Home / Cases / 2018 / Page 2 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 $551m
Median penalty $150k
Largest $475m
Criminal parallel 32% Action Agency Filed Technique Penalty Status SEC v. Barry M. Kornfeld, et al., Lynette M. Robbins and Knowles Systems, Inc. (ponzi schemes, 2018) SEC 2018-08-22 Ponzi Schemes $100k settled SEC v. James T. Lentz (insider trading, 2018) SEC 2018-08-22 Insider Trading — settled Former managing director of mining company found guilty of insider trading (ASIC, 2018) ASIC 2018-08-21 Insider Trading — filed SEC v. A. Catlin Cade, IV (insider trading, 2018) SEC 2018-08-21 Insider Trading — settled SEC v. Ismail Lila (insider trading, 2018) SEC 2018-08-21 Insider Trading — settled SEC v. Lubin and David (unregistered distributions, 2018) SEC 2018-08-21 Unregistered Distributions — judgment SEC v. Citigroup Global Markets Inc. and Citigroup Inc. (undisclosed control blocks, 2018) SEC 2018-08-16 Undisclosed Control Blocks — settled SEC v. Honglan Wang (insider trading, 2018) SEC 2018-08-16 Insider Trading — settled SEC v. Lauren Zarsky, CPA (insider trading, 2018) SEC 2018-08-15 Insider Trading — judgment SEC v. Tomahawk Exploration LLC and David Thompson Laurance (reverse merger schemes, 2018) SEC 2018-08-14 Reverse Merger Schemes $30k settled SEC v. Alexander Charles White and Paul Douglas Vandivier (unregistered distributions, 2018) SEC 2018-08-13 Unregistered Distributions — unknown SEC v. Chad Anthony Lewis (unregistered distributions, 2018) SEC 2018-08-13 Unregistered Distributions — settled SEC v. Christopher Collins, et al., Lauren Zarksy, Dorothy Zarsky (insider trading, 2018) SEC 2018-08-10 Insider Trading — judgment SEC v. John C. Maccoll (ponzi schemes, 2018) SEC 2018-08-09 Ponzi Schemes — filed SEC v. Arthur Lamar Adams and Madison Timber Properties, LLC (ponzi schemes, 2018) SEC 2018-08-08 Ponzi Schemes — filed SEC v. Daniel M. Fitzpatrick, CPA (undisclosed control blocks, 2018) SEC 2018-08-08 Undisclosed Control Blocks — judgment SEC v. Kevin M. Modany, CPA (undisclosed control blocks, 2018) SEC 2018-08-08 Undisclosed Control Blocks — judgment SEC v. Salvadore D. Palermo (wash trading, 2018) SEC 2018-08-08 Wash Trading — filed SEC v. Aaron R. Smith (insider trading, 2018) SEC 2018-08-07 Insider Trading — settled SEC v. Murakami, et al. (ponzi schemes, 2018) SEC 2018-08-06 Ponzi Schemes — judgment SEC v. Fei Yan, et al. (insider trading, 2018) SEC 2018-08-03 Insider Trading — judgment SEC v. Kurt J. Bordian, CPA (insider trading, 2018) SEC 2018-08-03 Insider Trading — judgment SEC v. Lozuk (insider trading, 2018) SEC 2018-08-01 Insider Trading — judgment SEC v. Madan (insider trading, 2018) SEC 2018-08-01 Insider Trading $14k judgment SEC v. Fred Tinker (insider trading, 2018) SEC 2018-07-31 Insider Trading — settled SEC v. Howard M. Appel (matched orders, 2018) SEC 2018-07-30 Matched Orders — settled SEC v. Robert Gadimian (insider trading, 2018) SEC 2018-07-26 Insider Trading — judgment SEC v. Rudden, et al. (ponzi schemes, 2018) SEC 2018-07-26 Ponzi Schemes — unknown FCA v. Edward John Booth (churning, 2018) FCA 2018-07-25 Churning — judgment SEC v. Richard T. Cunniffe (insider trading, 2018) SEC 2018-07-25 Insider Trading — judgment SEC v. Matthew Brunstrum and Susan Brunstrum (insider trading, 2018) SEC 2018-07-24 Insider Trading — settled SEC v. Yao Li (insider trading, 2018) SEC 2018-07-24 Insider Trading — settled Former executive charged with insider trading (ASIC, 2018) ASIC 2018-07-23 Insider Trading — dismissed SEC v. Mizuho Securities USA LLC (front running, 2018) SEC 2018-07-23 Front Running , Insider Trading +1 — settled SEC v. Sycamore Lane Partners LLC (naked short selling debate, 2018) SEC 2018-07-23 Naked Short Selling Debate $25k settled SEC v. Deutsche Bank Trust Company Americas (naked short selling debate, 2018) SEC 2018-07-20 Naked Short Selling Debate — settled SEC v. Jay C. Lake, CPA (shell factories, 2018) SEC 2018-07-17 Shell Factories — settled SEC v. Mark E. Burns, Robert W. Murray (price manipulation, 2018) SEC 2018-07-17 Price Manipulation — settled SEC v. Gannon Giguiere et al. (paid stock promotion, 2018) SEC 2018-07-16 Paid Stock Promotion , Pump And Dump — filed CFTC v. Commodity Trading Firm (price manipulation, 2018) CFTC 2018-07-12 Price Manipulation $3.4m judgment SEC v. Pawel P. Dynkowski, et al. (pump and dump, 2018) SEC 2018-07-12 Pump And Dump — judgment SEC v. Ryan Gilbertson, et al. (reverse merger schemes, 2018) SEC 2018-07-12 Reverse Merger Schemes — unknown ASIC v. CBA (price manipulation, 2018) ASIC 2018-07-10 Price Manipulation — unknown SEC v. Gene Shen (insider trading, 2018) SEC 2018-07-10 Insider Trading — settled SEC v. Matthew C. Woodard (undisclosed control blocks, 2018) SEC 2018-07-10 Unregistered Distributions — judgment SEC v. Roger S. Zullo (undisclosed control blocks, 2018) SEC 2018-07-06 Undisclosed Control Blocks — judgment SEC v. Molina (insider trading, 2018) SEC 2018-07-05 Insider Trading $39.2k judgment SEC v. Edward Lee Moody Jr., et. al. (ponzi schemes, 2018) SEC 2018-07-03 Ponzi Schemes — filed SEC v. Sudhakar Reddy Bonthu (insider trading, 2018) SEC 2018-07-02 Insider Trading — filed SEC v. Alexander Capital, L.P. (churning, 2018) SEC 2018-06-29 Churning — settled SEC v. Bayes Capital, LLC (naked short selling debate, 2018) SEC 2018-06-28 Naked Short Selling Debate — settled SEC v. James VanBlaricum, et al. (ponzi schemes, 2018) SEC 2018-06-26 Ponzi Schemes — settled SEC v. Richard Weed et al. (paid stock promotion, 2018) SEC 2018-06-26 Paid Stock Promotion , Reverse Merger Schemes $150k dismissed SEC v. James E. Hocker (ponzi schemes, 2018) SEC 2018-06-21 Ponzi Schemes — filed SEC v. Joseph A. Fiore, Berkshire Capital Management Company, Inc., and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.) (newsletter scalping, 2018) SEC 2018-06-20 Newsletter Scalping — filed SEC v. Santillo, et al. (ponzi schemes, 2018) SEC 2018-06-20 Ponzi Schemes — unknown CFTC v. JPMorgan Chase Bank (benchmark submission rigging, 2018) CFTC 2018-06-18 Benchmark Submission Rigging , Price Manipulation $65m judgment SEC v. Robert M. Morano (insider trading, 2018) SEC 2018-06-11 Insider Trading — judgment OSC v. Peter Volk (insider trading, 2018) OSC 2018-06-11 Insider Trading — unknown SEC v. Jehu Hand, et al. (pump and dump, 2018) SEC 2018-06-06 Pump And Dump — unknown SEC v. Ralph T. Iannelli et al. (ponzi schemes, 2018) SEC 2018-06-06 Ponzi Schemes — filed CFTC v. Société Générale S.A. (benchmark submission rigging, 2018) CFTC 2018-06-04 Benchmark Submission Rigging , Price Manipulation $475m judgment SEC v. Kon and Alexander (paid stock promotion, 2018) SEC 2018-05-29 Paid Stock Promotion $20k settled SEC v. Adam S. Tracy, Esq. (undisclosed control blocks, 2018) SEC 2018-05-23 Undisclosed Control Blocks — judgment SEC v. Todd David Alpert (insider trading, 2018) SEC 2018-05-18 Insider Trading — judgment SEC v. Manhattan Transfer Registrar Company and John C. Ahearn (reverse merger schemes, 2018) SEC 2018-05-17 Reverse Merger Schemes , Undisclosed Control Blocks — settled SEC v. Chardan Capital