See also case numbers 1:03-cv00134 (W.D. Ky.) and 3:03-cv-00161 (W.D. Ky.) (Change of venue).
SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
EUGENE FLAKSMAN
Enforcement Action: In the Matter of LEONARD ALEXANDER RUGE, MAC BEAGELMAN, MICHAEL SCOTT SYMONS, STEPHEN EVERS, EUGENE FLAKSMAN, DANIEL KOLCHKOV, JEFF SANDERS AND MARK ZABORSKY, SEC File No. 3-11506
Date Filed:
JAMES FLEISHMAN
Current Age: 54 - 56
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARK ANTHONY LONGORIA, DANIEL L. DEVORE, JAMES FLEISHMAN, BOB NGUYEN, WINIFRED JIAU, WALTER SHIMOON, SAMIR BARAI, JASON PFLAUM, BARAI CAPITAL MANAGEMENT, NOAH FREEMAN, and DONALD LONGUEUIL, 1:11-cv-00753 (S.D.N.Y.)
Date Filed:
JAMES FLEISHMAN
Current Age: 54 - 56
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JAMES FLEISHMAN, SEC File No. 3-14913
Date Filed:
LESLIE H FLEISHMAN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. KULTIVAR, INC., MEDCOM HEALTH PRODUCTS, INC., SOUTHPORT S.D.G., INC., SIDNEY A. JOHNSON and LESLIE H. FLEISHMAN, 1:00-cv-00466 (D. Vt.)
Date Filed:
LESLIE H FLEISHMAN
Current Age: 82 - 84
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SIDNEY A. JOHNSON and LESLIE H. FLEISHMAN, SEC File No. 3-10924
Date Filed:
IGOR FLEYSHMAKHER
Also Known As: ISAAC FLASH, ISAAC MARKS
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of IGOR FLEYSHMAKHER a/k/a ISAAC FLASH a/k/a ISAAC MARKS, SEC File No. 3-11016
Date Filed:
CURT W FOCHTMANN
Current Age: 64 - 66
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ERNST & YOUNG LLP, JAMES G. HERRING, JR., CPA, JAMES A. YOUNG, CPA, AND CURT W. FOCHTMANN, CPA, SEC File No. 3-20447
Date Filed:
ROMANO ANCELMO FONTANA FILHO
Also Known As: ROMANO ANCELMO FONTANA FILHO
Current Age: 79 - 81
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROMANO ANCELMO FONTANA FILHO, 1:07-cv-01095 (D.D.C.)
Date Filed:
PHILIP FORMA
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. FUTURE VISION DIRECT MARKETING, INC., EASTERN COORDINATED FINANCIAL, PHILIP FORMA, JAMES BARSCHOW, BRUCE SCHROEDER, JOSEPH GLENSKI, ALAN HERR, HERBERT HERR, STANLEY MINDEL, FRANK CARDELL, THOMAS EHRLICH, PACIFIC WIRELESS COMMUNICATIONS, INC., NATIONWIDE WIRELESS CORPORATION, RONALD H. MICHEL, STEVEN REGAN, WILLIAM R. HORNE, DANIEL KELLY, and PHILIP J. CARATOZZOLO, 2:96-cv-02107 (D.N.J.)
Date Filed:
PHILIP FORMA SR
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PHILIP FORMA, SR., ALAN HERR, HERBERT HERR, and STANLEY MINDEL, SEC File No. 3-9068
Date Filed:
STEVEN FORMAN
Current Age: 65 - 67
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: Securities and Exchange Commission v. Steven Forman, Arthur Haberman, Richard J. Westelman, 1:07-cv-1115 (D. Mass.)
Date Filed:
JONATHAN FRAIMAN
Current Age: 44 - 46
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. EDWARD M. LABORIO, JONATHAN FRAIMAN, MATTHEW K. LAZAR, ENVIT CAPITAL, LLC, ENVIT CAPITAL GROUP, INC., ENVIT CAPITAL HOLDINGS, INC., ENVIT CAPITAL PRIVATE WEALTH MANAGEMENT, LLC, ENVIT CAPITAL MULTI STRATEGY MIXED INVESTMENT FUND I LP, AETIUS GROUP, PLC, and AETIUS GROUP, LLC, 1:12-cv-11489 (D. Mass.)
Date Filed:
JONATHAN FRAIMAN
Current Age: 44 - 46
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JONATHAN FRAIMAN, SEC File No. 3-15566
Date Filed:
ARTHUR H FREEDMAN
Current Age: 83 - 85
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ALLEN M. GLICK, ARTHUR H. FREEDMAN, JEFFREY S. EPSTEIN, STEVEN T. MOORE and ROMEO J. PENDOLARI, 1:04-cv-10801 (D. Mass.)
Date Filed:
JACK FREEDMAN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JACK FREEDMAN, 0:13-cv-61764 (S.D. Fla.)
Date Filed:
MARC A FREEDMAN
Current Age: 66 - 68
State: Maryland (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARC A. FREEDMAN, 8:07-cv-03263 (D. Md.)
Date Filed:
MARC A FREEDMAN
Current Age: 65 - 67
State: Maryland (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MARC A. FREEDMAN, SEC File No. 3-12931
Date Filed:
CRAIG FREEMAN
Current Age: 70 - 72
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CRAIG FREEMAN, WILLIAM LASHBROOK, and ROBERT SEWELL, SEC File No. 3-9869
Date Filed:
GARY W FREEMAN
Current Age: 72 - 74
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GARY W. FREEMAN, SEC File No. 3-18532
Date Filed:
JAMES G FREEMAN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JAMES G. FREEMAN, ET AL., 3:96-cv-02316 (N.D. Cal.)
Date Filed:
JAMES G FREEMAN
Current Age: Over 90
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JAMES G. FREEMAN, SEC File No. 3-9311
Date Filed:
JOHN FREEMAN
Current Age: 58 - 60
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOHN FREEMAN, JAMES COOPER, BENTON ERSKINE, ANTHONY SEMINARA, NORMAN LEHRMAN, LINDA KARLSEN, TIMOTHY SIEMERS, NORMAN GROSSMAN, LAWRENCE SCHWARTZ, MICHAEL AKVA, ROBERT FRICKER, RICHARD ZELMAN, BRADLEY BURKE, BENJAMIN COOPER, CHAD L. CONNER, DEON BENSON, GORDON K. ALLEN, JR., JON GEIBEL and WILLIAM H. BORDERS II, 2:00-cv-01963 (S.D.N.Y.)
Date Filed:
Other Information:
JOHN P FREEMAN
Current Age: 64 - 66
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of WILLIAM B. FRETZ, JR., JOHN P. FREEMAN, COVENANT CAPITAL MANAGEMENT PARTNERS, L.P., AND COVENANT PARTNERS, L.P., SEC File No. 3-16829
Date Filed:
MARC FREEMAN
Current Age: 60 - 62
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MARC FREEMAN, SEC File No. 3-11767
Date Filed:
NOAH FREEMAN
Current Age: 47 - 49
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARK ANTHONY LONGORIA, DANIEL L. DEVORE, JAMES FLEISHMAN, BOB NGUYEN, WINIFRED JIAU, WALTER SHIMOON, SAMIR BARAI, JASON PFLAUM, BARAI CAPITAL MANAGEMENT, NOAH FREEMAN, and DONALD LONGUEUIL, 1:11-cv-00753 (S.D.N.Y.)
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.
For Search Tips and more about this tool, see About this Feature in Detail.
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