See also case number 1:22-cv-10651 (D. Mass.) (change of venue).
SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
STANLEY M BLANSHEI
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. FRANCIS X. WAZETER, III, ET AL., 4:97-cv-03566 (N.D. Cal.)
Date Filed:
WILLIAM SCOTT BLYTHE III
Current Age: 58 - 60
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PAUL T. RAMPOLDI and WILLIAM SCOTT BLYTHE III, 3:16-cv-02017 (S.D. Cal.)
Date Filed:
FRANK BORGHESE
Current Age: 69 - 71
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SYMBOL TECHNOLOGIES, INC., TOMO RAZMILOVIC, KENNETH JAEGGI, LEONARD GOLDNER, BRIAN BURKE, MICHAEL DEGENNARO, FRANK BORGHESE, CHRISTOPHER DESANTIS, JAMES HEUSCHNEIDER, GREGORY MORTENSON, JAMES DEAN, and ROBERT DONLON, 2:04-cv-02276 (E.D.N.Y.)
Date Filed:
JOHN C BOSCHERT
Current Age: 52 - 54
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JENIFER E. HOFFMAN, JOHN C. BOSCHERT, and BRYAN T. ZUZGA, 5:13-cv-00455 (M.D. Fla.)
Date Filed:
EDWARD O BOSHELL
Current Age: 88 - 90
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. EDWARD O. BOSHELL and DONALD J. POCHOPIEN, 1:08-cv-02392 (N.D. Ill.)
Date Filed:
JASON M BOUCHER
Current Age: 52 - 54
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AMERICAN RENAL ASSOCIATES HOLDINGS, INC., JONATHAN L. WILCOX, JASON M. BOUCHER, and KAREN J. SMITH, 1:21-cv-10366 (S.D.N.Y.)
Date Filed:
Other Information:
JASON M BOUCHER
Current Age: 52 - 54
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JASON M. BOUCHER, CPA, SEC File No. 3-22446
Date Filed:
MARK J BOUCHER
Current Age: 60 - 62
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARK J. BOUCHER and STRATEGIC WEALTH ADVISOR GROUP SERVICES INC., 3:20-cv-01650 (S.D. Cal.)
Date Filed:
MARK J.P. BOUCHER
Current Age: 62 - 64
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MARK J.P. BOUCHER, SEC File No. 3-13195
Date Filed:
MARK JOSEPH PETERSON BOUCHER
Current Age: 62 - 64
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARK JOSEPH PETERSON BOUCHER and GARY PAUL JOHNSON, 3:08-cv-04088 (N.D. Cal.)
Date Filed:
DONNA BOYD
Also Known As: DONNA CHEN
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JAMES C. TAO and DONNA BOYD (f/k/a DONNA CHEN), 4:17-cv-03678 (S.D. Tex.)
Date Filed:
DONNA BOYD
Also Known As: Donna Chen
Current Age: 40 - 42
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Donna Boyd (f/k/a Donna Chen), SEC File No. 3-18331
Date Filed:
JOHN DAVID BROTHERTON
Current Age: 64 - 66
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ANDREW I. FARMER, EDDIE D. AUSTIN, JR., SCOTT R. SIECK, CAROLYN P. AUSTIN and JOHN D. BROTHERTON, 4:19-cv-01774 (S.D. Tex.)
Date Filed:
WILLIAM L BROTHERTON
Current Age: 83 - 85
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. WILLIAM L. BROTHERTON and INTERNATIONAL BUSINESS CONSORTIUM, INC., 1:01-cv-01340 (D. Colo.)
