SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
MARK SHEFTS
Current Age: 66 - 68
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ALL-TECH DIRECT, INC., f/k/a ALL-TECH INVESTMENT GROUP, INC., HARRY LEFKOWITZ, MARK SHEFTS, LISA ESPOSITO, RALPH ZULFERINO, DAVID WALDMAN, ADAM LEEDS, and BARRY PARISH, SEC File No. 3-10150
Date Filed:
RODNEY S SHEHYN
Also Known As: ROBERT SCHMIDT, ZACH ADAMS, JACK BISHOP, GEOFFREY WILLIAMS, ALEX GRAY, JASON HENLEY
Current Age: 82 - 84
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RODNEY S. SHEHYN, a.k.a. Robert Schmidt, a.k.a. Zach Adams, a.k.a. Jack Bishop, a.k.a. Geoffrey Williams, a.k.a. Alex Gray, a.k.a. Jason Henley, RODNEY D. MARR, a.k.a. Robert Moran, a.k.a. Ronald Carlson, DONALD L. MARR, a.k.a. Lloyd Weston, a.k.a. Donald Masters, and KAREN S. LEIGH, a.k.a. Elizabeth Blaine, a.k.a. Victoria Young, 1:04-cv-02003 (S.D.N.Y.)
Date Filed:
ZARRAR SHEIKH
Current Age: 54 - 56
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. OPULENTICA, LLC, ZARRAR SHEIKH, and NASSER A. DAWOUD, 1:03-cv-10165 (S.D.N.Y.)
Date Filed:
STEVEN J SHEINFELD
Current Age: 71 - 73
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. STEVEN J. SHEINFELD, 1:20-cv-01692 (M.D. Pa.)
Date Filed:
STEVEN J SHEINFELD
Current Age: 71 - 73
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of STEVEN J. SHEINFELD, CPA, SEC File No. 3-20930
Date Filed:
ALAN SHEINWALD
Current Age: 59 - 61
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ALAN SHEINWALD, ALLIANCE ADVISORS, LLC, and REN HU, 1:12-cv-05811 (S.D.N.Y.)
Date Filed:
ALAN SHEINWALD
Current Age: 58 - 60
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ALAN SHEINWALD AND ALLIANCE ADVISORS LLC, SEC File No. 3-15819
Date Filed:
TOMMY SHEK
Current Age: 41 - 43
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Anton & Chia, LLP, Gregory A. Wahl, CPA, Michael Deutchman, CPA, Georgia Chung, CPA, and Tommy Shek, CPA, SEC File No. 3-18292
Date Filed:
REX T SHELBY
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. KEVIN A. HOWARD, MICHAEL W. KRAUTZ, KEVIN P. HANNON, JOSEPH HIRKO, KENNETH D. RICE, REX T. SHELBY, SCOTT YEAGER, 4:03-cv-00905 (S.D. Tex.)
Date Filed:
SONJA F SHELBY
Current Age: 61 - 63
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SHE BEVERAGE COMPANY, INC., LUPE L. ROSE, SONJA F. SHELBY AND KATHERINE E. DIRDEN, 2:21-cv-07339 (C.D. Cal.)
Date Filed:
BENJAMIN P SHELL
Current Age: 60 - 62
State: Oklahoma (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. HEARTSOFT, INC., BENJAMIN P. SHELL and JIMMY L. BUTLER, 4:00-cv-00766 (N.D. Okla.)
Date Filed:
WILLIAM E SHELL
Current Age: 80 - 82
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. INTERACTIVE MEDICAL TECHNOLOGIES LTD., WILLIAM E. SHELL, AND CLARK M. HOLCOMB, 1:97-cv-06027 (S.D.N.Y.)
Date Filed:
E KIRK SHELTON
Also Known As: KIRK SHELTON
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. WALTER A. FORBES AND E. KIRK SHELTON, 3:01-cv-00987 (D.N.J.)
Date Filed:
JEFFREY SHELTON
Current Age: 57 - 59
State: Indiana (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SHELTON FINANCIAL GROUP, INC. and JEFFREY SHELTON, SEC File No. 3-16334
Date Filed:
KENNETH EDWARD SHELTON
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL ALLEN DUKE, MARTIN DELAINE LEWIS, MARK CHRISTOPHER PARMAN, KENNETH EDWARD SHELTON, AND BILLY RAY STATHAM, JR., 3:19-cv-00857 (N.D. Tex.)
Date Filed:
KENNETH EDWARD SHELTON
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of KENNETH EDWARD SHELTON, SEC File No. 3-19177
Date Filed:
MICHAEL SHEMMER
Current Age: 78 - 80
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ANTHONY POLLAK, YOSI RUBENSTEIN and MICHAEL SHEMMER, 1:00-cv-03892 (S.D.N.Y.)
Date Filed:
ANTHONY DONG-YIN SHEN
Current Age: 50 - 52
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ANTHONY DONG-YIN SHEN, SRINIVAS ANUMOLU, RONALD W. PINTO, DEBORAH J. BRECKENRIDGE, and DOMINICK J. SAVINO, 1:01-cv-02438 (S.D.N.Y.)
Date Filed:
GENE SHEN
Current Age: 67 - 69
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GENE SHEN, 5:18-cv-04104 (N.D. Cal.)
Date Filed:
ASHOK SHENDE
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MPI Investment Management, David Pequet and Ashok Shende, SEC File No. 3-9922
Date Filed:
ISRAEL M SHENKER
Current Age: 47 - 49
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ISRAEL M. SHENKER, SEC File No. 3-10631
Date Filed:
ISRAEL M SHENKER
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ISRAEL M. SHENKER, 1:01-cv-02296 (D.D.C.)
Date Filed:
CALVIN SHENKIR JR
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CALVIN SHENKIR, JR., SEC File No. 3-8876
Date Filed:
CALVIN SHENKIR JR
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ENVIRONMENTAL CHEMICALS GROUP, INC., CURTIS A. YOUNTS, JR., CALVIN SHENKIR, Jr., and CALVIN MOERBE, 5:96-cv-01319 (W.D. Tex.)
Date Filed:
AARON SHEPARD
Current Age: 46 - 48
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOHN GRAY, CHRISTIAN KELLER, KYLE MARTIN, and AARON SHEPARD, 3:15-cv-00551 (N.D. Cal.)
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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