SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
AARON R PARTHEMER
Current Age: 51 - 53
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of AARON R. PARTHEMER, SEC File No. 3-17878
Date Filed:
HERIBERTO C PEREZ VALDES
Also Known As: HERIBERTO C. PEREZ VALDES
Current Age: 55 - 57
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DFRF ENTERPRISES LLC, DFRF ENTERPRISES, LLC, DANIEL FERNANDES ROJO FILHO, WANDERLEY M. DALMAN, GASPAR C. JESUS, EDUARDO N. DA SILVA, HERIBERTO C. PEREZ VALDES, JEFFREY A. FELDMAN and ROMILDO DA CUNHA, 1:15-cv-12857 (D. Mass.)
Date Filed:
MERVYN A PHELAN JR
Also Known As: BO PHELAN
Current Age: 56 - 58
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ALLEN Z. WOLFSON, MERVYN A. PHELAN, SR., DAVID WOLFSON, KEVIN KIRKPATRICK, ROBERT H. POZNER, JOHN R. CHAPMAN, MERVYN A. PHELAN, JR., CRAIG H. BROWN, JOHN W. CRUICKSHANK, JR., BONNIEJEAN C. TIPPETTS, FENG SHUI CONSULTANTS, INC. formerly WORLD ALLIANCE CONSULTING, INC., A-Z PROFESSIONAL CONSULTANTS RETIREMENT TRUST, INC., AZW IRREVOCABLE TRUST, SALOMON GREY FINANCIAL CORPORATION, ANGELO PAUL KOUPAS, KYLE ROWE, and CHRISTOPHER ROUNDTREE, 2:02-cv-01086 (D. Utah)
Date Filed:
MERVYN A PHELAN SR
Also Known As: MERV PHELAN
Current Age: 84 - 86
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ALLEN Z. WOLFSON, MERVYN A. PHELAN, SR., DAVID WOLFSON, KEVIN KIRKPATRICK, ROBERT H. POZNER, JOHN R. CHAPMAN, MERVYN A. PHELAN, JR., CRAIG H. BROWN, JOHN W. CRUICKSHANK, JR., BONNIEJEAN C. TIPPETTS, FENG SHUI CONSULTANTS, INC. formerly WORLD ALLIANCE CONSULTING, INC., A-Z PROFESSIONAL CONSULTANTS RETIREMENT TRUST, INC., AZW IRREVOCABLE TRUST, SALOMON GREY FINANCIAL CORPORATION, ANGELO PAUL KOUPAS, KYLE ROWE, and CHRISTOPHER ROUNDTREE, 2:02-cv-01086 (D. Utah)
Date Filed:
GEORGE L PHELPS
Current Age: 70 - 72
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. MICHAEL E. KELLY; MICHAEL P. KELLY; DONALD L. KELLY; JOHN L. CORWIN; CORPORATIVO NOLA, S.A. DE C.V.; RESORT HOLDING INTERNATIONAL (RHI) S.A.; PANORAMA COMMUNITIES, S.A.; WORLD PHANTASY TOURS, INC. (VIAJES Y FANTASIA POR EL MUNDO, S.A.), ALSO D/B/A MAJESTY TRAVEL; GALAXY PROPERTIES MANAGEMENT, S.A.; YUCATAN RESORTS, S.A. DE C.V.; RESORT HOLDINGS INTERNATIONAL, S.A. de C.V.; MARK RUTTENBERG; RUTTENBERG & ASSOCIATES FINANCIAL MARKETING, INC.; MARK G. MEYER; MARK MEYER & ASSOCIATES, INC.; RICHARD E. RINER; SOUTHWEST INCOME MARKETING, INC.; GEORGE PHELPS, ALSO D/B/A SAFE ESTATE PLANS; JOHN E. TENCZA, ALSO D/B/A AMERICAN INVESTMENT MANAGEMENT GROUP, INC.; AMERICAN ELDER GROUP, L.L.C.; CARL Q. LEE; CARL LEE AND ASSOCIATES, INC.; ROY D. HIGGS; WARREN T. CHAMBERS; WILLIAM K. BOSTON, JR.; CENTURY ESTATE PLANNING, INC., 1:07-cv-04979 (N.D. Ill.)
Date Filed:
GEORGE L PHELPS
Current Age: 71 - 73
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GEORGE L. PHELPS, SEC File No. 3-13315
Date Filed:
SCOTT STACY PHELPS
Current Age: 52 - 54
State: Kentucky (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. SCOTT STACY PHELPS and JAMES MICHAEL HARPER, 1:18-cv-00122 (W.D. Ky.)
