Market Manipulation. Search

Market manipulation enforcement actions filed in 2023

This library records 223 market manipulation enforcement actions filed in 2023, brought by ASIC, 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
23
Total penalties
$450k
Median penalty
$225k
Largest
$414k
Criminal parallel
43%
Action Agency Filed Technique Penalty Status
SEC v. James Andrew Stiles, Jr. & Edward Gray Stiles, Jr. (insider trading, 2023) SEC 2023-02-23 Insider Trading — filed
SEC v. Kevin A. Van de Grift and Gil Friedman (insider trading, 2023) SEC 2023-02-23 Insider Trading — filed
ASIC brings criminal charges against third individual in relation to Courtenay House (2023) ASIC 2023-02-22 Ponzi Schemes — filed
SEC v. Paul Anthony Pierce (paid stock promotion, 2023) SEC 2023-02-17 Paid Stock Promotion — settled
OSC v. Aaron Wolfe (insider trading, 2023) OSC 2023-02-17 Insider Trading — unknown
CFTC v. California-based Company and Its CEO (ponzi schemes, 2023) CFTC 2023-02-16 Ponzi Schemes — filed
SEC v. Milan Patel (false rumors, 2023) SEC 2023-02-16 False Rumors — filed
Former CEO of Big Un Limited charged with insider trading (ASIC, 2023) ASIC 2023-02-14 Insider Trading — filed
CFTC v. Three Puerto Rico Residents and Their Companies (ponzi schemes, 2023) CFTC 2023-02-13 Ponzi Schemes — filed
SEC v. Olga Kuprina (insider trading, 2023) SEC 2023-02-08 Insider Trading , Spoofing — filed
ASIC v. Don George Evans (price manipulation, 2023) ASIC 2023-02-07 Price Manipulation — filed
SEC v. Randy Herschaft (insider trading, 2023) SEC 2023-01-30 Insider Trading $35.2k settled
SEC v. Donna Matuizek (insider trading, 2023) SEC 2023-01-27 Insider Trading — settled
SEC v. Austin D. Ellison-Meade (ponzi schemes, 2023) SEC 2023-01-24 Ponzi Schemes — filed
SEC v. Charlie Abujudeh (paid stock promotion, 2023) SEC 2023-01-23 Paid Stock Promotion $414k judgment
SEC v. David S.Y. Chang (unregistered distributions, 2023) SEC 2023-01-23 Unregistered Distributions — settled
OSC v. Nvest Canada Inc. and others (paid stock promotion, 2023) OSC 2023-01-20 Paid Stock Promotion — judgment
SEC v. Caroline Ellison and Zixiao "Gary" Wang (paid stock promotion, 2023) SEC 2023-01-19 Paid Stock Promotion — settled
SEC v. Nexo Capital Inc. (unregistered distributions, 2023) SEC 2023-01-19 Unregistered Distributions — settled
SEC v. Samuel Bankman-Fried (paid stock promotion, 2023) SEC 2023-01-19 Paid Stock Promotion — filed
SEC v. Covington & Burling LLP (insider trading, 2023) SEC 2023-01-12 Insider Trading — settled
SEC v. Yossi Engel (ponzi schemes, 2023) SEC 2023-01-12 Ponzi Schemes — unknown
CFTC v. Avraham Eisenberg (oracle manipulation, 2023) CFTC 2023-01-10 Oracle Manipulation — filed