SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
DOUGLAS GERALD FATHERS
Current Age: 59 - 61
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GELUK CAPITAL MANAGEMENT LTD. AND DOUGLAS GERALD FATHERS, SEC File No. 3-20906
Date Filed:
MARK FEATHERS
Current Age: 60 - 62
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SMALL BUSINESS CAPITAL CORP.; MARK FEATHERS; INVESTORS PRIME FUND, LLC; and SBC PORTFOLIO FUND, LCC, 5:12-cv-03237 (N.D. Cal.)
Date Filed:
DAVID FEATHERSTONE
Current Age: 77 - 79
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RETIREMENT SURETY LLC, CRESCENDO FINANCIAL LLC, THOMAS ROSE, DAVID LEEMAN, AND DAVID FEATHERSTONE, SEC File No. 3-18061
Date Filed:
ENRIQUE FIALLO
Also Known As: HENRY FIALLO
Current Age: 70 - 72
State: New Hampshire (per Complaint/Order Instituting Proceedings)
Enforcement Action: Securities and Exchange Commission v. Enrique (Henry) Fiallo, 1:07-cv-00036 (D.N.J.)
Date Filed:
DANIEL T FISCHER
Current Age: 50 - 52
State: Connecticut (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ZACHARY S. BERKEY and DANIEL T. FISCHER, 1:17-cv-09552 (S.D.N.Y.)
Date Filed:
DANIEL T FISCHER
Current Age: 49 - 51
State: Connecticut (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DANIEL T. FISCHER, SEC File No. 3-18351
Date Filed:
GARY L FISCHER
Current Age: 73 - 75
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. INTEGRATED SILICON SOLUTION, INC. and GARY L. FISCHER, 5:07-cv-03945 (N.D. Cal.)
Date Filed:
ROBERT A FISCHER
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. STRUCTURAL DYNAMICS RESEARCH CORPORATION, RONALD J. FRIEDSAM, RONALD H. HOFFMAN, ROBERT A. FISCHER, TONY TOLANI AND RICHARD J. LAJOIE, JR., 1:97-cv-00352 (S.D. Ohio)
Date Filed:
STEPHEN J FISCHER
Enforcement Action: In the Matter of SHAMROCK PARTNERS LTD., JAMES T. KELLY, JOHN R. DOYLE, and STEPHEN J. FISCHER, SEC File No. 3-10344
Date Filed:
STEVEN P FISCHER
Current Age: 58 - 60
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PHILLIP W. OFFILL, JR., DAVID B. STOCKER, CURTIS-CASE, INC., SHANE A. MULLHOLAND, RYAN M. REYNOLDS, TIMOTHY T. PAGE, STEVEN P. FISCHER, RSMR CAPITAL GROUP, INC., DISSEMINATION SERVICES, L.L.C., PAGE PROPERTIES, L.P., ATN ENTERPRISES, L.L.C., 3:07-cv-01643 (N.D. Tex.)
Date Filed:
EARL W FISHER
Enforcement Action: In the Matter of STERN FISHER EDWARDS and EARL W. FISHER, SEC File No. 3-9919
Date Filed:
ELLEN S FISHER
Current Age: 54 - 56
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA, SEC File No. 3-20395
Date Filed:
ELLIOT S FISHER
Current Age: 82 - 84
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ARTHUR L. TOLL, BRUCE B. EDMONDSON, GERALD LEVINSON and ELLIOT S. FISHER, 2:98-cv-02325 (E.D. Pa.)
Date Filed:
ELLIOT S FISHER
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ELLIOT S. FISHER, ESQ., SEC File No. 3-10962
Date Filed:
JAMES E FISHER
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RUSSELL S. SMITH, JAMES O. FOUST, JOHN E. BURSE, AND JAMES E. FISHER, 1:96-cv-00166 (W.D. Ky.)
Date Filed:
JEREMY S FISHER
Current Age: 54 - 56
State: Minnesota (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JEREMY S. FISHER, THE GOOD LIFE FINANCIAL GROUP, INC., AND THE GOOD LIFE GLOBAL ENTERPRISES, LLC, 3:13-cv-00683 (W.D. Wis.)
Date Filed:
JEREMY S FISHER
Current Age: 54 - 56
State: Minnesota (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JEREMY S. FISHER, SEC File No. 3-15598
Date Filed:
JOHN W FISHER
Current Age: 81 - 83
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOHN W. FISHER, 0:21-cv-60624 (S.D. Fla.)
Date Filed:
JOHN W FISHER
Current Age: 81 - 83
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of John W. Fisher, SEC File No. 3-21201
Date Filed:
MARK E FISHER
Current Age: 60 - 62
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARK E. FISHER and JOSEPH F. CAPUOZZO, 9:18-cv-81428 (S.D. Fla.)
Date Filed:
MARK E FISHER
Current Age: 60 - 62
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MARK E. FISHER, Esq., SEC File No. 3-18880
Date Filed:
MICHAEL DAVID FISHER
Current Age: 44 - 46
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PAUL R. MONTGOMERY, JR., MICHAEL D. FISHER, AND JAMES H. WILLINGHAM, JR., 5:20-cv-00598 (W.D. Tex.)
Date Filed:
MICHAEL R FISHER
Current Age: 61 - 63
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of 1st DISCOUNT BROKERAGE, INC. and MICHAEL R. FISHER, SEC File No. 3-14710
Date Filed:
N TYLER FISHER
Also Known As: TYLER FISHER
Current Age: 48 - 50
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PETER W. FISHER, N. TYLER FISHER, DAVID B. STOCKER, PHILLIP W. OFFILL, JR., AND COLLECTIVE THOUGHT HOLDINGS, INC., 2:07-cv-12552 (E.D. Mich.)
Date Filed:
PETER W FISHER
Current Age: 78 - 80
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PETER W. FISHER, N. TYLER FISHER, DAVID B. STOCKER, PHILLIP W. OFFILL, JR., and COLLECTIVE THOUGHT HOLDINGS, INC., 2:07-cv-12552 (E.D. Mich.)
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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