See also case number 3:00-cv-04048 (N.D. Cal.) (cases consolidated).
SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
MANU B SHRIVASTAVA
Current Age: 55 - 57
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MANU B. SHRIVASTAVA, 5:00-cv-20904 (N.D. Cal.)
Date Filed:
Other Information:
MICHAEL SIVA
Current Age: 62 - 64
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. DANIEL RIVAS, JAMES MOODHE, ROBERTO RODRIGUEZ, RODOLFO SABLON, JHONATAN ZOQUIER, MICHAEL SIVA, and JEFFREY ROGIERS, 1:17-cv-06192 (S.D.N.Y.)
Date Filed:
MICHAEL SIVA
Current Age: 62 - 64
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MICHAEL SIVA, SEC File No. 3-19579
Date Filed:
ERIC SIVERSEN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOSEPH PETROLINO and ERIC SIVERSEN, SEC File No. 3-11433
Date Filed:
GEORGE SPIVAK
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GEORGE SPIVAK, SEC File No. 3-9995
Date Filed:
VLAD B SPIVAK
Current Age: 48 - 50
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. VLAD B. SPIVAK and SHIRMILA O. DODDI, 1:15-cv-13704 (D. Mass.)
Date Filed:
JOSHUA D SPIVEY
State: Tennessee (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JASON A. HALEK, JOSHUA D. SPIVEY, PATRICK J. BOOTHS, and STEVEN J. LITTLE, 3:14-cv-01106 (N.D. Tex.)
Date Filed:
JOSHUA D SPIVEY
Current Age: 42 - 44
State: Tennessee (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOSHUA D. SPIVEY, SEC File No. 3-15839
Date Filed:
CHANDRAMOWLI SRINIVASAN
Current Age: 68 - 70
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CHANDRAMOWLI SRINIVASAN, 1:07-cv-01699 (D.D.C.)
Date Filed:
PANKAJ KUMAR SRIVASTAVA
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PANKAJ KUMAR SRIVASTAVA andNATARAJ KAVURI, SEC File No. 3-16267
Date Filed:
CHARLES G STIVERS
Current Age: 48 - 50
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHARLES G. STIVERS, SEC File No. 3-19118
Date Filed:
ALLEN W STURDIVANT
Current Age: 59 - 61
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of American Rice, Inc., Joseph A. Schwartz, Jr., Joel R. Malebranche and Allen W. Sturdivant, SEC File No. 3-11024
Date Filed:
CHARLES W SULLIVAN
Current Age: 81 - 83
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DENNIS S. HERULA, MARY LEE CAPALBO aka MARY LEE CAPALBO HERULA, MARTIN D. FIFE, FAROUK A. KHAN, SEAVIEW DEVELOPMENT AND HOLDINGS, LTD., MICHAEL A. CLARKE, ROBERT M. WACHTEL, JOHAN C. HERTZOG, and CHARLES W. SULLIVAN, 1:02-cv-00154 (D.R.I.)
Date Filed:
JOSEPH SULLIVAN
Enforcement Action: In the Matter of Legg Mason Wood Walker, Incorporated Thomas M. Daly, Jr., and Joseph A. Sullivan, SEC File No. 3-10068
Date Filed:
MARK E SULLIVAN
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ALAN C. GOLDSWORTHY, WALTER T. HILGER and MARK E. SULLIVAN, 1:06-cv-10012 (D. Mass.)
Date Filed:
MARK E SULLIVAN
Current Age: 62 - 64
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MARK E. SULLIVAN, SEC File No. 3-12932
Date Filed:
MICHAEL SULLIVAN
Current Age: 76 - 78
Enforcement Action: In the Matter of MICHAEL SULLIVAN, CPA, SEC File No. 3-10953
Date Filed:
MICHAEL SULLIVAN
Current Age: 56 - 58
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DOUGLAS LEIGHTON, BASS POINT CAPITAL, LLC, AZURE CAPITAL CORP., MICHAEL SULLIVAN, DAVID HALL, ZACHARY HARVEY, PAUL DUTRA, JASON HARMAN, and JESSICA GERAN, 1:20-cv-10686 (D. Mass.)
Date Filed:
MICHAEL R SULLIVAN
Current Age: 62 - 64
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. MICHAEL SULLIVAN, 2:20-cv-01811 (W.D. Pa.)
Date Filed:
MICHAEL T SULLIVAN III
Current Age: 62 - 64
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MICHAEL T. SULLIVAN, III, SEC File No. 3-10122
Date Filed:
PATRICK J SULLIVAN
Current Age: 54 - 56
State: Rhode Island (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PATRICK J. SULLIVAN, SEC File No. 3-15809
Date Filed:
RICHARD J SULLIVAN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GLOBAL DIGITAL SOLUTIONS, INC., RICHARD J. SULLIVAN, and DAVID A. LOPPERT, 9:16-cv-81413 (S.D. Fla.)
Date Filed:
SCOTT D SULLIVAN
Current Age: 62 - 64
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. SCOTT D. SULLIVAN, 1:04-cv-01706 (S.D.N.Y.)
Date Filed:
SCOTT D SULLIVAN
Current Age: 62 - 64
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SCOTT D. SULLIVAN, SEC File No. 3-11435
Date Filed:
TIMOTHY J SULLIVAN
State: Wisconsin (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. TIMOTHY J. SULLIVAN, JAMES G. APPLETON, LANCE P. LINS and JAMES A. BUDZINSKI, 2:00-cv-01299 (E.D. Wis.)
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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