See also case number 2:05-cv-03059 (C.D. Cal.) (change of venue).
SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
K. IVAN GOTHNER
Also Known As: IVAN GOTHNER
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AGFEED INDUSTRIES, INC., JUNHONG XIONG, SELINA JIN, SONGYAN LI, SHAOBO OUYANG, EDWARD J. PAZDRO, and K. IVAN GOTHNER, 3:14-cv-00663 (M.D. Tenn.)
Date Filed:
GEORGE IVAKHNIK
Current Age: 45 - 47
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GEORGE IVAKHNIK and The MOBILE STAR CORPORATION, 1:15-cv-07263 (S.D.N.Y.)
Date Filed:
MARK A IVENER
Current Age: 82 - 84
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MARK A. IVENER AND IVENER & FULLMER, LLP, SEC File No. 3-17419
Date Filed:
JAMES E IVERSON
Current Age: 88 - 90
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROBERT A. KASIRER, JEROLD V. GOLDSTEIN, JOEL T. BOEHM, JAMES E. IVERSON, and VICTOR P. DHOOGE, 1:04-cv-04340 (N.D. Ill.)
Date Filed:
Other Information:
JAMES E IVERSON
Current Age: 87 - 89
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JAMES E. IVERSON, SEC File No. 3-11889
Date Filed:
DANIEL IVES
Current Age: 48 - 50
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DANIEL IVES, SEC File No. 3-20886
Date Filed:
M KEITH IVES
Also Known As: KEITH IVES
Current Age: 67 - 69
State: Oklahoma (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. IVES HEALTH COMPANY INC., M. KEITH IVES, MICHAEL HARRISON, AND JAMES KOSTA, 1:01-cv-06999 (S.D.N.Y.)
Date Filed:
STEVEN M IVESTER
Current Age: 59 - 61
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. OSVALDO PITTERS, TERRELL J. KUYKENDALL, and STEVEN M. IVESTER, 1:09-cv-20957 (S.D. Fla.)
Date Filed:
THOMAS L KIVISTO
State: Oklahoma (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. THOMAS L. KIVISTO, 4:11-cv-00641 (N.D. Okla.)
Date Filed:
SCOTT A LIVENGOOD
Current Age: 71 - 73
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SCOTT A. LIVENGOOD, JOHN W. TATE, and RANDY S. CASSTEVENS, 1:09-cv-00159 (M.D.N.C.)
Date Filed:
KENNETH K LIVESAY
Current Age: 63 - 65
State: Alabama (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. KENNETH K. LIVESAY, ANGELA C. AYERS, KAY MORGAN, CATHY C. EDWARDS and VIRGINIA B. VALENTINE, 2:03-cv-00758 (N.D. Ala.)
Date Filed:
KENNETH K LIVESAY
Current Age: 63 - 65
State: Alabama (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of KENNETH K. LIVESAY, CPA, SEC File No. 3-11593
Date Filed:
THOMAS E LIVINGSTON
Current Age: 66 - 68
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DONALD J. ANTHONY, JR., FRANK H. CHIAPPONE, RICHARD D. FELDMANN, WILLIAM P. GAMELLO, ANDREW G. GUZZETTI, WILLIAM F. LEX, THOMAS E. LIVINGSTON, BRIAN T. MAYER, PHILIP S. RABINOVICH, and RYAN C. ROGERS, SEC File No. 3-15514
Date Filed:
ANTHONY M LIVOTI JR
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ANTHONY M. LIVOTI, JR., SEC File No. 3-15949
Date Filed:
RAUL S MCQUIVEY
Current Age: 85 - 87
State: Virginia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Raul S. McQuivey, SEC File No. 3-16093
Date Filed:
VINAY KUMAR NEVATIA
Also Known As: VINAY KUMAR; VINAY NEVATIA; VINAY NIVATIA; VINAY K.KUMAR; KUMAR K.; VINAY KUMAR SRINIVASAN; VINAY SRINIVASAN; KUMAR MANGALAM KUMAR
Current Age: 56 - 58
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. VINAY KUMAR NEVATIA a/k/a VINAY KUMAR, VINAY NEVATIA, VINAY NIVATIA, VINAY K.KUMAR, KUMAR K., VINAY KUMAR SRINIVASAN, VINAY SRINIVASAN, and KUMAR MANGALAM KUMAR, 3:14-cv-05273 (N.D. Cal.)
Date Filed:
ANTHONY J OLIVA
Also Known As: TONY OLIVA
Current Age: 68 - 70
State: New Mexico (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. UNITED AMERICAN VENTURES, LLC, PHILIP LEE DAVID JACK THOMAS, ERIC J. HOLLOWELL, MATTHEW A. DIES, INTEGRA INVESTMENT GROUP, LLC, ANTHONY (“TONY”) J. OLIVA, 1:10-cv-00568 (D.N.M.)
Date Filed:
ANTHONY J OLIVA
Also Known As: TONY OLIVA
Current Age: 68 - 70
State: New Mexico (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ANTHONY (“TONY") J. OLIVA, SEC File No. 3-14064
Date Filed:
DANIEL OLIVARES
Current Age: 42 - 44
State: Arkansas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DAWN WRIGHT-OLIVARES and DANIEL OLIVARES, 3:13-cv-00700 (W.D.N.C.)
Date Filed:
RICHARD OLIVE
Current Age: 58 - 60
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RICHARD OLIVE and SUSAN OLIVE, 2:13-cv-14047 (S.D. Fla.)
Date Filed:
RICHARD OLIVE
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RICHARD OLIVE, SEC File No. 3-15894
Date Filed:
SUSAN OLIVE
Current Age: 59 - 61
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RICHARD OLIVE and SUSAN OLIVE, 2:13-cv-14047 (S.D. Fla.)
Date Filed:
SUSAN OLIVE
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SUSAN OLIVE, SEC File No. 3-15893
Date Filed:
ADAM MICHAEL OLIVER
Current Age: 69 - 71
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ENVIRONMENTAL SOLUTIONS WORLDWIDE, INC., TEODISIO V. PANGIA, JALON INVESTMENTS, LTD., GATA INVESTMENTS, LTD., ALTEA INVESTMENTS, LTD., SATBAL SINGH AKA SPAL SINGH, ZOYA FINANCIAL CORPORATION, LTD., MICHAEL W. SMITH, ADAM MICHAEL OLIVER, MARK BERGMAN, ACCESS 1 FINANCIAL, INC., BENGT ODNER, and EUGENE FOO, 1:02-cv-01575 (D.D.C.)
Date Filed:
ADAM MICHAEL OLIVER
Current Age: 69 - 71
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Adam Michael Oliver, SEC File No. 3-11712
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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