SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
BRIAN A OLIVER
Current Age: 59 - 61
State: Oregon (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AEQUITAS MANAGEMENT, LLC; AEQUITAS HOLDINGS, LLC; AEQUITAS COMMERCIAL FINANCE, LLC; AEQUITAS CAPITAL MANAGEMENT, INC.; AEQUITAS INVESTMENT MANAGEMENT, LLC; ROBERT J. JESENIK; BRIAN A. OLIVER; and N. SCOTT GILLIS, 3:16-cv-00438 (D. Or.)
Date Filed:
BRIAN A OLIVER
Current Age: 59 - 61
State: Oregon (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of BRIAN A. OLIVER, SEC File No. 3-19762
Date Filed:
GARY E OLIVER
Current Age: 71 - 73
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of FORTIUS FINANCIAL ADVISORS, LLC, JEFF M. BOLLINGER, AND GARY E. OLIVER, SEC File No. 3-17385
Date Filed:
J VAN OLIVER
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. J. VAN OLIVER, 1:01-cv-00859 (D.D.C.)
Date Filed:
JOHN F OLIVER
Also Known As: PETE OLIVER
State: Missouri (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOHN F. "PETE" OLIVER, WILLARD A. "TONY" MEADOR, WAYNE M. SAMPSON, JAMES R. GEHRINGER, JULIE MCNABB-MEADOR, PATRICK M. JACOBI, MICHAEL W. ROBERTS, and STEVEN M. GROSS, 2:98-cv-00075 (E.D. Mo.)
Date Filed:
PAUL W OLIVER JR
Current Age: 82 - 84
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PAUL W. OLIVER, JR., SEC File No. 3-13554
Date Filed:
ROBERT P OLIVER
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROBERT P. OLIVER, WALTER W. WHITE, GERALD W. WHITE, HOWARD WHITE and DANIEL P. PATTON, 3:01-cv-00649 (N.D. Tex.)
Date Filed:
SHARON OLIVER
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ALLIANCE LEASING CORPORATION, PRIME ATLANTIC, INC., CHARLES BROWNE, SUSAN BROWNE, SHARON OLIVER, DAVID HALSEY, AND BRACCUS GIAVANNO, 3:98-cv-01810 (S.D. Cal.)
Date Filed:
JOHN OLIVIA
Current Age: 63 - 65
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. TEAM RESOURCES, INC., FOSSIL ENERGY CORPORATION, KEVIN A. BOYLES, PHILIP A. DRESSNER, MICHAEL EPPY, ANDREW STITT, AND JOHN OLIVIA, 3:15-cv-01045 (N.D. Tex.)
Date Filed:
JOHN OLIVIA
Current Age: 62 - 64
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOHN OLIVIA, SEC File No. 3-17041
Date Filed:
WILLIAM J OLIVIERI
Current Age: 82 - 84
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. WILLIAM J. OLIVIERI, NEPTUNE SOFT WATER, INC. and A VERY NICE CAR CO., INC., 5:00-cv-00532 (N.D.N.Y.)
Date Filed:
CLAUDIO DE OLIVEIRA PEREIRA CAMPOS
Also Known As: CLAUDIO DE OLIVEIRA PEREIRA CAMPOS
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. TROPIKGADGET FZE, TROPIKGADGET UNIPESSOAL LDA, SERGIO HENRIQUE TANAKA, CARLOS LUIS DA SILVEIRA BARBOSA, CLAUDIO DE OLIVEIRA PEREIRA CAMPOS, VINICIUS ROMULO AGUIAR, THAIS UTINO AGUIAR, WESLEY BRANDAO RODRIGUES, ANDREW ELLIOT ARRAMBIDE, JULIO G. CRUZ, DENNIS ARTHUR SOMAIO, ELAINE AMARAL SOMAIO, PABLO ANDRES GARCIA, VIVIANE AMARAL RODRIGUES, SIMONIA DE CASSIA SILVA, GEOVANI NASCIMENTO BENTO, PRISCILA BENTO, 1:15-cv-10543 (D. Mass.)
Date Filed:
MADHAVAN SIVATHANU PILLAI
Also Known As: MADHAVAN SIVATHANU PILLAI
Current Age: 56 - 58
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MADHAVAN SIVATHANU PILLAI, 1:07-cv-01273 (D.D.C.)
Date Filed:
MANUEL PORTALATIN
Also Known As: MANUEL PORTALATIN RIVERA
Current Age: 49 - 51
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: Securities and Exchange Commission v. Back to Green Mining, LLC, José M. Jiménez Cruz, and Manuel Portalatin, 3:21-cv-01455 (D.P.R.)
Date Filed:
J CHARLES REIVES
Also Known As: CHARLES REIVES
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. LOUIS M. LAZORWITZ, J. CHARLES REIVES, and TRI-STAR INVESTMENT GROUP, L.L.C. A/K/A TRI-STAR INVESTMENT GROUP, 1:02-cv-00112 (N.D. Ga.)
Date Filed:
J CHARLES REIVES
Also Known As: CHARLES REIVES
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of J. CHARLES REIVES, SEC File No. 3-10923
Date Filed:
PETER C RESTIVO
Current Age: 53 - 55
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARCO G. FIORE, JR., BENJAMIN V. SALMONESE, JR., THOMAS DeCEGLIE, DAVID C. LAVENDER, and PETER C. RESTIVO, 1:00-cv-09422 (S.D.N.Y.)
Date Filed:
PETER C RESTIVO
Current Age: 52 - 54
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. EMSANET INTERNET SERVICES, INC., STEFAN ABEL, PETER RESTIVO, INC. d/b/a U.S. FUNDING, PETER C. RESTIVO, NICOLA A. LIANTONIO, JR. and CESARE J. IORI, JR., 2:02-cv-00532 (E.D.N.Y.)
Date Filed:
PETER C RESTIVO
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PETER C. RESTIVO, SEC File No. 3-10942
Date Filed:
DAVID RIVARD
Current Age: 56 - 58
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DAVID RIVARD, 1:04-cv-01464 (E.D.N.Y.)
Date Filed:
DAVID RIVARD
Current Age: 56 - 58
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of David Rivard, CPA, SEC File No. 3-11722
Date Filed:
DANIEL RIVAS
Current Age: 39 - 41
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DANIEL RIVAS, SEC File No. 3-18321
Date Filed:
LOUIS E RIVELLI
Current Age: 80 - 82
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. LOUIS E. RIVELLI, RODNEY B. JOHNSON, STEPHEN G. BURKE, TERESA W. AYERS, CRAIG L. STEVENSON, ROBERT T. HOFFMAN, 1:05-cv-01039 (D. Colo.)
Date Filed:
DANIEL RIVERA
Current Age: 54 - 56
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DANIEL RIVERA, MATTHEW RIVERA and ROBBINS LANE PROPERTIES INC., 3:16-cv-01636 (D.N.J.)
Date Filed:
DANIEL RIVERA
Current Age: 54 - 56
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DANIEL RIVERA, SEC File No. 3-17199
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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