SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
CHARLES S DUSHEK
Current Age: 48 - 50
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. CHARLES J. DUSHEK, CHARLES S. DUSHEK, and CAPITAL MANAGEMENT ASSOCIATES, INC., 1:13-cv-03669 (N.D. Ill.)
Date Filed:
CHARLES S DUSHEK
Current Age: 48 - 50
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHARLES S. DUSHEK, SEC File No. 3-15630
Date Filed:
SANDRA DYCHE
Current Age: 71 - 73
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SANDRA DYCHE, SEC File No. 3-16398
Date Filed:
VICTOR H ECHEVERRI
Current Age: 57 - 59
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOHN R. EASOM, WILLIAM ECHEVERRI, RORY E. TRINGALI, ROBERT MIKETICH, VICTOR H. ECHEVERRI, JOSEPH F. MANCUSO, PAUL S. QASSIS, and GARY S. SAGGU, 2:11-cv-07314 (D.N.J.)
Date Filed:
WILLIAM ECHEVERRI
Current Age: 52 - 54
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOHN R. EASOM, WILLIAM ECHEVERRI, RORY E. TRINGALI, ROBERT MIKETICH, VICTOR H. ECHEVERRI, JOSEPH F. MANCUSO, PAUL S. QASSIS, and GARY S. SAGGU, 2:11-cv-07314 (D.N.J.)
Date Filed:
WILLIAM ECHEVERRI
Current Age: 52 - 54
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of WILLIAM ECHEVERRI, SEC File No. 3-14682
Date Filed:
R STEPHEN EDGEL
Also Known As: STEPHEN EDGEL
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. WESTERN EXECUTIVE GROUP, INC., CASH SYSTEMS USA, INC., CHARLES R. RIETZ, ROBERT R. PARRISH, ROBERT J. STRUTH and R. STEPHEN EDGEL, 2:96-cv-06938 (C.D. Cal.)
Date Filed:
EDWARD SEWON EHEE
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. VIPER CAPITAL MANAGEMENT, LLC, COMPASS FUND MANAGEMENT, LLC, and EDWARD SEWON EHEE, 3:06-cv-06966 (N.D. Cal.)
Date Filed:
EDWARD SEWON EHEE
Current Age: 60 - 62
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of EDWARD SEWON EHEE, SEC File No. 3-12967
Date Filed:
MARSHALL G EICHENAUER JR
Current Age: 63 - 65
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Marshall G. Eichenauer, Jr. and Sagent Wealth Management, LLC, SEC File No. 3-18200
Date Filed:
WILLIAM H EICHENGREEN
Current Age: 76 - 78
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. WILLIAM H. EICHENGREEN and DAVID L. MYATT, 1:08-cv-05564 (N.D. Ill.)
Date Filed:
WILLIAM H EICHENGREEN
Current Age: 78 - 80
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of WILLIAM H. EICHENGREEN, SEC File No. 3-13690
Date Filed:
STEVEN EICHENHOLZ
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. STEVEN EICHENHOLZ, 1:01-cv-00034 (S.D.N.Y.)
Date Filed:
TINA EICHENHOLZ
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARISA BARIDIS, ET AL., 1:98-cv-08535 (S.D.N.Y.)
Date Filed:
DANIEL G EITRHEIM
Current Age: 68 - 70
State: Minnesota (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DOUGHERTY SUMMIT SECURITIES LLC, successor to DOUGHERTY DAWKINS, INC., THOMAS M. STRAND, RALPH L. MCGINLEY, and DANIEL G. EITRHEIM, SEC File No. 3-9929
Date Filed:
KHALED A ELDAHER
Current Age: 62 - 64
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Khaled A. Eldaher, SEC File No. 3-16326
Date Filed:
CHARLES E ETHERINGTON
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GEOFFREY ETHERINGTON II, MARIE A. ETHERINGTON, HAROLD W. ETHERINGTON, NORA H. ETHERINGTON, A&D COMPONENTS INC., CHARLES E. ETHERINGTON, CHRISTOPHER D. ANDERSON, ALISON J. ANDERSON, and NELLIE M. CARDI, 1:02-cv-00691 (D.D.C.)
Date Filed:
GEOFFREY ETHERINGTON II
State: Connecticut (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GEOFFREY ETHERINGTON II, MARIE A. ETHERINGTON, HAROLD W. ETHERINGTON, NORA H. ETHERINGTON, A&D COMPONENTS INC., CHARLES E. ETHERINGTON, CHRISTOPHER D. ANDERSON, ALISON J. ANDERSON, and NELLIE M. CARDI, 1:02-cv-00691 (D.D.C.)
Date Filed:
HAROLD W. ETHERINGTON
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GEOFFREY ETHERINGTON II, MARIE A. ETHERINGTON, HAROLD W. ETHERINGTON, NORA H. ETHERINGTON, A&D COMPONENTS INC., CHARLES E. ETHERINGTON, CHRISTOPHER D. ANDERSON, ALISON J. ANDERSON, and NELLIE M. CARDI, 1:02-cv-00691 (D.D.C.)
Date Filed:
MARIE A ETHERINGTON
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GEOFFREY ETHERINGTON II, MARIE A. ETHERINGTON, HAROLD W. ETHERINGTON, NORA H. ETHERINGTON, A&D COMPONENTS INC., CHARLES E. ETHERINGTON, CHRISTOPHER D. ANDERSON, ALISON J. ANDERSON, and NELLIE M. CARDI, 1:02-cv-00691 (D.D.C.)
Date Filed:
NORA H ETHERINGTON
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GEOFFREY ETHERINGTON II, MARIE A. ETHERINGTON, HAROLD W. ETHERINGTON, NORA H. ETHERINGTON, A&D COMPONENTS INC., CHARLES E. ETHERINGTON, CHRISTOPHER D. ANDERSON, ALISON J. ANDERSON, and NELLIE M. CARDI, 1:02-cv-00691 (D.D.C.)
Date Filed:
MARY A FAHER
Current Age: 67 - 69
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MARY A. FAHER, SEC File No. 3-18830
Date Filed:
GEORGE FAHEY
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. INVERWORLD, INC., ET AL., 5:99-cv-00822 (W.D. Tex.)
Date Filed:
GEORGE F FAHEY
Enforcement Action: In the Matter of GEORGE F. FAHEY, SEC File No. 3-11344
Date Filed:
MICHAEL J FANGHELLA
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PINNFUND USA, INC., PEREGRINE FUNDING, INC., ALLIED CAPITAL PARTNERS, GRAFTON PARTNERS, SIX SIGMA, LLC A/K/A 6 SIGMA, LLC, MICHAEL J. FANGHELLA, and JAMES L. HILLMAN, 3:01-cv-00496 (S.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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