Markets, LLC (undisclosed control blocks, 2018) SEC 2018-05-16 Unregistered Distributions $1m settled SEC v. Jerard Basmagy (undisclosed control blocks, 2018) SEC 2018-05-16 Unregistered Distributions $15k settled SEC v. Keith Houlihan (boiler rooms, 2018) SEC 2018-05-09 Boiler Rooms — judgment CFTC v. Alcibiades Cifuentes (ponzi schemes, 2018) CFTC 2018-05-08 Ponzi Schemes $1.8m judgment SEC v. Visium Asset Management, LP (insider trading, 2018) SEC 2018-05-08 Insider Trading — dismissed SEC v. Bovorn Rungruangnavarat (insider trading, 2018) SEC 2018-05-07 Insider Trading $2m settled SEC v. David A. Zimliki and Russel P. Schiefer (insider trading, 2018) SEC 2018-05-04 Insider Trading — settled OSC v. Jens Brandt and others (spoofing, 2018) OSC 2018-05-03 Spoofing — unknown SEC v. Eddy U. Marin and Shane R. Spierdowis (paid stock promotion, 2018) SEC 2018-05-02 Paid Stock Promotion , Pump And Dump — settled SEC v. Small Business Capital Corp. and others (ponzi schemes, 2018) SEC 2018-05-02 Ponzi Schemes $10k judgment CFTC v. Charles H. McAllister of Alabama (ponzi schemes, 2018) CFTC 2018-04-30 Ponzi Schemes — filed CFTC v. Glencore Agriculture B.V. and Glencore Ltd. (wash trading, 2018) CFTC 2018-04-30 Wash Trading $2m judgment SEC v. Christopher R. Esposito, et al. (paid stock promotion, 2018) SEC 2018-04-30 Paid Stock Promotion — judgment SEC v. Diane J. Harrison, et al. (fake press releases, 2018) SEC 2018-04-30 Fake Press Releases — settled SEC v. William T. Walters, et al. (insider trading, 2018) SEC 2018-04-30 Insider Trading — dismissed SEC v. AF Ocean Investment Management Company (reverse merger schemes, 2018) SEC 2018-04-25 Reverse Merger Schemes — settled SEC v. Andy Z. Fan (fake press releases, 2018) SEC 2018-04-25 Fake Press Releases , Matched Orders +1 — settled SEC v. ChinAmerica Andy Movie Entertainment Media Company (reverse merger schemes, 2018) SEC 2018-04-25 Reverse Merger Schemes — settled OSC v. Nicolas Blitterswyk (insider trading, 2018) OSC 2018-04-24 Insider Trading — settled SEC v. Scott Newsholme (ponzi schemes, 2018) SEC 2018-04-23 Ponzi Schemes — judgment SEC v. Amrit J. S. Chahal (ponzi schemes, 2018) SEC 2018-04-16 Ponzi Schemes — filed SEC v. Douglas Nelson (insider trading, 2018) SEC 2018-04-16 Insider Trading $15.1k settled SEC v. Andrew J. Kandelapas (paid stock promotion, 2018) SEC 2018-04-13 Paid Stock Promotion $240k settled CFTC v. The Kane Capital Investment Group (ponzi schemes, 2018) CFTC 2018-04-12 Ponzi Schemes — filed SEC v. Wellness Center USA, Inc. (fake press releases, 2018) SEC 2018-04-12 Fake Press Releases , Paid Stock Promotion — settled SEC v. William C. Gennity and Rocco Roveccio (churning, 2018) SEC 2018-04-11 Churning — judgment South Australian day trader sentenced for market manipulation (ASIC, 2018) ASIC 2018-04-10 Price Manipulation — unknown SEC v. The Lifepay Group, LLC, et. al. (ponzi schemes, 2018) SEC 2018-04-10 Ponzi Schemes — filed CFTC v. Floor Broker Anuj C. Singhal (spoofing, 2018) CFTC 2018-04-09 Spoofing $150k judgment SEC v. AMC Holdings, LLC (boiler rooms, 2018) SEC 2018-04-05 Boiler Rooms — filed SEC v. Joseph Meli, et al., Craig H. Carton, et al. (ponzi schemes, 2018) SEC 2018-04-05 Ponzi Schemes — unknown SEC v. Saverio J. Barbera (insider trading, 2018) SEC 2018-04-05 Insider Trading — judgment SEC v. Christopher James Lollar (insider trading, 2018) SEC 2018-04-04 Insider Trading — judgment SEC v. Michael Scronic (ponzi schemes, 2018) SEC 2018-04-04 Ponzi Schemes — filed
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