03-24 Churning — settled SEC v. Christopher Ludwig (insider trading, 2017) SEC 2017-03-23 Insider Trading — judgment SEC v. Rose and Sheldon MKJJ Consulting LLC (reverse merger schemes, 2017) SEC 2017-03-23 Reverse Merger Schemes , Undisclosed Control Blocks — settled SEC v. Steven A. Hartung (insider trading, 2017) SEC 2017-03-23 Insider Trading — settled SEC v. Michael J. Maciocio and David P. Hobson (insider trading, 2017) SEC 2017-03-20 Insider Trading — judgment SEC v. Patrick Churchville, et al. (ponzi schemes, 2017) SEC 2017-03-17 Ponzi Schemes — filed SEC v. Todd David Alpert (insider trading, 2017) SEC 2017-03-15 Insider Trading — filed SEC v. Nima Hedayati (insider trading, 2017) SEC 2017-03-14 Insider Trading — settled SEC v. Lek Securities Corporation, et al. (layering, 2017) SEC 2017-03-10 Layering — unknown SEC v. Notis Global, Inc. (f/k/a Medbox, Inc.), et al. (paid stock promotion, 2017) SEC 2017-03-09 Paid Stock Promotion $6m judgment SEC v. Arcturus Corporation, et al. (unregistered distributions, 2017) SEC 2017-03-03 Unregistered Distributions — judgment SEC v. Thomas D. Melvin, Jr., et al. (insider trading, 2017) SEC 2017-03-03 Insider Trading — filed OSC v. Ayaz Dhanani (Also known as Azim Virani, Michael Lee, Alex Nebris, Paul Dhanani, Samuel Ramos, and Rahim Jiwa) (insider trading, 2017) OSC 2017-03-01 Insider Trading — settled SEC v. One or More Unknown Traders in the Securities of Fortress Investment Group, LLC (insider trading, 2017) SEC 2017-02-28 Insider Trading — judgment SEC v. FX & Beyond Corporation et al. (ponzi schemes, 2017) SEC 2017-02-21 Ponzi Schemes — judgment SEC v. Patrick O. Howard, et al. (ponzi schemes, 2017) SEC 2017-02-16 Ponzi Schemes — unknown CFTC v. Carlos Javier Ramirez and His Companies (ponzi schemes, 2017) CFTC 2017-02-15 Ponzi Schemes — filed SEC v. Sidoti & Company, LLC (insider trading, 2017) SEC 2017-02-13 Insider Trading — settled SEC v. Yu-Cheng Lin (a.k.a. Believe Lin) (insider trading, 2017) SEC 2017-02-13 Insider Trading — judgment
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