Home / Cases / 2018 Market manipulation enforcement actions filed in 2018 This library records 244 market manipulation enforcement actions filed in 2018, 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 $184m
Median penalty $616k
Largest $90m
Criminal parallel 32% Action Agency Filed Technique Penalty Status SEC v. ADT Inc. (insider trading, 2018) SEC 2018-12-26 Insider Trading — settled SEC v. Cherubim Interests, Inc., PDX Partners, Inc., Victura Construction Group, Inc., and Patrick Jevon Johnson (pump and dump, 2018) SEC 2018-12-26 Pump And Dump — unknown SEC v. BioElectronics Corp. IBEX, LLC St. John's, LLC Whelan and others (unregistered distributions, 2018) SEC 2018-12-21 Unregistered Distributions $650k judgment SEC v. Natural Blue Resources, Inc. Cohen and others (reverse merger schemes, 2018) SEC 2018-12-21 Reverse Merger Schemes $75k judgment SEC v. Tod A. Ditommaso, Esq. (unregistered distributions, 2018) SEC 2018-12-21 Unregistered Distributions — settled SEC v. Wealthfront Advisers, LLC and and Wealthfront, Inc. (wash trading, 2018) SEC 2018-12-21 Wash Trading — settled SEC v. Robert S. "Lute" Davis, Jr., et al., Jordan E. Goodman., Alan H. New, et al. (ponzi schemes, 2018) SEC 2018-12-19 Ponzi Schemes $100k settled CFTC v. Chicago-area Trader (ponzi schemes, 2018) CFTC 2018-12-17 Ponzi Schemes — settled CFTC v. Gaylen Rust (ponzi schemes, 2018) CFTC 2018-12-17 Ponzi Schemes — filed SEC v. Peter Cho (insider trading, 2018) SEC 2018-12-17 Insider Trading — judgment SEC v. The Bank of New York Mellon (naked short selling debate, 2018) SEC 2018-12-17 Naked Short Selling Debate — settled SEC v. America Modern Green Senior (Houston) LLC and America Modern Green Community (Houston) LLC and America Modern Green Residential (Houston) LLC (paid stock promotion, 2018) SEC 2018-12-12 Paid Stock Promotion $800k settled SEC v. Lai Guanglin (Alan) (marking the close, 2018) SEC 2018-12-10 Marking The Close , Price Manipulation — settled SEC v. Rajeshwar R. Gannamaneni, Deepthi Gandra, and Linga R. Gannamaneni (insider trading, 2018) SEC 2018-12-10 Insider Trading — unknown SEC v. CoinAlpha Advisors LLC (unregistered distributions, 2018) SEC 2018-12-07 Unregistered Distributions — settled SEC v. NVC Fund LLC and Frank Ekejija (pump and dump, 2018) SEC 2018-12-07 Pump And Dump — unknown SEC v. David G. Dreslin, et al. (reverse merger schemes, 2018) SEC 2018-12-03 Reverse Merger Schemes $25k settled SEC v. Fifth Street Management, LLC (insider trading, 2018) SEC 2018-12-03 Insider Trading — settled SEC v. Eric T. Landis et al. (matched orders, 2018) SEC 2018-11-29 Matched Orders , Paid Stock Promotion — filed SEC v. Floyd Mayweather Jr. (paid stock promotion, 2018) SEC 2018-11-29 Paid Stock Promotion — settled SEC v. Khaled Khaled (paid stock promotion, 2018) SEC 2018-11-29 Paid Stock Promotion — settled SEC v. Morrie Tobin et al. (paid stock promotion, 2018) SEC 2018-11-28 Paid Stock Promotion — filed OSC v. Christopher Candusso and others (insider trading, 2018) OSC 2018-11-23 Insider Trading — judgment CFTC v. Defendants Gaylen Dean Rust (ponzi schemes, 2018) CFTC 2018-11-16 Ponzi Schemes — filed CFTC v. unnamed respondents (insider trading, 2018) CFTC 2018-11-15 Insider Trading , Spoofing — unknown SEC v. Mark Burnett, Jeffrey Miller, Christian Romandetti, Frank Sarro, Anthony Vassallo, and Elite Stock Research, Inc. (boiler rooms, 2018) SEC 2018-11-15 Boiler Rooms — filed SEC v. James V. Mazzo, et al. (insider trading, 2018) SEC 2018-11-14 Insider Trading — judgment Court orders penalties and other relief against Westpac for BBSW conduct (ASIC, 2018) ASIC 2018-11-09 Price Manipulation — unknown SEC v. Arthur Lamar Adams et al. (ponzi schemes, 2018) SEC 2018-11-09 Ponzi Schemes — settled SEC v. Joseph Meli, et