SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
NISSAN KAHEN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JACOB Y. TERNER, NISSAN KAHEN, PARVIZ KAHEN, THEODORE W. DUTTON, GEORGE D. VOIGT, and ANDREA GUILLEN DUTTON, 2:97-cv-04812 (C.D. Cal.)
Date Filed:
PARVIZ KAHEN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JACOB Y. TERNER, NISSAN KAHEN, PARVIZ KAHEN, THEODORE W. DUTTON, GEORGE D. VOIGT, and ANDREA GUILLEN DUTTON, 2:97-cv-04812 (C.D. Cal.)
Date Filed:
ROGER NILS-JONAS KARLSSON
Also Known As: EUCLID DIODORUS, STEVE HEYDEN, JOSHUA MILLARD, LARS GEORGSSON
Current Age: 50 - 52
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROGER NILS-JONAS KARLSSON (a/k/a EUCLID DIODORUS, STEVE HEYDEN, JOSHUA MILLARD, AND LARS GEORGSSON), 1:20-cv-04615 (E.D.N.Y.)
Date Filed:
LARRY W KERSCHENBAUM
Current Age: 63 - 65
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MICHAEL PUORRO, WALTER DOROW, JAMES C. PARRISH, GEOFFREY W. GAZDA, MELVIN L. LEVINE, MICHAEL T. REITER, BRUCE BERTMAN, JERRY POOLE, and LARRY W. KERSCHENBAUM, SEC File No. 3-11419
Date Filed:
LARRY W KERSCHENBAUM
Current Age: 65 - 67
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. LARRY W. KERSCHENBAUM, 0:08-cv-61452 (S.D. Fla.)
Date Filed:
ABIDA KHAN
Also Known As: SHEIK FIRDOSH KHAN
Current Age: 61 - 63
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. EDWARD DURANTE, ABIDA KHAN, LARRY WERBEL, CHRISTOPHER CERVINO, WALTER REISSMAN, KENNETH WISE and EVOLUTION PARTNERS WEALTH MANAGEMENT LLC, 1:15-cv-09874 (S.D.N.Y.)
Date Filed:
DANIEL KHESIN
Current Age: 44 - 46
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Daniel Khesin, SEC File No. 3-19422
Date Filed:
JOHN M KIRSCHENBAUM
State: Washington (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RMR ASSET MANAGEMENT COMPANY, BRUCE A. BROEKHUIZEN, DOUGLAS J. DERRYBERRY, DAVID R. FROST, RICHARD C. GOUNAUD, NEIL P. KELLY, JOHN M. KIRSCHENBAUM, DAVID S. LUTTBEG, TIMOTHY J. MCALOON, JOCELYN M. MURPHY, MICHAEL SEAN MURPHY, RALPH M. RICCARDI, DEWEY T. TRAN, AND PHILIP A. WEINER, 3:18-cv-01895 (S.D. Cal.)
Date Filed:
JOHN M KIRSCHENBAUM
Current Age: 75 - 77
State: Washington (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOHN M. KIRSCHENBAUM, SEC File No. 3-18706
Date Filed:
MARK KISHEL
Current Age: 77 - 79
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARK KISHEL, 1:06-cv-00123 (N.D. Ga.)
Date Filed:
THOMAS C KOCHERHANS
Current Age: 67 - 69
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. COMPETITIVE TECHNOLOGIES, INC., CHAUNCEY D. STEELE, JOHN R. GLUSHKO, THOMAS C. KOCHERHANS, RICHARD A. KWAK, SHELDON A. STRAUSS, STEPHEN J. WILSON and FRANK R. MCPIKE, 3:04-cv-01331 (D. Conn.)
Date Filed:
VITALY KORCHEVSKY
Current Age: 58 - 60
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ARKADIY DUBOVOY, IGOR DUBOVOY, PAVEL DUBOVOY, NELIA DUBOVA, DAVID AMARYAN, ALEXANDER FEDOSEEV, ALEKSANDR GARKUSHA, OLEKSANDER IEREMENKO (a.k.a. Aleksander Eremenko), VLADISLAV KHALUPSKY, VITALY KORCHEVSKY, ROMAN LAVLINSKIY, OLEKSANDR MAKAROV, LEONID MOMOTOK, NIKOLAI SLEPENKOV, ANDRIY SUPRANONOK, IVAN TURCHYNOV, MAXIM ZAKHARCHENKO, APD DEVELOPERS, LLC, BERATTO GROUP LTD., BERING EXPLORER FUND LTD., CONCORDE BERMUDA LTD., ESCADA LOGISTICS LTD., EXANTE LTD., GLOBAL HEDGE CAPITAL GROUP, GUIBOR S.A., INTERTRADE PACIFIC S.A., MEMELLAND INVESTMENTS LTD., JASPEN CAPITAL PARTNERS LIMITED, NTS CAPITAL FUND, OCEAN PRIME INC., OMEGA 26 INVESTMENTS LTD., SOUTHEASTERN HOLDING AND INVESTMENT COMPANY LLC, COPPERSTONE ALPHA FUND, AND COPPERSTONE CAPITAL, 2:15-cv-06076 (D.N.J.)
