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Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BLACK DRAGON CAPITAL, LLC, BLACK DRAGON CAPITAL INVESTMENT MANAGEMENT, LLC a/k/a BLACK DRAGON CAPITAL INVESTMENT MANAGEMENT, INC., and LOUIS HERNANDEZ, JR., 9:24-cv-81067 (S.D. Fla.)
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROBIN BREITNER, JOHN DIBELLA, RAYMOND HERNANDEZ, RICHARD MOLINSKY, RICHARD SMITH, and RICHARD GAYDOS, SEC File No. 3-11105
Enforcement Action: In the Matter of MERGENET MEDICAL INC., BRUCE MATTHEW SHER, SHARA ANNE HERNANDEZ, and PETER ANTHONY DECICCO JR., SEC File No. 3-18253
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MAGDALENA TAVELLA, ANDRES HORACIO FICICCHlA, GONZALO GARCIA BLAYA, LUCIA MARlANA HERNANDO, CECILIA DE LORENZO, ADRIANA ROSA BAGATTIN, DANIELA PATRICIA GOLDMAN, MARIANO PABLO FERRARI, MARIANO GRACIARENA, and FERNANDO LOUREYRO, 1:13-cv-04609 (S.D.N.Y.)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PIXARBIO CORP., FRANCIS M. REYNOLDS, KENNETH A. STROMSLAND and M. JAY HEROD, 1:18-cv-10797 (D. Mass.)
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.)
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.)
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.