al. (ponzi schemes, 2018) SEC 2018-11-09 Ponzi Schemes — settled SEC v. Kevin B. Merrill, et al. (ponzi schemes, 2018) SEC 2018-11-09 Ponzi Schemes — filed SEC v. Pyxus International, Inc. (wash trading, 2018) SEC 2018-11-09 Wash Trading — settled SEC v. Craig H. Carton, et al. (ponzi schemes, 2018) SEC 2018-11-08 Ponzi Schemes — filed SEC v. James E. Hengen (insider trading, 2018) SEC 2018-11-08 Insider Trading — judgment SEC v. Michael E. Cone, et al (boiler rooms, 2018) SEC 2018-11-08 Boiler Rooms — filed SEC v. SeeThruEquity, LLC et al. (newsletter scalping, 2018) SEC 2018-11-08 Newsletter Scalping , Paid Stock Promotion — filed SEC v. Slobodan Dragojlovic (insider trading, 2018) SEC 2018-11-08 Insider Trading — judgment SEC v. Citibank, N.A. (naked short selling debate, 2018) SEC 2018-11-07 Naked Short Selling Debate — settled SEC v. Mark E. Fisher, Esq. (fake press releases, 2018) SEC 2018-11-02 Fake Press Releases , Pump And Dump — judgment SEC v. Brian Weber and Bebida Beverage Co. (fake press releases, 2018) SEC 2018-10-31 Fake Press Releases , Paid Stock Promotion — judgment FCA v. Jonathan Mathew Individual (benchmark submission rigging, 2018) FCA 2018-10-30 Benchmark Submission Rigging , Insider Trading — filed SEC v. Philip Thomas Kueber (undisclosed control blocks, 2018) SEC 2018-10-26 Undisclosed Control Blocks — judgment OSC v. Keir Reynolds (insider trading, 2018) OSC 2018-10-25 Insider Trading — settled SEC v. John Madsen, Andalusian Resorts and others (fake press releases, 2018) SEC 2018-10-23 Fake Press Releases , Pump And Dump +1 — judgment SEC v. Mark E. Fisher and Joseph F. Capuozzo (paid stock promotion, 2018) SEC 2018-10-22 Paid Stock Promotion , Pump And Dump — settled SEC v. Zachary S. Berkey (churning, 2018) SEC 2018-10-19 Churning — judgment CFTC v. GBI (ponzi schemes, 2018) CFTC 2018-10-18 Ponzi Schemes $2.5m judgment SEC v. Richard J. Greenlaw et al. (unregistered distributions, 2018) SEC 2018-10-18 Unregistered Distributions — judgment OSC v. K2 & Associates Investment Management Inc. and others (spoofing, 2018) OSC 2018-10-17 Spoofing — unknown SEC v. Bryan B. Long (insider trading, 2018) SEC 2018-10-16 Insider Trading — filed CFTC v. Kamaldeep Gandhi (spoofing, 2018) CFTC 2018-10-12 Spoofing — judgment SEC v. Harold L. Altvater (insider trading, 2018) SEC 2018-10-11 Insider Trading — filed SEC v. Merrill, et al. (ponzi schemes, 2018) SEC 2018-10-11 Ponzi Schemes — filed SEC v. Dennis Wayne Hamilton (insider trading, 2018) SEC 2018-10-10 Insider Trading — judgment SEC v. Jeffre James and others (pump and dump, 2018) SEC 2018-10-09 Pump And Dump — unknown SEC v. Robert O. Carr and Katherine M. Hanratty (insider trading, 2018) SEC 2018-10-05 Insider Trading — judgment SEC v. Todd Elliott Hitt, Kiddar Capital LLC, Kiddar Group Holdings, Inc., as Defendants, and Kiddar AQ LLC a/k/a Kiddar Aquicore LLC, as Relief Defendants (ponzi schemes, 2018) SEC 2018-10-05 Ponzi Schemes — settled CFTC v. Owner of Precious Metals Firm (ponzi schemes, 2018) CFTC 2018-10-03 Ponzi Schemes — filed CFTC v. the Bank of Nova Scotia (spoofing, 2018) CFTC 2018-10-01 Spoofing $800k judgment CFTC v. unnamed respondents (insider trading, 2018) CFTC 2018-09-28 Insider Trading — filed CFTC v. Block Trade Broker (front running, 2018) CFTC 2018-09-28 Front Running , Insider Trading — filed SEC v. Bryan R. Ziegenfuse (insider trading, 2018) SEC 2018-09-28 Insider Trading — judgment SEC v. COR Clearing, LLC (unregistered distributions, 2018) SEC 2018-09-28 Unregistered Distributions $800k settled SEC v. Edward J. Kosinski (insider trading, 2018) SEC 2018-09-28 Insider Trading — filed SEC v. Jehu Hand and Antonio Katz (paid stock promotion, 2018) SEC 2018-09-28 Paid Stock Promotion , Pump And Dump — judgment SEC v. NL