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State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. EQUAL EARTH, INC., ANDREW J. DUGGAN, and GHASSAN HAMADE A/K/A MARK HAMADE, 3:19-cv-01138 (S.D. Cal.)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DAVID WAGNER, MARK LAWRENCE, DOWNING PARTNERS, LLC, DOWNING INVESTMENT PARTNERS, LP, and DOWNING DIGITAL HEALTHCARE GROUP, LLC, 1:19-cv-05570 (S.D.N.Y.)
State: Virginia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. LUCENT TECHNOLOGIES INC., NINA AVERSANO, JAY CARTER, ALICE LESLIE DORN, WILLIAM PLUNKETT, JOHN BRATTEN, DEBORAH HARRIS, CHARLES ELLIOTT, VANESSA PETRINI, MICHELLE HAYES-BULLOCK and DAVID ACKERMAN, 2:04-cv-02315 (D.N.J.)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. MAYFIELDGENTRY REALTY ADVISORS, LLC, CHAUNCEY C. MAYFIELD, BLAIR D. ACKMAN, MARSHA BASS, W. EMERY MATTHEWS, AND ALICIA M. DIAZ, 2:13-cv-12520 (E.D. Mich.)
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Visionary Trading LLC, Lightspeed Trading LLC, Andrew Actman, Joseph Dondero, Eugene Giaquinto, Lee Heiss, and Jason Medvin, SEC File No. 3-15823
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. NUTRACEA; BRADLEY D. EDSON; TODD C. CROW; JOANNE D. KLINE; SCOTT WILKINSON; and MARGIE ADELMAN, 2:11-cv-00092 (D. Ariz.)
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.
When making decisions about investments and investment professionals, you should not solely use this tool. For other resources and tools, see Information for the Individual Investor or visit Investor.gov.
