Home / Cases / 2017 / Page 3 Market manipulation enforcement actions filed in 2017 This library records 228 market manipulation enforcement actions filed in 2017, brought by 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 28
Total penalties $110m
Median penalty $40k
Largest $85m
Criminal parallel 36% Action Agency Filed Technique Penalty Status SEC v. Alan Barry Staples (insider trading, 2017) SEC 2017-02-10 Insider Trading $15.2k judgment SEC v. Shaohua (Michael) Yin, et al. (insider trading, 2017) SEC 2017-02-10 Insider Trading — judgment SEC v. Raymond H. Barton (fake press releases, 2017) SEC 2017-02-09 Fake Press Releases — judgment SEC v. William G. Goode (unregistered distributions, 2017) SEC 2017-02-09 Unregistered Distributions — judgment SEC v. Oxford City Football Club, Inc. (boiler rooms, 2017) SEC 2017-02-08 Boiler Rooms — judgment SEC v. Oxford City Football Club, Inc., et al. (boiler rooms, 2017) SEC 2017-02-08 Boiler Rooms — judgment SEC v. Michael Affa, et al. (pump and dump, 2017) SEC 2017-02-07 Pump And Dump — judgment SEC v. Olde Monmouth Stock Transfer Co., Inc. and Matthew J. Troster (reverse merger schemes, 2017) SEC 2017-02-07 Reverse Merger Schemes , Unregistered Distributions $100k judgment CFTC v. The Royal Bank of Scotland (benchmark submission rigging, 2017) CFTC 2017-02-04 Benchmark Submission Rigging , Price Manipulation $85m judgment SEC v. Varacchi, et al. (ponzi schemes, 2017) SEC 2017-02-02 Ponzi Schemes — filed CFTC v. Florida Residents Anthony J. Klatch II and Lindsey Heim (ponzi schemes, 2017) CFTC 2017-01-27 Ponzi Schemes — judgment SEC v. Herman Ronnie Young, Jr. d/b/a Race Cycler (ponzi schemes, 2017) SEC 2017-01-27 Ponzi Schemes — judgment SEC v. Black and Hans Peter Interinvest Corporation, Inc. (undisclosed control blocks, 2017) SEC 2017-01-24 Undisclosed Control Blocks — judgment SEC v. Donald P. Jones, CPA (insider trading, 2017) SEC 2017-01-23 Insider Trading $39.1k settled SEC v. George N. Krinos (unregistered distributions, 2017) SEC 2017-01-23 Unregistered Distributions — filed SEC v. Shelly R. McGuire, CPA (insider trading, 2017) SEC 2017-01-23 Insider Trading — settled CFTC v. unnamed respondents (spoofing, 2017) CFTC 2017-01-19 Spoofing — unknown CFTC v. Citigroup Global Markets Inc. (cash vs derivatives schemes, 2017) CFTC 2017-01-19 Cash Vs Derivatives Schemes , Spoofing $25m judgment SEC v. Cort Poyner et al. (paid stock promotion, 2017) SEC 2017-01-19 Paid Stock Promotion — judgment SEC v. Charles A. Bennett (ponzi schemes, 2017) SEC 2017-01-18 Ponzi Schemes — unknown SEC v. Eytan Bar (insider trading, 2017) SEC 2017-01-18 Insider Trading — settled SEC v. MDC Partners Inc. (insider trading, 2017) SEC 2017-01-18 Insider Trading — settled SEC v. Orthofix International N.V.; Jeffrey Hammel and CPA; Brian McCollum; Kenneth Mack and Bryan McMillan (naked short selling debate, 2017) SEC 2017-01-18 Naked Short Selling Debate $40k settled SEC v. Robin G. Charlet, Steven W. Sparks, Gregory J. Tuthill and Kirk D. Porter (unregistered distributions, 2017) SEC 2017-01-13 Unregistered Distributions $25k judgment SEC v. Gregory W. Gray, Jr., et al. (ponzi schemes, 2017) SEC 2017-01-12 Ponzi Schemes — judgment SEC v. ITG Inc. (naked short selling debate, 2017) SEC 2017-01-12 Naked Short Selling Debate — settled SEC v. Douglas Furth (matched orders, 2017) SEC 2017-01-10 Matched Orders — judgment OSC v. 2002 Concepts Inc. and others (ponzi schemes, 2017) OSC 2017-01-10 Ponzi Schemes — dismissed
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