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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.)
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.)
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.)
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.)
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.)
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.)
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.)
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.)
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.)
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.
When making decisions about investments and investment professionals, you should not solely use this tool. For other resources and tools, see Information for the Individual Investor or visit Investor.gov.