SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
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:
MICHAEL B ROTHENBERG
Current Age: 40 - 42
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MICHAEL B. ROTHENBERG, SEC File No. 3-18871
Date Filed:
MICHAEL L ROTHENBERG
Current Age: 45 - 47
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL L. ROTHENBERG, and FOUR FIVE, LLC, 1:11-cv-01803 (N.D. Ga.)
Date Filed:
MICHAEL L ROTHENBERG
Current Age: 45 - 47
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MICHAEL L. ROTHENBERG, SEC File No. 3-14570
Date Filed:
THEODORE ROXFORD
Also Known As: LAWRENCE DAVID NIREN, THEODORE VAKIL, EDWARD PASTORINI
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. THEODORE ROXFORD aka LAWRENCE DAVID NIREN and HOLLINGSWORTH, ROTHWELL & ROXFORD, 07-cv-06146 (S.D.N.Y.)
Date Filed:
ADAM HARRINGTON RUCKDESCHEL
Current Age: 54 - 56
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SKY CAPITAL LLC a/k/a GRANTA CAPITAL LLC, ROSS MANDELL, STEPHEN SHEA, ADAM HARRINGTON RUCKDESCHEL, ARN WILSON, MICHAEL PASSARO and ROBERT GRABOWSKI, 1:09-cv-06129 (S.D.N.Y.)
Date Filed:
THEIRRY RUFFIN
Also Known As: THEIRRY REGAN
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PREMIER LINKS, INC., DWAYNE MALLOY, CHRIS DAMON, THEIRRY RUFFIN a/k/a THEIRRY REGAN, 1:14-cv-07375 (E.D.N.Y.)
Date Filed:
REID RUTHERFORD
Current Age: 71 - 73
Enforcement Action: In the Matter of REID RUTHERFORD, SEC File No. 3-9731
Date Filed:
LINA SAHEB
Current Age: 41 - 43
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of BROOGE ENERGY LIMITED, NICOLAAS LAMMERT PAARDENKOOPER and LINA SAHEB, SEC File No. 3-21816
Date Filed:
CYDNEY SANCHEZ
Current Age: 74 - 76
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. HORIZON PROPERTY HOLDINGS, L.C., and CYDNEY SANCHEZ, 2:09-cv-04340 (C.D. Cal.)
Date Filed:
JIMMY B SANCHEZ
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION V. JOSEPH A. BREMONT, JIMMY B. SANCHEZ, COMCAR INTERNATIONAL, LTD., COMMERCIAL CAPITAL RESOURCES, INC., LOOMIS LTD., MICHAEL R. SPECTOR, AND R.P.S. FINANCIAL GROUP, INC., 1:96-cv-08771 (S.D.N.Y.)
Date Filed:
JOSE LUIS CASERO SANCHEZ
Also Known As: JOSE LUIS CASERO SANCHEZ
Current Age: 38 - 40
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOSE LUIS CASERO SANCHEZ, 1:21-cv-08085 (S.D.N.Y.)
Date Filed:
RAFAEL SANCHEZ
Current Age: 66 - 68
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Rafael Sanchez, SEC File No. 3-14814
Date Filed:
RAFAEL R SANCHEZ
Also Known As: RAFAEL R. SANCHEZFOX
Current Age: 65 - 67
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MAM WEALTH MANAGEMENT, LLC; MAMW REAL ESTATE FUND GENERAL PARTNER, LLC; ALEX MARTINEZ; and RAPHAEL R. SANCHEZ, 2:11-cv-02934 (C.D. Cal.)
Date Filed:
RALPH SANCHEZ
Current Age: 73 - 75
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RALPH SANCHEZ, CPA, SEC File No. 3-10579
Date Filed:
WILLIAM SANCHEZ
Enforcement Action: SECURITIES & EXCHANGE COMMISSION v. BRIAN E. WILLIS AND WILLIAM SANCHEZ, 1:97-cv-07268 (S.D.N.Y.)
Date Filed:
MATHIAS FRANCISCO SANDOVAL HERRERA
Also Known As: MATHIAS FRANCISCO SANDOVAL HERRERA
Current Age: 63 - 65
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. MATHIAS FRANCISCO SANDOVAL HERRERA, MARIA D. CIDRE, and JOSE ANTONIO MIRANDA GONZALEZ, 1:17-cv-20301 (S.D. Fla.)
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.
For Search Tips and more about this tool, see About this Feature in Detail.
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.