Date Filed:
MARIO PINCHEIRA
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PAUL MATA, DAVID KAYATTA, MARIO PINCHEIRA, SECURED CAPITAL INVESTMENTS, LLC, LOGOS REAL ESTATE HOLDINGS, LLC, LOGOS WEALTH ADVISORS INC., LIFETIME ENTERPRISES, LLC (dba LOGOS LIFETIME LIFETIME UNIVERSITY), 5:15-cv-01792 (C.D. Cal.)
Date Filed:
MARIO PINCHEIRA
Current Age: 61 - 63
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MARIO PINCHEIRA, SEC File No. 3-17521
Date Filed:
CASIMER POLANCHEK
Current Age: 41 - 43
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JASON MOGLER, JAMES HINKELDEY, CASIMER POLANCHEK, BRIAN BUCKLEY and JAMES STEVENS, 2:15-cv-01814 (D. Ariz.)
Date Filed:
CASIMER ANTHONY POLANCHEK
Current Age: 41 - 43
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CASIMER ANTHONY POLANCHEK, SEC File No. 3-20091
Date Filed:
JOSEPH R PORCHE
Current Age: 65 - 67
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOSEPH R. PORCHE, SEC File No. 3-14197
Date Filed:
JOSEPH RUDOLPH PORCHE
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOSEPH R. PORCHE, LARRY R. CROWDER, KONRAD C. KAFARSKI, CARLTON L. WILLIAMS, GARY K. JUNCKER, and DALE J. ENGELHARDT, 8:10-cv-01165 (C.D. Cal.)
Date Filed:
PHILIP S PORTOGHESE
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DALE J. LANGE, ET AL., 2:97-cv-06018 (E.D. Pa.)
Date Filed:
STEPHEN P PORTOGHESE
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DALE J. LANGE, ET AL., 2:97-cv-06018 (E.D. Pa.)
Date Filed:
STUART W PORTOGHESE
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DALE J. LANGE, ET AL., 2:97-cv-06018 (E.D. Pa.)
Date Filed:
ERIC J PRITCHETT
Current Age: 49 - 51
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of POTAMUS TRADING LLC and ERIC J. PRITCHETT, SEC File No. 3-19844
Date Filed:
CHETAN PRABHU SREE KARTEEK PULAGAM
Also Known As: CHETAN PRABHU SREE KARTEEK PULAGAM
Current Age: 33 - 35
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. HARI PRASAD SURE, LOKESH LAGUDU, CHOTU PRABHU TEJ PULAGAM, DILEEP KUMAR REDDY KAMUJULA, SAI MOUNIKA NEKKALAPUDI, ABHISHEK DHARMAPURIKAR, and CHETAN PRABHU SREE KARTEEK PULAGAM, 3:22-cv-01967 (N.D. Cal.)
Date Filed:
J STEPHEN PUTNAM
Also Known As: STEPHEN PUTNAM
Current Age: 81 - 83
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RAYMOND JAMES FINANCIAL SERVICES, INC., J. STEPHEN PUTNAM and DAVID LEE ULLOM, SEC File No. 3-11692
Date Filed:
JAMES S QUAY
Also Known As: JIM QUAY, STEPHEN QUAY, STEPHEN JAMESON
Current Age: 62 - 64
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JAMES S. QUAY, a/k/a JIM QUAY, a/k/a STEPHEN QUAY, a/k/a STEPHEN JAMESON, and JEFFREY A. QUAY, 1:12-cv-03429 (N.D. Ga.)
Date Filed:
JAMES S QUAY
Also Known As: JIM QUAY, STEPHEN QUAY, STEPHEN JAMESON
Current Age: 63 - 65
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JAMES S. QUAY a/k/a JIM QUAY a/k/a STEPHEN QUAY a/k/a STEPHEN JAMESON, SEC File No. 3-15091
Date Filed:
JAMES S QUAY
Also Known As: JIM QUAY, STEPHEN QUAY, STEPHEN JAMESON
Enforcement Action: In the Matter of JAMES S. QUAY a/k/a JIM QUAY a/k/a STEPHEN QUAY a/k/a STEPHEN JAMESON, SEC File No. 3-15092
Date Filed:
JAMES S QUAY
Also Known As: STEPHEN JAMESON
Current Age: 63 - 65
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOSEPH ANDREW PAUL, JOHN D. ELLIS, JR., JAMES S. QUAY, a/k/a "STEPHEN JAMESON," and DONALD H. ELLISON, 2:16-cv-01326 (E.D. Pa.)
Date Filed:
RODNEY SCOTT RATHEAL
Current Age: 63 - 65
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PREMCO WESTERN, INC., and RODNEY SCOTT RATHEAL, 2:12-cv-01120 (D. Utah)
Date Filed:
GARY RICHETELLI
Current Age: 76 - 78
State: Connecticut (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GARY RICHETELLI, 3:09-cv-00361 (D. Conn.)
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.
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