Date Filed:
KOSTA S KOVACHEV
Current Age: 73 - 75
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PATRICK BALLINGER, DENNIS R. WEAVER, KOSTA S. KOVACHEV, LEE E. LARSCHEID, BENNY G. MORRIS, DARIN W. ROBERTS, LINDA M. SEARS, TODD F. WALKER, BRANSON CITY LIMITS, INC., RESORT HOTELS, INC., UNIVERSAL FINANCIAL LEASING, INC., and OZARK TICKET AND TRAVEL, INC., 1:03-cv-01659 (S.D. Ind.)
Date Filed:
MARK E KUCHENRITHER
Current Age: 61 - 63
State: South Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MARK E. KUCHENRITHER, SEC File No. 3-19009
Date Filed:
DANIEL LACHER
Current Age: 60 - 62
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MORRIE TOBIN, MILAN PATEL, MATTHEW LEDVINA, DANIEL LACHER, BRIAN QUINN, AND DAVID SKRILOFF, 1:18-cv-12451 (D. Mass.)
Date Filed:
JAMES A LAPHEN
Current Age: 75 - 77
State: Nebraska (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GILBERT G. LUNDSTROM, JAMES A. LAPHEN, and TREVOR A. LUNDSTROM, 8:12-cv-00343 (D. Neb.)
Date Filed:
MICHAEL LAPHEN
Current Age: 73 - 75
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of COMPUTER SCIENCES CORPORATION, MICHAEL LAPHEN, MICHAEL MANCUSO, WAYNE BANKS, CLAUS ZILMER, AND PAUL WAKEFIELD, SEC File No. 3-16575
Date Filed:
RENAUD LAPLANCHE
Current Age: 53 - 55
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of LENDINGCLUB ASSET MANAGEMENT, LLC, f/k/a LC ADVISORS, LLC, RENAUD LAPLANCHE, and CARRIE DOLAN, SEC File No. 3-18855
Date Filed:
LEE E LARSCHEID
Current Age: 75 - 77
State: Missouri (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PATRICK BALLINGER, DENNIS R. WEAVER, KOSTA S. KOVACHEV, LEE E. LARSCHEID, BENNY G. MORRIS, DARIN W. ROBERTS, LINDA M. SEARS, TODD F. WALKER, BRANSON CITY LIMITS, INC., RESORT HOTELS, INC., UNIVERSAL FINANCIAL LEASING, INC., and OZARK TICKET AND TRAVEL, INC., 1:03-cv-01659 (S.D. Ind.)
Date Filed:
ALBERT D LATOUCHE
Current Age: 87 - 89
State: Connecticut (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GLOBAL TELECOM SERVICES L.L.C. d/b/a MEDICAL DISPOSAL DEVICES, ALBERT D. LATOUCHE and SALVATORE J. CARTELLI, JR., 3:03-cv-00418 (D. Conn.)
Date Filed:
DONNA LAUBSCHER
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DONNA LAUBSCHER, CPA and SHERALD GRIFFIN, CPA, SEC File No. 3-9740
Date Filed:
CHRISTOPHER BYUNGIN LEE
Also Known As: CHRISTOPHER WALTERS
Current Age: 31 - 33
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ALEX DUAIN FORESTER, MICHAEL ROBERT HICKS, YARDEN MOSHE MONY KRAMPF, CHRISTOPHER BYUNGIN LEE, SEAN ANDREW O’NEAL, MICHAEL ROY RAYNOR, and LEE SOBEL, 2:20-cv-09813 (C.D. Cal.)
Date Filed:
ASHLEY MIRON LESHEM
Current Age: 57 - 59
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOHN R. SHREWDER, THE FRANKLIN GROUP, INC., and ASHLEY MIRON LESHEM, 9:06-cv-80126 (S.D. Fla.)
Date Filed:
MIRON LESHEM
Current Age: 60 - 62
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MIRON LESHEM, SEC File No. 3-9153
Date Filed:
DAVID LETHEM
Current Age: 66 - 68
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DAVID LETHEM, SEC File No. 3-21543
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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