Technology, LLC et al. (ponzi schemes, 2018) SEC 2018-09-28 Ponzi Schemes $480k judgment SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2018) SEC 2018-09-28 Unregistered Distributions — filed SEC v. Thomas Carter Ronk (boiler rooms, 2018) SEC 2018-09-28 Boiler Rooms , Paid Stock Promotion — filed SEC v. Unal Patel and Amish Patel (insider trading, 2018) SEC 2018-09-28 Insider Trading — settled CFTC v. Davis Ramsey (price manipulation, 2018) CFTC 2018-09-27 Price Manipulation $325k judgment CFTC v. Eleven Individuals and Five Entities (wash trading, 2018) CFTC 2018-09-27 Wash Trading — unknown CFTC v. Futures Trader (price manipulation, 2018) CFTC 2018-09-27 Price Manipulation $325k judgment SEC v. unnamed respondents (ponzi schemes, 2018) SEC 2018-09-27 Ponzi Schemes — settled SEC v. Thomas Earl Hayden (insider trading, 2018) SEC 2018-09-27 Insider Trading $198k settled Former CEO and director of Sirtex Medical Limited charged with insider trading (ASIC, 2018) ASIC 2018-09-26 Insider Trading — filed CFTC v. Adam Flavin (price manipulation, 2018) CFTC 2018-09-26 Price Manipulation $1.3m judgment CFTC v. Two Commodity Traders (price manipulation, 2018) CFTC 2018-09-26 Price Manipulation $125k judgment OSC v. Daniel P. Reeve (ponzi schemes, 2018) OSC 2018-09-26 Ponzi Schemes — filed CFTC v. Mizuho Bank (spoofing, 2018) CFTC 2018-09-21 Spoofing $250k judgment OSC v. LeadFX Inc. and Michael Pearson (dilution death spirals, 2018) OSC 2018-09-21 Dilution Death Spirals — dismissed CFTC v. Geneva Trading USA (spoofing, 2018) CFTC 2018-09-20 Spoofing $1.5m judgment SEC v. CSIR Group, LLC, et al. (paid stock promotion, 2018) SEC 2018-09-20 Paid Stock Promotion — judgment CFTC v. Bank of America (benchmark submission rigging, 2018) CFTC 2018-09-19 Benchmark Submission Rigging , Price Manipulation $30m judgment CFTC v. Futures Trader and Trading Firm (cash vs derivatives schemes, 2018) CFTC 2018-09-19 Cash Vs Derivatives Schemes , Spoofing $1.8m judgment SEC v. Michael L. LaPenna (naked short selling debate, 2018) SEC 2018-09-19 Naked Short Selling Debate $22.5k settled CFTC v. ICAP Capital Markets LLC (benchmark submission rigging, 2018) CFTC 2018-09-18 Benchmark Submission Rigging , Price Manipulation $50m judgment SEC v. Ernest J. Romer, III (ponzi schemes, 2018) SEC 2018-09-18 Ponzi Schemes — filed SEC v. John Paul Waymack (insider trading, 2018) SEC 2018-09-18 Insider Trading — unknown FCA v. Christian Bittar (benchmark submission rigging, 2018) FCA 2018-09-14 Benchmark Submission Rigging — dismissed SEC v. Rong Chen, et al. (insider trading, 2018) SEC 2018-09-14 Insider Trading — filed SEC v. Barry C. Honig, et al. (pump and dump, 2018) SEC 2018-09-07 Pump And Dump — filed SEC v. In Ovations Holdings, Inc. and Mark Goldberg (paid stock promotion, 2018) SEC 2018-09-06 Paid Stock Promotion — unknown SEC v. Jeffrey Goldman and Christopher Eikenberry (ponzi schemes, 2018) SEC 2018-09-05 Ponzi Schemes — settled SEC v. Amer Deeba (insider trading, 2018) SEC 2018-08-30 Insider Trading $581k judgment SEC v. Kendricks, et al. (insider trading, 2018) SEC 2018-08-30 Insider Trading — filed CFTC v. BNP Paribas (benchmark submission rigging, 2018) CFTC 2018-08-29 Benchmark Submission Rigging , Price Manipulation $90m judgment SEC v. David Michael Naylor, CPA (undisclosed control blocks, 2018) SEC 2018-08-29 Undisclosed Control Blocks — judgment SEC v. Delaney Equity Group LLC Delaney and others (reverse merger schemes, 2018) SEC 2018-08-29 Reverse Merger Schemes , Shell Factories +1 $20k settled SEC v. Fishoff, et al. (insider trading, 2018) SEC 2018-08-23 Insider Trading — filed SEC v. Gary S. Williky (insider trading, 2018) SEC 2018-08-23 Insider Trading $1.7m judgment
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