Date Filed:
ROBERT FRANCIS BUCHHEIT SR
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROBERT FRANCIS BUCHHEIT, SR., SEC File No. 3-9595
Date Filed:
MICHAEL G BUTCHER
Current Age: 49 - 51
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. Jeffrey L. Mowen, Thomas R. Fry, Bevan J. Wilde, Gary W. Hansen, Michael G. Butcher, James B. Mooring, David G. Bartholomew, and Michael W. Averett, 2:09-cv-00786 (D. Utah)
Date Filed:
MICHAEL G BUTCHER
Enforcement Action: In the Matter of MICHAEL G. BUTCHER, SEC File No. 3-14776
Date Filed:
WILLIAM L BUTCHER
State: Washington (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SECURE SIGN, INC. (formerly YOURBANKONLINE.COM), PAKIE V. PLASTINO, and WILLIAM L. BUTCHER, C.P.A., SEC File No. 3-10313
Date Filed:
MARY LEE CAPALBO
Also Known As: MARY LEE CAPALBO HERULA
Current Age: 72 - 74
State: Rhode Island (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DENNIS S. HERULA, MARY LEE CAPALBO aka MARY LEE CAPALBO HERULA, MARTIN D. FIFE, FAROUK A. KHAN, SEAVIEW DEVELOPMENT AND HOLDINGS, LTD., MICHAEL A. CLARKE, ROBERT M. WACHTEL, JOHAN C. HERTZOG, and CHARLES W. SULLIVAN, 1:02-cv-00154 (D.R.I.)
Date Filed:
DASHIELLE LASHRA CARUTHERS
Also Known As: IRMINA MARIE DZAMBO, DASHIELLE LASHRA
State: Maryland (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CARNEGIE INTERNATIONAL CORPORATION, EDWARD DAVID GABLE, DAVID S. PEARL, LOWELL FARKAS, RICHARD J. GREENE, SCOTT CARUTHERS, and DASHIELLE LASHRA CARUTHERS, 1:03-cv-01513 (D.D.C.)
Date Filed:
SCOTT CARUTHERS
Also Known As: ARTHUR BROOKS CROTHERS
State: Maryland (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CARNEGIE INTERNATIONAL CORPORATION, EDWARD DAVID GABLE, DAVID S. PEARL, LOWELL FARKAS, RICHARD J. GREENE, SCOTT CARUTHERS, and DASHIELLE LASHRA CARUTHERS, 1:03-cv-01513 (D.D.C.)
Date Filed:
BLAKE CATHEY
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BLAKE CATHEY, 1:23-cv-22819 (S.D. Fla.)
Date Filed:
BLAKE CATHEY
Current Age: 25 - 27
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Blake Cathey, SEC File No. 3-21589
Date Filed:
R STEPHEN CAVENDAR
Also Known As: STEPHEN CAVENDAR, RONALD STEPHEN CAVENDAR
Current Age: 64 - 66
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SAFESCRIPT PHARMACIES, INC., f/k/a RTIN HOLDINGS, INC., CURTIS A. SWANSON, STANLEY L. SWANSON, R. STEPHEN CAVENDER, AND CURTIS A. BORMAN, 6:04-cv-00455 (E.D. Tex.)
Date Filed:
CHEONGWHA CHANG
Also Known As: HEYWOOD CHANG
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CKB168 HOLDINGS LTD., WIN168 BIZ SOLUTIONS LTD., CKB168 LTD., CKB168 BIZ SOLUTION, INC., CYBER KIDS BEST EDUCATION LTD., RAYLA MELCHER SANTOS, HUNG WAI ("HOWARD") SHERN, RUI LING ("FLORENCE") LEUNG, DALIANG ("DAVID") GUO, YAO LIN, CHIH HSUAN "KIKI" LIN, WEN CHEN HWANG (AKA "WENDY LEE"), TONI TONG CHEN, CHEONGWHA "HEYWOOD" CHANG, JOAN CONGYI MA (AKA "JC MA"), AND HEIDI MAO LIU (AKA "HEIDI MAO"), 1:13-cv-05584 (E.D.N.Y.)
Date Filed:
About this Feature
This search feature allows you to look up information about individuals who have been named as defendants in SEC federal court actions or respondents in SEC administrative proceedings.
Your search results will only include individuals charged in SEC actions filed between October 1, 1995 and January 31, 2025. This feature will be updated periodically to add individuals from newly-filed actions.
Search results will include individuals against whom a court has entered a judgment or the Commission has issued an order. This includes individuals who settled, defaulted, or contested their actions, provided a judgment or order was issued against them. Your results will not include individuals whose cases are currently pending at the trial court or those against whom no judgment or order has been issued.
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