Market Manipulation. Search

Market manipulation enforcement actions filed in 2021

This library records 159 market manipulation enforcement actions filed in 2021, 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
59
Total penalties
$51.9m
Median penalty
$216k
Largest
$32m
Criminal parallel
46%
Action Agency Filed Technique Penalty Status
SEC v. Contrarian Press, LLC, Scott S. Fraser, and Nathan Yeung (paid stock promotion, 2021) SEC 2021-07-01 Paid Stock Promotion — dismissed
SEC v. Mounir N. Gad (insider trading, 2021) SEC 2021-06-30 Insider Trading $51.7k settled
SEC v. Nathan E. Guido (insider trading, 2021) SEC 2021-06-30 Insider Trading — settled
SEC v. Reuben Robert Goldman and Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research (paid stock promotion, 2021) SEC 2021-06-30 Paid Stock Promotion — settled
SEC v. Ron Phillips (matched orders, 2021) SEC 2021-06-30 Matched Orders $30k judgment
SEC v. Matthew J. Skinner, et al. (ponzi schemes, 2021) SEC 2021-06-29 Ponzi Schemes — filed
SEC v. Nathaniel Brown, Benjamin Wylam, Naveen Sood, Marcus Bannon, Matthew Rauch, and Naresh Ramaiya (insider trading, 2021) SEC 2021-06-25 Insider Trading $281k judgment
SEC v. Wang (insider trading, 2021) SEC 2021-06-25 Insider Trading $50k judgment
SEC v. Mark A. Miller (fake press releases, 2021) SEC 2021-06-21 Fake Press Releases , Pump And Dump — unknown
CFTC v. Former Energy Broker and Its Owner (wash trading, 2021) CFTC 2021-06-15 Wash Trading — judgment
SEC v. Robert Joseph Armijo, et al. (ponzi schemes, 2021) SEC 2021-06-15 Ponzi Schemes — filed
CFTC v. Zhao (spoofing, 2021) CFTC 2021-06-11 Spoofing — settled
SEC v. The Estate of Kenneth J. Casey (ponzi schemes, 2021) SEC 2021-06-02 Ponzi Schemes — filed
CFTC v. Chicago Commodity Pool Operators (paid stock promotion, 2021) CFTC 2021-05-27 Paid Stock Promotion $150k judgment
SEC v. Mohammed A. Bari (insider trading, 2021) SEC 2021-05-27 Insider Trading — settled
SEC v. Kai Christian Petersen, et al. (boiler rooms, 2021) SEC 2021-05-25 Boiler Rooms $100k judgment
Former executive of Healthe Care Australia pleads guilty to insider trading (ASIC, 2021) ASIC 2021-05-21 Insider Trading — dismissed
Insider trading charges against both the former Project Manager and the former Competent Person of ASX-listed gold explorer (ASIC, 2021) ASIC 2021-05-21 Insider Trading — filed
SEC v. BTIG, LLC (naked short selling debate, 2021) SEC 2021-05-20 Naked Short Selling Debate — filed
SEC v. LFS Funding Limited Partnership, et al. (undisclosed control blocks, 2021) SEC 2021-05-20 Undisclosed Control Blocks — settled
Former CFO sentenced for market manipulation and fraud offences (ASIC, 2021) ASIC 2021-05-18 Price Manipulation — filed
CFTC v. Connecticut Firm (matched orders, 2021) CFTC 2021-05-18 Matched Orders , Wash Trading $500k judgment
CFTC v. Cipolla (ponzi schemes, 2021) CFTC 2021-05-14 Ponzi Schemes $5m judgment
SEC v. Peter J. Decaprio (undisclosed control blocks, 2021) SEC 2021-05-10 Undisclosed Control Blocks — settled
SEC v. David N. Osegueda, et al. (pump and dump, 2021) SEC 2021-05-07 Pump And Dump $400k judgment
CFTC v. Aaron Michael Scott (ponzi schemes, 2021) CFTC 2021-04-27 Ponzi Schemes $1.3m judgment
SEC v. Jonathan P. Maroney, Et. Al (ponzi schemes, 2021) SEC 2021-04-27 Ponzi Schemes — unknown
