SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
JAMES MOODHE
Current Age: 66 - 68
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JAMES MOODHE, SEC File No. 3-18418
Date Filed:
DONNA N MOREHEAD
Current Age: 65 - 67
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DONNA N. MOREHEAD, SEC File No. 3-10814
Date Filed:
MICHAEL C MULCAHEY
Current Age: 67 - 69
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ADELPHIA COMMUNICATIONS CORPORATION, JOHN J. RIGAS, TIMOTHY J. RIGAS, MICHAEL J. RIGAS, JAMES P. RIGAS, JAMES R. BROWN, and MICHAEL C. MULCAHEY, 1:02-cv-05776 (S.D.N.Y.)
Date Filed:
JAMES MULHEARN
Current Age: 52 - 54
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JAMES MULHEARN, DAMIAN DELGADO, AND ADRIAN BALBOA, 0:03-cv-61747 (S.D. Fla.)
Date Filed:
JAMES MULHEARN
Current Age: 52 - 54
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JAMES MULHEARN, SEC File No. 3-11299
Date Filed:
FRANK NACCACHE
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AVY AMOUYAL, ANDRE AMOUYAL, PINHAS AMOUYAL, SAMUEL CHEMOUNY, SERGE HADDAD, MARC BITAN, BERNARD BRACHA, GERARD PARIENTE, FRANK NACCACHE and ARNAUD MIMRAN, 1:00-cv-02029 (S.D.N.Y.)
Date Filed:
LENNY NACHER
Also Known As: ALEXANDER HAMILTON, STUART JEFFRIES
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ALAN BENLOLO AKA ALLEN BENDER AKA HAIME ESCALANTE AKA STUART JEFFRIES, MICHAEL RISMAN AKA GRAHAM BAKER, LENNY NACHER AKA ALEXANDER HAMILTON AKA STUART JEFFRIES, AND STEPHEN DALE AKA DANE TEMPLETON, 1:99-cv-00341 (S.D.N.Y.)
Date Filed:
ANTHONY M NECOECHEA
Current Age: 58 - 60
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. U.S. WIND FARMING, INC., WILLIAM L. TELANDER, MAD WORLD CAPITAL GROUP, LLC, TEMPLAR FINANCIAL, LLC, TIME LIMIT CAPITAL, LLC, RAYMOND J. MCNAMEE, 20TH CENTURY JACKSON EQUITIES, INC., ANTHONY M. NECOECHEA, ASHLIN CAPITAL, LLC, KYOTO CAPITAL GROUP, LLC, CHARLES S. FLEMMING, ORONEX, LLC, and MICHAEL D. SPADACCINI, 1:05-cv-04259 (N.D. Ill.)
Date Filed:
SHERVIN NEMAN
Also Known As: SHERVIN DAVATGARZADEH
Current Age: 42 - 44
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SHERVIN NEMAN and NEMAN FINANCIAL, INC., 2:12-cv-03142 (C.D. Cal.)
Date Filed:
CHAN TZE NGON
Also Known As: CHEN ZI ANG, RON CHAN, CHAN TZE NGON
Current Age: 68 - 70
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CHAN TZE NGON and JIANG XIANGYUAN, 1:13-cv-06828 (S.D.N.Y.)
Date Filed:
PAUL EDWARD NORTHEN
Current Age: 59 - 61
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROLLINS, INC., and PAUL EDWARD NORTHEN, SEC File No. 3-20824
Date Filed:
STEVEN E NOTHERN
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. STEVEN E. NOTHERN, 1:05-cv-10983 (D. Mass.)
Date Filed:
STEVEN E NOTHERN
Current Age: 67 - 69
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of STEVEN E. NOTHERN, SEC File No. 3-13811
Date Filed:
RANDY E OLSHEN
Current Age: 61 - 63
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RANDY E. OLSHEN, SEC File No. 3-16549
Date Filed:
MICHAEL J OPPENHEIM
Current Age: 57 - 59
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION, v. MICHAEL J. OPPENHEIM, 1:15-cv-02957 (S.D.N.Y.)
Date Filed:
MICHAEL J OPPENHEIM
Current Age: 58 - 60
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MICHAEL J. OPPENHEIM, SEC File No. 3-17397
Date Filed:
ROBERT S OPPENHEIMER
Current Age: 66 - 68
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. HAROLD BAILEY "B.J." GALLISON, II (A.K.A. BART WILLIAMS), MONEYLINE BROKERS, BASTILLE ADVISORS, INC., CLUB CONSULTANTS, INC., JUROJIN, INC., SANDIAS AZUCARADAS CR, S.A., VANILLA SKY, S.A., ROGER G. COLEMAN, SR., ANN "ANNA" M. HISKEY, ROBIN M. RUSHING, DAVID K. RUSHING, MICHAEL J. RANDLES, WARRIOR GIRL CORP., CARL H. KRUSE, SR., CARL H. KRUSE, JR. (A.K.A. CARL KRUSE-VELASQUEZ), ALLAN M. MIGDALL, NATURE'S PEAK F.K.A. EVEROCK, INC., FRANK J. ZANGARA, MARK S. DRESNER, CHARLES "CHUCK" S. MOELLER, ROBERT S. OPPENHEIMER, ANTONIO ("TONY" OR "ANTHONY") J. KATZ, RICHARD S. ROON, FRY CANYON CORPORATION, L.F. TECHNOLOGY GROUP LLC, STARBURST INNOVATIONS LLC, TACHION PROJECTS, INC., B.H.I. GROUP, INC., U D F CONSULTING INC., DIGITAL EDGE MARKETING LLC, CORE BUSINESS ONE, INC., SPECTRUM RESEARCH GROUP INC., OCEANIC CONSULTING LLC, and AKAT GLOBAL LLC, 1:15-cv-05456 (S.D.N.Y.)
Date Filed:
ERIC OSCHER
Current Age: 56 - 58
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of BRIARGATE TRADING, LLC and ERIC OSCHER, SEC File No. 3-16889
Date Filed:
MARC A OSHEROFF
Current Age: 68 - 70
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:
PATRICIA OWEN-MICHEL
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PATRICIA OWEN-MICHEL, SEC File No. 3-9107
Date Filed:
DANIEL PACHECO
Current Age: 50 - 52
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DANIEL PACHECO, 5:19-cv-00958 (C.D. Cal.)
Date Filed:
MOISES PACHECO
Current Age: 56 - 58
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MOISES PACHECO, ADVANCED MONEY MANAGEMENT, INC., and BUSINESS DEVELOPMENT & CONSULTING CO., 3:09-cv-01355 (S.D. Cal.)
Date Filed:
RICHARD G PACHECO
Current Age: 60 - 62
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. WELLCO ENERGY L.L.C., JUSTIN WILLIAM RIFKIN, PATRICK V. LOOPER, RICHARD G. PACHECO, and DUSTIN D. WHITE, 1:09-cv-01114 (D. Colo.)
Date Filed:
RICHARD G PACHECO
Current Age: 59 - 61
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Richard G. Pacheco, SEC File No. 3-13856
Date Filed:
JAMES B PANTHER JR
Current Age: 51 - 53
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. FRANCISCO ABELLAN VILLENA, GUILLERMO CIUPIAK, JAMES B. PANTHER, JR., and FAIYAZ DEAN, 1:18-cv-04309 (S.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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