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
MIKE ZAMAN
Enforcement Action: In the Matter of MIKE ZAMAN, SEC File No. 3-9737
Date Filed:
MARAT ZAYATS
Also Known As: MARK ZAYATS
Current Age: 53 - 55
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DIAGNOSTIC PROFESSIONAL IMAGING SERVICES, INC., NATIONWIDE MEDICAL SUPPLIES, INC., JUSTIN MARVUL, MICHAEL DANILOVICH, MARAT "MARK" ZAYATS, GREGORY LEVIN, JAMES GENNADY GABERKORN, VADIM STEVEN SHAPIRO, ARTHUR PRAKOPETS and DIRECT SURGICAL SUPPLIES, LTD., 1:00-cv-04386 (S.D.N.Y.)
Date Filed:
MOHAMAD ZEIN
Also Known As: MOHAMED ELZEIN; MOHAMAD EL ZEIN; MOHAMAD J. ZEIN; MIKE EL ZEIN; MIKE ZEIN
Current Age: 69 - 71
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MOHAMAD ZEIN a/k/a MOHAMED ELZEIN a/k/a MOHAMAD EL ZEIN a/k/a MOHAMAD J. ZEIN a/k/a MIKE EL ZEIN a/k/a MIKE ZEIN and PROVIDENT CAPITAL INVESTMENTS INC., 1:07-cv-02330 (N.D. Ga.)
Date Filed:
RICHARD ZELMAN
Current Age: 56 - 58
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:
STEVEN R ZEMAITIS
Current Age: 56 - 58
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of STEVEN R. ZEMAITIS and JULIE FREISINGER, SEC File No. 3-10035
Date Filed:
DAVID A ZIMMERMAN
Current Age: 75 - 77
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. VECTOR MEDICAL TECHNOLOGIES, INC., MICHAEL H. SALIT, JAMES P. FARNELL, MICHAEL J. FARNELL, DAVID A. ZIMMERMAN AND STANLEY B. WASSER, 9:03-cv-80858 (S.D. Fla.)
Date Filed:
DAVID A ZIMMERMAN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DAVID A. ZIMMERMAN, SEC File No. 3-11706
Date Filed:
DAVID A ZIMMERMAN
Current Age: 76 - 78
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SECURED INCOME RESERVE, INC., ILONA A. MANDELBAUM, DAVID A. ZIMMERMAN, TAMDA MARKETING, INC., and MATHEW H. SAGE, 9:16-cv-81490 (S.D. Fla.)
Date Filed:
DAVID A ZIMMERMAN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DAVID A. ZIMMERMAN, SEC File No. 3-17554
Date Filed:
JAMES ZIMMERMAN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JAMES ZIMMERMAN AND OLD NAPLES SECURITIES, INC., 2:96-cv-00304 (M.D. Fla.)
Date Filed:
JAMES ZIMMERMAN
Enforcement Action: In the Matter of James Zimmerman and Old Naples Securities, Inc., SEC File No. 3-9233
Date Filed:
MICHAEL EDWARD ZIMMERMAN
State: Maryland (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. Z-PAR HOLDINGS, INC., Z-PAR INVESTMENT FUND II, LARRY MICHAEL PARRISH, MICHAEL EDWARD ZIMMERMAN, 1:05-cv-01031 (D. Md.)
Date Filed:
MICHAEL EDWARD ZIMMERMAN
Current Age: 55 - 57
State: Maryland (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Michael Edward Zimmerman, SEC File No. 3-12637
Date Filed:
REX L ZIMMERMAN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GREENWAY ENVIRONMENTAL SERVICES, INC., ALVIN A. MCCOLLUM, STEVEN F. BROADBENT, AND REX L. ZIMMERMAN, 1:97-cv-01041 (D.D.C.)
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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