SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
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:
KENNETH F RICHEY
Current Age: 68 - 70
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of KENNETH F. RICHEY, CPA, SEC File No. 3-9337
Date Filed:
TRAVIS RICHEY
Current Age: 42 - 44
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of TRAVIS RICHEY, SEC File No. 3-14976
Date Filed:
JAMES DAVIS RISHER
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JAMES DAVIS RISHER and DANIEL JOSEPH SEBASTIAN, 6:11-cv-01440 (M.D. Fla.)
Date Filed:
JAMES DAVIS RISHER
Enforcement Action: In the Matter of JAMES DAVIS RISHER, SEC File No. 3-14550
Date Filed:
HENRY ROCHE
Current Age: 64 - 66
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: Securities and Exchange Commission v. New Futures Trading International Corporation, and Henry Roche, 1:11-cv-00532 (D.N.H.)
Date Filed:
JOSEPH A ROCHE
Current Age: 58 - 60
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. KATHLEEN S. DOBENS, CHARLES S. DOBENS, JOSEPH A. ROCHE, SILEX GROUP, LLC, PREAKNESS APARTMENTS I & II, LLC, CHERRY HILLS APARTMENTS OF FORT WORTH, LLC, and CLEAR RIVER PARTNERS, LLC, 1:10-cv-10360 (D. Mass.)
Date Filed:
BRUCE CHET ROTHENBERG
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GERALD HAROLD LEVINE, MARIE A. LEVINE, MARY ANN METZ, DARIN SCOTT METZ, ALAN BRUCE COPELA., ISAAC BARRETT MORLEY, BRUCE CHET ROTHENBERG AND NUSTAR HOLDINGS, INC., 2:07-cv-00506 (D. Nev.)
Date Filed:
BRUCE CHET ROTHENBERG
Current Age: 61 - 63
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Bruce Chet Rothenberg, SEC File No. 3-12995
Date Filed:
MICHAEL B ROTHENBERG
Current Age: 40 - 42
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL B. ROTHENBERG, and ROTHENBERG VENTURES LLC (f/k/a FRONTIER TECHNOLOGY VENTURE CAPITAL LLC and ROTHENBERG VENTURES MANAGEMENT COMPANY, LLC), 3:18-cv-05080 (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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