SEC v. Gregory Altieri (ponzi schemes, 2021) SEC 2021-04-23 Ponzi Schemes — judgment
SEC v. Amit Tandon, Esq. (paid stock promotion, 2021) SEC 2021-04-22 Paid Stock Promotion — judgment
SEC v. Ubong Uboh and Tyler Crockett (pump and dump, 2021) SEC 2021-04-22 Pump And Dump — filed
SEC v. Edward J. Kosinski (insider trading, 2021) SEC 2021-04-21 Insider Trading — judgment
SEC v. Morrie Tobin et al. (paid stock promotion, 2021) SEC 2021-04-19 Paid Stock Promotion — judgment
CFTC v. unnamed respondents (ponzi schemes, 2021) CFTC 2021-04-08 Ponzi Schemes $32m judgment
CFTC v. Douglas Lien (ponzi schemes, 2021) CFTC 2021-04-08 Ponzi Schemes $5.2m judgment
SEC v. Zachary J. Horwitz, et al. (ponzi schemes, 2021) SEC 2021-04-08 Ponzi Schemes — unknown
CFTC v. Former Fuel Oil Trader (price manipulation, 2021) CFTC 2021-03-25 Price Manipulation $100k judgment
SEC v. Jason P. Wootten, et al. (ponzi schemes, 2021) SEC 2021-03-23 Ponzi Schemes — filed
CFTC v. Coinbase Inc. (exchange wash trading, 2021) CFTC 2021-03-19 Exchange Wash Trading , Matched Orders +1 $6.5m judgment
SEC v. Seth P. Levine (ponzi schemes, 2021) SEC 2021-03-19 Ponzi Schemes — settled
ASIC v. Benjamin Heath Cooper (price manipulation, 2021) ASIC 2021-03-17 Price Manipulation — filed
SEC v. Shawn C. Cutting (paid stock promotion, 2021) SEC 2021-03-11 Paid Stock Promotion , Ponzi Schemes — unknown
CFTC v. Two Individuals (paid stock promotion, 2021) CFTC 2021-03-05 Paid Stock Promotion , Pump And Dump — filed
SEC v. AT&T, Inc., et al. (insider trading, 2021) SEC 2021-03-05 Insider Trading — filed
FCA v. Adrian Geoffrey Horn (wash trading, 2021) FCA 2021-03-03 Wash Trading — unknown
SEC v. EarthSource Minerals International, LLC et al. (ponzi schemes, 2021) SEC 2021-03-02 Ponzi Schemes $125k settled
SEC v. Bruce Schoengood, Medifirst Solutions, Inc. and Joshua Tyrell (paid stock promotion, 2021) SEC 2021-02-24 Paid Stock Promotion — filed
CFTC v. Eibschutz (insider trading, 2021) CFTC 2021-02-23 Insider Trading $75k settled
SEC v. James T. Booth (ponzi schemes, 2021) SEC 2021-02-22 Ponzi Schemes — judgment
Corporate finance director sentenced for conspiring to manipulate market (ASIC, 2021) ASIC 2021-02-10 Price Manipulation — unknown
SEC v. Isaiah L. Goodman (ponzi schemes, 2021) SEC 2021-02-09 Ponzi Schemes — filed
SEC v. Rosedale Asset Management, LLC and Princeton Advisory Wealth Management, LLC (undisclosed control blocks, 2021) SEC 2021-02-05 Undisclosed Control Blocks — settled
SEC v. CR Intrinsic Investors, et al. (insider trading, 2021) SEC 2021-02-03 Insider Trading — judgment
SEC v. Vuuzle Media Corp., Ronald Shane Flynn, and Richard Marchitto (boiler rooms, 2021) SEC 2021-01-27 Boiler Rooms — filed
CFTC v. New York Man (ponzi schemes, 2021) CFTC 2021-01-26 Ponzi Schemes — filed
SEC v. William Andrew Stack, Esq. (undisclosed control blocks, 2021) SEC 2021-01-21 Undisclosed Control Blocks , Unregistered Distributions — filed
SEC v. Abhi Batra a/k/a Abhimanyu Batra (free riding and parking, 2021) SEC 2021-01-19 Free Riding And Parking — unknown
SEC v. Jacob C. Glick (ponzi schemes, 2021) SEC 2021-01-19 Ponzi Schemes — filed
SEC v. Advance Practice Advisors, LLC and Paul C. Spitzer (insider trading, 2021) SEC 2021-01-14 Insider Trading — settled
OSC v. Marilyn Dianne Stuart (ponzi schemes, 2021) OSC 2021-01-13 Ponzi Schemes — filed