Home / Cases / 2020 / Page 2 Market manipulation enforcement actions filed in 2020 This library records 200 market manipulation enforcement actions filed in 2020, 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 $12.6m
Median penalty $150k
Largest $9m
Criminal parallel 24% Action Agency Filed Technique Penalty Status SEC v. Victor Lee Farias and Integrity Aviation & Leasing, LLC (ponzi schemes, 2020) SEC 2020-08-04 Ponzi Schemes — filed SEC v. Mustafa David Sayid (pump and dump, 2020) SEC 2020-07-29 Pump And Dump $160k judgment SEC v. Celadon Financial Group LLC (naked short selling debate, 2020) SEC 2020-07-27 Naked Short Selling Debate — settled SEC v. Harold L. Altvater (insider trading, 2020) SEC 2020-07-24 Insider Trading — judgment SEC v. IRTH Communications, LLC and Andrew Haag (paid stock promotion, 2020) SEC 2020-07-22 Paid Stock Promotion $35k settled SEC v. Edmond Leung (insider trading, 2020) SEC 2020-07-21 Insider Trading $69.6k settled SEC v. Joseph Zhang (insider trading, 2020) SEC 2020-07-21 Insider Trading $66.7k settled OSC v. Coinsquare Ltd. and others (wash trading, 2020) OSC 2020-07-17 Wash Trading — unknown SEC v. Abetterfinancialplan.Com, LLC (unregistered distributions, 2020) SEC 2020-07-14 Unregistered Distributions — settled SEC v. Plutus Financial Inc. d/b/a Abra and Plutus Technologies Philippines Corp. (paid stock promotion, 2020) SEC 2020-07-13 Paid Stock Promotion — settled CFTC v. California and Colorado Residents (ponzi schemes, 2020) CFTC 2020-07-08 Ponzi Schemes — filed CFTC v. Illinois Resident and Broker (wash trading, 2020) CFTC 2020-07-06 Wash Trading $250k judgment SEC v. Ralph C. Greaves, Esq. (ponzi schemes, 2020) SEC 2020-07-06 Ponzi Schemes — judgment SEC v. Michelle Dipp (reverse merger schemes, 2020) SEC 2020-06-30 Reverse Merger Schemes — settled SEC v. BNP Paribas Securities Corp. (naked short selling debate, 2020) SEC 2020-06-29 Naked Short Selling Debate — settled SEC v. Dandan Wu (insider trading, 2020) SEC 2020-06-29 Insider Trading — settled FCA v. Redcentric PLC (price manipulation, 2020) FCA 2020-06-26 Price Manipulation — unknown SEC v. Todd Lahr and Thomas Megas (ponzi schemes, 2020) SEC 2020-06-24 Ponzi Schemes — judgment SEC v. Todd H. Lahr, Esq. (ponzi schemes, 2020) SEC 2020-06-24 Ponzi Schemes — judgment ASIC v. Avrohom Kimelman (insider trading, 2020) ASIC 2020-06-23 Insider Trading — filed SEC v. Matthew Ledvina, Esq. (pump and dump, 2020) SEC 2020-06-22 Pump And Dump — unknown CFTC v. Deutsche Bank Securities Inc. (spoofing, 2020) CFTC 2020-06-18 Spoofing $9m settled SEC v. Diane J. Harrison, Esq. (undisclosed control blocks, 2020) SEC 2020-06-18 Undisclosed Control Blocks — judgment SEC v. Gomes et al. (unregistered distributions, 2020) SEC 2020-06-18 Unregistered Distributions — filed SEC v. Neil Burkholz, et al. (ponzi schemes, 2020) SEC 2020-06-15 Ponzi Schemes — judgment Former CFO charged with market manipulation and fraud offences (ASIC, 2020) ASIC 2020-06-11 Price Manipulation — filed CFTC v. Unregistered Commodity Pool Operator and Its Chief Executive Officer (ponzi schemes, 2020) CFTC 2020-06-11 Ponzi Schemes — filed SEC v. Jason C. Nielsen (pump and dump, 2020) SEC 2020-06-10 Pump And Dump , Spoofing — filed SEC v. Daniel F. Putnam, Jean Paul Ramirez Rico, Angel A. Rodriguez, MMT Distribution, LLC, R & D Global (ponzi schemes, 2020) SEC 2020-06-05 Ponzi Schemes — unknown SEC v. Jana Faith Kiena, CPA (insider trading, 2020) SEC 2020-06-05 Insider Trading $125k settled Former CEO and director of Sirtex Medical Limited sentenced for insider trading (ASIC, 2020) ASIC 2020-06-04 