SEC Action Lookup - Individuals (SALI)

Individuals with Court or Commission Orders Entered Against Them

TAFT WOMACK

State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of FRANK GAINES and TAFT WOMACK, SEC File No. 3-10064
Date Filed:
Releases & Documents:

VIRGIL W WOMACK

Current Age: 82 - 84
State: South Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CHEMICAL TRUST, U.S. GUARANTEE CORP., UNITED MARKETING TRUST, VIRGIL W. WOMACK, CLIFTON WILKINSON, LEWEY L. CATO, III and ALVIN A. TANG, 9:00-cv-08015 (S.D. Fla.)
Date Filed:
Releases & Documents:

GARY M WORKMAN

Current Age: 74 - 76
State: New Hampshire (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GARY M. WORKMAN, 1:07-cv-00026 (D.N.H.)
Date Filed:
Releases & Documents:

TODD WORTMAN

State: Tennessee (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. HOPE ADVISORS, LLC, KAREN BRUTON, TODD WORTMAN, and DAWN ROBERTS, 1:16-cv-01752 (N.D. Ga.)
Date Filed:
Releases & Documents:

TODD WORTMAN

State: Tennessee (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Todd Wortman, SEC File No. 3-18834
Date Filed:
Releases & Documents:

RAO A.K. YALAMANCHILI

State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. APPARAO MUKKAMALA, SURESH ANNE, JITENDRA PRASAD KATNENI, MALLIKARJUNARAO ANNE, AND RAO A.K. YALAMANCHILI, 4:12-cv-13020 (E.D. Mich.)
Date Filed:
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KERRY DEAN YAMAGATA

Also Known As: DEAN YAMAGATA
Current Age: 67 - 69
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MOORE STEPHENS WURTH FRAZER & TORBET LLP and K. DEAN YAMAGATA, CPA, SEC File No. 3-14167
Date Filed:
Releases & Documents:

STEVEN YAMASHIRO

Current Age: 59 - 61
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Steven Yamashiro, SEC File No. 3-15010
Date Filed:
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RAVI YANAMADULA

Enforcement Action: In the Matter of RAVI YANAMADULA, SEC File No. 3-13434
Date Filed:
Releases & Documents:

CARL M YOUNGMAN

Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RICHARD G. MARCUS AND CARL M. YOUNGMAN, 1:96-cv-10382 (D. Mass.)
Date Filed:
Releases & Documents:

DOV ZAIDMAN

Current Age: 66 - 68
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DOV ZAIDMAN, CPA, AND ZBS GROUP LLP, SEC File No. 3-19150
Date Filed:
Releases & Documents:

ADNAN S ZAMAN

Current Age: 45 - 47
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. VINAYAK S. GOWRISH, ADNAN S. ZAMAN, PASCAL S. VAGHAR, and SAMEER N. KHOURY, 3:09-cv-05883 (N.D. Cal.)
Date Filed:
Releases & Documents:

ADNAN S ZAMAN

Current Age: 44 - 46
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ADNAN S. ZAMAN, SEC File No. 3-13749
Date Filed:
Releases & Documents:

MICHAEL ZAMAN

Also Known As: MIKE ZAMAN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ANDREW S. PITT, CONECTISYS CORP., DEVON INVESTMENT ADVISORS, INC., B & M CAPITAL CORP., MIKE ZAMAN, and SMITH, BENTON & HUGHES, INC., 2:96-cv-04164 (C.D. Cal.)
Date Filed:
Releases & Documents:

MICHAEL ZAMAN

State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SKY SCIENTIFIC, INC., W.A. DOROW, JR., JERRY L. FOSTER, GILBERT MARSHALL & CO., INC., MICHAEL A. USHER, STRATEGIC RESOURCE MANAGEMENT, INC., WILLIAM A. MOLER, DANIEL R. LEHL, THOMAS PATRICK MEEHAN, DOUGLAS A. GLASER, SMITH, BENTON & HUGHES, INC., MICHAEL ZAMAN, GEORGE T. HELLEN, ROBERT SCHLIEN, AMERICAN CAPITAL NETWORK, INC., PHILIP M. GEORGESON, MELVIN L. LEVINE, and WILLIAM DAVID JONES, SEC File No. 3-9201
Date Filed:
Releases & Documents:

MIKE ZAMAN

Enforcement Action: In the Matter of MIKE ZAMAN, SEC File No. 3-9737
Date Filed:
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Displaying 2776 - 2800 of 2828

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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