SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
EDWARD J DRIVING HAWK SR
Current Age: 88 - 90
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of EDWARD J. DRIVING HAWK, SR., SEC File No. 3-13745
Date Filed:
JOHN V BIVONA
Current Age: 83 - 85
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOHN V. BIVONA; SADDLE RIVER ADVISORS, LLC; SRA MANAGEMENT ASSOCIATES, LLC; FRANK GREGORY MAZZOLA, 3:16-cv-01386 (N.D. Cal.)
Date Filed:
JOHN V BIVONA
Enforcement Action: In the Matter of JOHN V. BIVONA, SEC File No. 3-18343
Date Filed:
MAURIZIO CHIRIVA-INTERNATI
Current Age: 56 - 58
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MAURIZIO CHIRIVA-INTERNATI, 4:24-cv-04729 (S.D. Tex.)
Date Filed:
JOSEPH X CRIVELLI
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOSEPH X. CRIVELLI, 1:04-cv-01247 (D.D.C.)
Date Filed:
JOSEPH X CRIVELLI
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JC Management, Inc. and Joseph X. Crivelli, SEC File No. 3-11561
Date Filed:
ADAM DASKIVICH
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. MARCUS LUNA, NATHAN MONTGOMERY, ADAM DASKIVICH, DAVID MURTHA, ST. PAUL VENTURE FUND LLC, MINNESOTA VENTURE CAPITAL, INC., REAL ESTATE OF MINNESOTA, INC., and MATRIX VENTURE CAPITAL, INC., 2:10-cv-02166 (D. Nev.)
Date Filed:
ROBERT DE LA RIVA
Current Age: 50 - 52
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PENSION FUND OF AMERICA L.C., PFA ASSURANCE GROUP, LTD., PFA INTERNATIONAL, LTD., CLAREN TPA, LLC, LUIS M. CORNIDE, and ROBERT DE LA RIVA, 1:05-cv-20863 (S.D. Fla.)
Date Filed:
ROBERT DE LA RIVA
Enforcement Action: In the Matter of ROBERT DE LA RIVA, SEC File No. 3-12648
Date Filed:
GARY J DIVALL
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GARY J. DIVALL AND PAUL E. MAGNUSON, 3:96-cv-00634 (W.D. Wis.)
Date Filed:
GARY J DIVALL
Current Age: 83 - 85
State: Wisconsin (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GARY J. DIVALL and PAUL E. MAGNUSON, SEC File No. 3-9306
Date Filed:
GEORGE L DIVEL III
Current Age: 48 - 50
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GEORGE L. DIVEL, III, SEC File No. 3-20518
Date Filed:
RICHARD T DIVER
Current Age: 67 - 69
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RICHARD T. DIVER, 1:19-cv-02771 (S.D.N.Y.)
Date Filed:
RICHARD T DIVER
Current Age: 67 - 69
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RICHARD T. DIVER, SEC File No. 3-19827
Date Filed:
GORDON A DRIVER
Current Age: 66 - 68
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GORDON A. DRIVER and AXCESS AUTOMATION, LLC, 2:09-cv-03410 (C.D. Cal.)
Date Filed:
GORDON A DRIVER
Current Age: 65 - 67
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GORDON A. DRIVER, SEC File No. 3-14161
Date Filed:
JAMES PATRICK DRIVER
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JAMES PATRICK DRIVER, SEC File No. 3-11345
Date Filed:
EDWARD J DRIVING HAWK SR
Also Known As: EDWARD DRIVING HAWK, ED DRIVING HAWK
Current Age: 89 - 91
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. U. S. RESERVATION BANK & TRUST; HIGHER INVESTMENTS TECHNOLOGIES, INC.; GLOBAL-LINK CAPITAL MARKETS, LTD.; EDWARD J. DRIVING HAWK, SR.; LEO R. DRIVING HAWK, SR.; JOHN M. ADAMS; EDMUND J. SMEDLEY; KENNETH S. HARRISON; WILLIAM J. HERISKO; and THOMAS T. EMERTON, III, 2:02-cv-00581 (D. Ariz.)
Date Filed:
LEO R DRIVING HAWK SR
Also Known As: LEO DRIVING HAWK
Current Age: 59 - 61
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. U. S. RESERVATION BANK & TRUST; HIGHER INVESTMENTS TECHNOLOGIES, INC.; GLOBAL-LINK CAPITAL MARKETS, LTD.; EDWARD J. DRIVING HAWK, SR.; LEO R. DRIVING HAWK, SR.; JOHN M. ADAMS; EDMUND J. SMEDLEY; KENNETH S. HARRISON; WILLIAM J. HERISKO; and THOMAS T. EMERTON, III, 2:02-cv-00581 (D. Ariz.)
Date Filed:
LEO R DRIVING HAWK SR
Current Age: 58 - 60
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of LEO R. DRIVING HAWK, SR., SEC File No. 3-13747
Date Filed:
PAUL F GALLIVAN
Current Age: 51 - 53
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PAUL F. GALLIVAN, SEC File No. 3-20939
Date Filed:
ROBERT J GALLIVAN
Current Age: 88 - 90
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROBERT J. GALLIVAN, 3:06-cv-02632 (S.D. Cal.)
Date Filed:
FOTIOS GEIVELIS JR
Also Known As: FRANK ANASTASIO
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: Securities and Exchange Commission v. Bernard H. Butts, Jr., Fotios Geivelis, Jr., also known as Frank Anastasio, Worldwide Funding III Limited LLC, Douglas J. Anisky, Sidney Banner, Express Commercial Capital LLC, James Baggs, 1:13-cv-23115 (S.D. Fla.)
Date Filed:
FOTIOS GEIVELIS JR
Current Age: 43 - 45
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of FOTIOS GEIVELIS, JR., SEC File No. 3-16327
Date Filed:
LARRY S GIVEN
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Peacock, Hislop, Staley & Given, Inc. and Larry S. Given, SEC File No. 3-9139
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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