Insider Trading — filed CFTC v. Kentucky Man (ponzi schemes, 2020) CFTC 2020-06-02 Ponzi Schemes — filed SEC v. BitClave PTE Ltd. (unregistered distributions, 2020) SEC 2020-05-28 Unregistered Distributions $400k settled SEC v. Ares Management LLC (insider trading, 2020) SEC 2020-05-26 Insider Trading — settled SEC v. Paul Ewer (boiler rooms, 2020) SEC 2020-05-22 Boiler Rooms — unknown SEC v. Robert Gilbert (boiler rooms, 2020) SEC 2020-05-22 Boiler Rooms — judgment CFTC v. Danish Man (ponzi schemes, 2020) CFTC 2020-05-18 Ponzi Schemes — filed SEC v. Turbo Global Partners, Inc. and Robert W. Singerman (boiler rooms, 2020) SEC 2020-05-14 Boiler Rooms — filed SEC v. Clinton Maurice Tucker II (boiler rooms, 2020) SEC 2020-05-11 Boiler Rooms — filed CFTC v. Trader and His Firm (matched orders, 2020) CFTC 2020-05-07 Matched Orders , Wash Trading $150k judgment SEC v. Damon Elliott, et al. (ponzi schemes, 2020) SEC 2020-05-06 Ponzi Schemes — filed SEC v. Zhuobin Hong, et al. (insider trading, 2020) SEC 2020-05-05 Insider Trading — filed SEC v. American Bondholders Foundation, LLC and Jonna Bianco (unregistered distributions, 2020) SEC 2020-04-30 Unregistered Distributions $65k settled SEC v. Wei Duan (insider trading, 2020) SEC 2020-04-30 Insider Trading — settled SEC v. Aequitas Management, LLC, et al. (ponzi schemes, 2020) SEC 2020-04-24 Ponzi Schemes $625k judgment SEC v. Biltmore International Corporation (naked short selling debate, 2020) SEC 2020-04-24 Naked Short Selling Debate , Unregistered Distributions — settled SEC v. Jeffrey G. Klein (boiler rooms, 2020) SEC 2020-04-24 Boiler Rooms — unknown SEC v. Barry R. Bekkedam (ponzi schemes, 2020) SEC 2020-04-22 Ponzi Schemes — unknown SEC v. Amir Waldman, et al. (insider trading, 2020) SEC 2020-04-17 Insider Trading — judgment SEC v. Brian Robert Sodi, CPA (newsletter scalping, 2020) SEC 2020-04-17 Newsletter Scalping , Unregistered Distributions — judgment SEC v. Bryan Cohen and George Nikas (insider trading, 2020) SEC 2020-03-30 Insider Trading — judgment SEC v. Benjamin Kirkland (insider trading, 2020) SEC 2020-03-27 Insider Trading — settled SEC v. David M. Mahan (insider trading, 2020) SEC 2020-03-26 Insider Trading — judgment SEC v. Kendricks, et al., Hamed A. Ettu (insider trading, 2020) SEC 2020-03-23 Insider Trading — judgment SEC v. Scott O. Hirsch and Kenneth L. Friedman (insider trading, 2020) SEC 2020-03-19 Insider Trading — settled SEC v. Denis Georgiyevich Sotnikov, et al. (spoofing, 2020) SEC 2020-03-16 Spoofing — filed SEC v. Stacey Beane, Justin Deckert and Travis Laska (ponzi schemes, 2020) SEC 2020-03-13 Ponzi Schemes $30k judgment SEC v. BMA Securities, LLC (naked short selling debate, 2020) SEC 2020-03-12 Naked Short Selling Debate — settled SEC v. David G. Dreslin, CPA (reverse merger schemes, 2020) SEC 2020-03-12 Reverse Merger Schemes — judgment SEC v. Barry Honig, et al. (pump and dump, 2020) SEC 2020-03-11 Pump And Dump — judgment SEC v. Todays Growth Consultant Inc. and Kenneth D. Courtright, III (ponzi schemes, 2020) SEC 2020-03-06 Ponzi Schemes — filed SEC v. Tomer Feingold and Dov Malnik (insider trading, 2020) SEC 2020-03-06 Insider Trading — filed SEC v. Brook Church-Koegel, et al. (ponzi schemes, 2020) SEC 2020-03-05 Ponzi Schemes — filed SEC v. Bradley Davis (insider trading, 2020) SEC 2020-02-28 Insider Trading — unknown SEC v. Shawn Severson (paid stock promotion, 2020) SEC 2020-02-28 Paid Stock Promotion $3.5k settled SEC v. Steven Seagal (paid stock promotion, 2020) SEC 2020-02-27 Paid Stock Promotion — settled Former investment analyst pleads guilty to insider trading in securities of Big Un Limited (ASIC, 2020) ASIC 2020-02-25 Insider Trading — filed SEC v. Charles F. Kerwin (insider trading, 2020) SEC 2020-02-24 Insider Trading $47.4k settled SEC v. Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong (matched orders, 2020) SEC 2020-02-21 Matched Orders — judgment CFTC v. Investment Firm and VP (ponzi schemes, 2020) CFTC 2020-02-20 Ponzi Schemes — filed SEC v. Jon L. Aronson and Elliet N. Aronson (insider trading, 2020) SEC 2020-02-20 Insider Trading — judgment SEC v. Richard Lee, et al. (insider trading, 2020) SEC 2020-02-20 Insider Trading — judgment SEC v. EquiAlt LLC et al. (ponzi schemes, 2020) SEC 2020-02-18 Ponzi Schemes — filed CFTC v. Colorado Resident (ponzi schemes, 2020) CFTC 2020-02-14 Ponzi Schemes — filed SEC v. Marc A. Celello, Esq. (ponzi schemes, 2020) SEC 2020-02-13 Ponzi Schemes — judgment SEC v. Charlie Jinan Chen and Shui Foon Mok (insider trading, 2020) SEC 2020-02-05 Insider Trading — unknown SEC v. Cannell Capital, LLC (insider trading, 2020) SEC 2020-02-04 Insider Trading — settled OSC v. Matthew John Hamilton (undisclosed control blocks, 2020) OSC 2020-01-31 Undisclosed Control Blocks — dismissed SEC v. Bill Tsai (insider trading, 2020) SEC 2020-01-31 Insider Trading — judgment SEC v. DFRF Enterprises LLC, et al. (ponzi schemes, 2020) SEC 2020-01-31 Ponzi Schemes — judgment SEC v. Michael Douglas Billings and MDB Group, LLC (ponzi schemes, 2020) SEC 2020-01-31 Ponzi Schemes — settled SEC v. Edward E. Matthes (ponzi schemes, 2020) SEC 2020-01-28 Ponzi Schemes — judgment SEC v. David Aubel and Robert Raffa (paid stock promotion, 2020) SEC 2020-01-27 Paid Stock Promotion $150k judgment SEC v. Jeffrey P. Carpoff and Paulette Carpoff (ponzi schemes, 2020) SEC 2020-01-24 Ponzi Schemes — settled SEC v. Benjamin L. Bunker, Esq. (pump and dump, 2020) SEC 2020-01-23 Pump And Dump , Reverse Merger Schemes +1 — unknown CFTC v. Australian Company (spoofing, 2020) CFTC 2020-01-21 Spoofing $462k judgment SEC v. Guy Scott Griffithe, Robert William Russell, Renewable Technologies Solution, Inc., Green Acres Pharms, LLC, and others (ponzi schemes, 2020) SEC 2020-01-21 Ponzi Schemes — filed SEC v. Drake et al., Messier et al., Brooks (boiler rooms, 2020) SEC 2020-01-16 Boiler Rooms — judgment SEC v. Lidingo Holdings, LLC, et al. (paid stock promotion, 2020) SEC 2020-01-14 Paid Stock Promotion — judgment CFTC v. South Korean Company (spoofing, 2020) CFTC 2020-01-13 Spoofing $700k judgment SEC v. Robert O. Carr and Katherine M. Hanratty (insider trading, 2020) SEC 2020-01-13 Insider Trading $251k judgment CFTC v. US Coin Bullion LLC and its Owners (ponzi schemes, 2020) CFTC 2020-01-10 Ponzi Schemes — unknown SEC v. Bajic et al., Ciapala et al. (unregistered distributions, 2020) SEC 2020-01-10 Unregistered Distributions — filed SEC v. John James Sheehan, Jr. (unregistered distributions, 2020) SEC 2020-01-10 Unregistered Distributions — settled SEC v. Donald G. Blakstad (insider trading, 2020) SEC 2020-01-08 Insider Trading — filed SEC v. Edward Espinal and Cash Flow Partners, LLC (ponzi schemes, 2020) SEC 2020-01-07 Ponzi Schemes — filed SEC v. Luke Christopher Zouvas, Esq. (pump and dump, 2020) SEC 2020-01-07 Pump And Dump — judgment SEC v. Ulrik Debo (custodianship shell hijacking, 2020) SEC 2020-01-03 Custodianship Shell Hijacking , Pump And Dump +1 — filed SEC v. James V. Mazzo, et al. (insider trading, 2020) SEC 2020-01-02 Insider Trading $56k judgment SEC v. Pinto-Thomaz, et al. (insider trading, 2020) SEC 2020-01-02 Insider Trading — judgment
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