SEC Action Lookup - Individuals (SALI)

Individuals with Court or Commission Orders Entered Against Them

RONALD H MICHEL

Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. FUTURE VISION DIRECT MARKETING, INC., EASTERN COORDINATED FINANCIAL, PHILIP FORMA, JAMES BARSCHOW, BRUCE SCHROEDER, JOSEPH GLENSKI, ALAN HERR, HERBERT HERR, STANLEY MINDEL, FRANK CARDELL, THOMAS EHRLICH, PACIFIC WIRELESS COMMUNICATIONS, INC., NATIONWIDE WIRELESS CORPORATION, RONALD H. MICHEL, STEVEN REGAN, WILLIAM R. HORNE, DANIEL KELLY, and PHILIP J. CARATOZZOLO, 2:96-cv-02107 (D.N.J.)
Date Filed:

BARRY EDWARD MITCHELL

State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RENEW SPINAL CARE, INC., LASERSCOPIC MEDICAL CLINIC, LLC, JOE SAMUEL BAILEY, BARRY EDWARD MITCHELL, LAURENCE GROSSNICKLE, and CHARLES CLEMENT GOUBERT, JR., 2:20-cv-03676 (C.D. Cal.)
Date Filed:

GARY MITCHELL

Current Age: 56 - 58
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROBERT MITCHELL and GARY MITCHELL, SEC File No. 3-9151
Date Filed:

GREGORY J MITCHELL

Current Age: 74 - 76
State: Virginia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SIGNATOR INVESTORS, INC. and GREGORY J. MITCHELL, SEC File No. 3-16753
Date Filed:

IAN MITCHELL

Current Age: 36 - 38
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. IAN MITCHELL, 1:24-cv-08741 (S.D.N.Y.)
Date Filed:

JAMES O MITCHELL

State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RALPH K. UNGERMANN, ALAN J. MCMILLAN, and JAMES O. MITCHELL, 5:02-cv-05613 (N.D. Cal.)
Date Filed:

JARED MITCHELL

Current Age: 42 - 44
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RICHARD ST. JULIEN, JARED MITCHELL, CHRISTOPHER F. CASTALDO, LOUIS F. PETROSSI, HERSCHEL C. (a/k/a TRES) KNIPPA, RICHARD L. BROWN, GERALD J. (a/k/a GERRY) COCUZZO, NAVEED A. (a/k/a NICK) KHAN, MAROOF MIYANA, and PRANAV V. PATEL, 1:16-cv-02193 (E.D.N.Y.)
Date Filed:

JARED MITCHELL

Current Age: 42 - 44
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JEFFREY AUERBACH, JARED MITCHELL, AND RICHARD BROWN, 2:19-cv-05631 (E.D.N.Y.)
Date Filed:

JEFFREY D MITCHELL

State: Washington (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CAPITAL HOLDINGS, L.L.C.; CAPITAL HOLDINGS INT, L.L.C.; SMITTY'S INVESTMENTS, L.L.C.; MONARCH CAPITAL HOLDINGS, L.L.C.; NATIONAL MARKETING SOLUTIONS, L.L.C.; NORTH WEST GROUP, L.L.C.; HERITAGE AMERICA; NORMAN E. SCHMIDT; GEORGE BEROS; CHARLES F. LEWIS; TERRY LORENZEN; JEFFREY D. MITCHELL; JOHN J. SCHLABACH; MICHAEL D. SMITH; MICHAEL VALLONE; ROY R. CHAVERS; GARY N. HERBERT; GEORGE A. WEED, 1:03-cv-00923 (D. Colo.)
Date Filed:

JEFFREY D MITCHELL

State: Washington (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JEFFREY D. MITCHELL, SEC File No. 3-12891
Date Filed:

RALPH MITCHELL

State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JAMES R. POWELL, RALPH MITCHELL, MARK J. CORJAY, MICHAEL D. SCANNELL, and E. SUZANNE GARRETT, 4:06-cv-00311 (E.D. Tex.)
Date Filed:

ROBERT MITCHELL

Current Age: 56 - 58
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROBERT MITCHELL and GARY MITCHELL, SEC File No. 3-9151
Date Filed:

ROBERT S MITCHELL

Current Age: 69 - 71
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARC A. OSHEROFF, BARRY GESSER, ROBERT S. MITCHELL, GLEN T. VITTOR, and SHELDON MASCHLER, 1:98-cv-00914 (S.D. Fla.)
Date Filed:

STEWART P MITCHELL

Also Known As: TOM MITCHELL
Current Age: 74 - 76
State: Virginia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. STEWART P. "TOM” MITCHELL, 4:06-cv-00109 (E.D. Va.)
Date Filed:

THOMAS L MITCHELL

Current Age: 78 - 80
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MITCHELL PORTER & WILLIAMS, INC., THE ADIVANALA AA INVESTMENT TRUST, AB3, INC. and THOMAS L. MITCHELL, 2:10-cv-01576 (C.D. Cal.)
Date Filed:

THOMAS L MITCHELL

Current Age: 77 - 79
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MITCHELL PORTER & WILLIAMS, INC. and THOMAS L. MITCHELL, SEC File No. 3-14219
Date Filed:

WILLIAM B MITCHELL

State: Maryland (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. GARFIELD TAYLOR, INCORPORATED, GIBRALTAR ASSET MANAGEMENT GROUP, LLC, GARFIELD M. TAYLOR, BENJAMIN C. DALLEY, JEFFREY A. KING, RANDOLPH M. TAYLOR, MAURICE G. TAYLOR and WILLIAM B. MITCHELL , 1:11-cv-02054 (D.D.C.)
Date Filed:

WILLIAM B MITCHELL

Current Age: 56 - 58
State: Maryland (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of WILLIAM B. MITCHELL, SEC File No. 3-15195
Date Filed:

RONALD J MITCHELLETTE

Enforcement Action: In the Matter of RONALD J. MITCHELLETTE, SEC File No. 3-9352
Date Filed:

RONALD J MITCHELLETTE

Current Age: 87 - 89
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RONALD J. MITCHELLETTE, 5:00-cv-20531 (N.D. Cal.)
Date Filed:

RONALD J MITCHELLETTE

Current Age: 87 - 89
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RONALD J. MITCHELLETTE and ROBERT HARDY, 9:97-cv-08064 (S.D. Fla.)
Date Filed:

WALTHER MÖLLER

Also Known As: WALTHER MÖLLER UBANDO
Current Age: 63 - 65
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. FERNANDO J. ESPUELAS, JACK C. CHEN, STEVEN J. HELLER, PETER R. MORALES, WALTHER MÖLLER, BETSY D. SCOLNIK, ADRIANA J. KAMPFNER, and PETER E. BLACKER, 1:06-cv-02435 (S.D.N.Y.)
Date Filed:

ERIC MONCHECOURT

Enforcement Action: In the Matter of Eric Monchecourt, SEC File No. 3-9815
Date Filed:

SIDNEY MONDSCHEIN

Current Age: 68 - 70
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE v. SIDNEY MONDSCHEIN, 3:07-cv-06178 (N.D. Cal.)
Date Filed:

SIDNEY MONDSCHEIN

Current Age: 67 - 69
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SIDNEY MONDSCHEIN, SEC File No. 3-13013
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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