SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
NOAH FREEMAN
Current Age: 47 - 49
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of NOAH FREEMAN, SEC File No. 3-14709
Date Filed:
R DANE FREEMAN
Also Known As: DANE FREEMAN
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. M. MARK McADAMS and R. DANE FREEMAN, 4:10-cv-00701 (D.S.C.)
Date Filed:
SETH RICHARD FREEMAN
Current Age: 66 - 68
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of EM Capital Management, LLC and Seth Richard Freeman, SEC File No. 3-15101
Date Filed:
ANDREW S FRIEDMAN
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ERIC S. BLUMEN, IRA A. BOSHNACK, ANDREW S. FRIEDMAN, JORDAN I. SHAMAH, IRVING STITSKY, and DOUGLAS C. MILLER, SEC File No. 3-9491
Date Filed:
BRUCE FRIEDMAN
Current Age: 74 - 76
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DIVERSIFIED LENDING GROUP, INC.; APPLIED EQUITIES, INC.; AND BRUCE FRIEDMAN, 2:09-cv-01533 (C.D. Cal.)
Date Filed:
EMANUEL J FRIEDMAN
Current Age: 78 - 80
State: District of Columbia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. FRIEDMAN, BILLINGS, RAMSEY & CO., INC., EMANUEL J. FRIEDMAN, and NICHOLAS J. NICHOLS, 1:06-cv-02160 (D.D.C.)
Date Filed:
EMANUEL J FRIEDMAN
Current Age: 77 - 79
State: District of Columbia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of EMANUEL J. FRIEDMAN, SEC File No. 3-12537
Date Filed:
GIL FRIEDMAN
Current Age: 51 - 53
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. KEVIN A. VAN DE GRIFT, and GIL FRIEDMAN, 1:23-cv-01491 (S.D.N.Y.)
Date Filed:
GIL FRIEDMAN
Current Age: 51 - 53
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GIL FRIEDMAN, SEC File No. 3-21905
Date Filed:
KENNETH L FRIEDMAN
Current Age: 73 - 75
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SCOTT O. HIRSCH and KENNETH L. FRIEDMAN, 9:20-cv-80435 (S.D. Fla.)
Date Filed:
LAWRENCE FRIEDMAN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CHARLES BRUMFIELD, JOSEPH BRUMFIELD, ROBERT ALLEN, WILLIAM MYLETT, JOSEPH PENNA, JOSEPH CUSIMANO, ALFRED VOLPE, JAMES GALANTE, THOMAS ALGER, JOHN O'BRIEN, LAWRENCE FRIEDMAN, ROBERT FLANAGAN, THOMAS FLANAGAN, SHARON SEIDEN, WARREN SMITH, JOHN LYNCH AND ALBERT BRODY, 1:95-cv-09283 (S.D.N.Y.)
Date Filed:
MARVIN I FRIEDMAN
Current Age: 85 - 87
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GLOBAL MONEY MANAGEMENT, L.P., LF GLOBAL INVESTMENTS, LLC, and MARVIN I. FRIEDMAN, 3:04-cv-00521 (S.D. Cal.)
Date Filed:
MARVIN I FRIEDMAN
Current Age: 84 - 86
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MARVIN I. FRIEDMAN, SEC File No. 3-12039
Date Filed:
MITCHELL J FRIEDMAN
Current Age: 65 - 67
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MITCHELL J. FRIEDMAN, SEC File No. 3-19413
Date Filed:
ROBIN A FRIEDMAN
Current Age: 60 - 62
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SYCAMORE NETWORKS, INC., FRANCES M. JEWELS, CHERYL E. KALINEN, and ROBIN A. FRIEDMAN, 1:08-cv-11166 (D. Mass.)
Date Filed:
ROBIN A FRIEDMAN
Current Age: 60 - 62
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROBIN A. FRIEDMAN, ESQ., SEC File No. 3-13103
Date Filed:
TREY L FRIEDMANN
Current Age: 59 - 61
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ENVIRONMENTAL ENERGY, INC., ENVIRONMENTAL OPERATING, INC., IRVINE SECURITIES, INC., LARRY R. CROWDER, JOHN R. POWELL, CHRISTIAN R. HIGGINS, CHARLES L. POWELL, JAMES P. GALLAHER, DALE J. ENGELHARDT and TREY L. FRIEDMANN, 2:98-cv-06060 (C.D. Cal.)
Date Filed:
TREY L FRIEDMANN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHRISTIAN R. HIGGINS, CHARLES L. POWELL, JAMES P. GALLAHER, DALE J. ENGELHARDT, and TREY L. FRIEDMANN, SEC File No. 3-9979
Date Filed:
ERIC P FURMAN
Current Age: 61 - 63
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ERIC P. FURMAN and STEPHEN M. HIEBER, 3:00-cv-00520 (D. Conn.)
Date Filed:
ERIC P FURMAN
Current Age: 61 - 63
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ERIC P. FURMAN, CPA, SEC File No. 3-10217
Date Filed:
MARK FURMAN
Current Age: 59 - 61
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. LEONARD ALEXANDER RUGE, RICHARD WOLFF, MAC BEAGELMAN, MICHAEL SCOTT SYMONS, RICHARD BALBER, STEPHEN EVERS, EUGENE FLAKSMAN, MARK FURMAN, ALEX GRINSHPON, DANIEL KOLCHKOV, JEFF SANDERS, ALEX SOLON, MARK ZABORSKY and JEFFERY STONE, 1:97-cv-09306 (S.D.N.Y.)
Date Filed:
MICHAEL C FURMAN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. COMPLETE BUSINESS SOLUTIONS GROUP, INC. d/b/a/ PAR FUNDING, FULL SPECTRUM PROCESSING, INC., ABETTERFINANCIALPLAN.COM LLC d/b/a/ A BETTER FINANCIAL PLAN, ABFP MANAGEMENT COMPANY, LLC, f/k/a/ PILLAR LIFE SETTLEMENT MANAGEMENT COMPANY, LLC, ABFP INCOME FUND, LLC, ABFP INCOME FUND 2, L.P., UNITED FIDELIS GROUP CORP., FIDELIS FINANCIAL PLANNING LLC, RETIREMENT EVOLUTION GROUP, LLC, RETIREMENT EVOLUTION INCOME FUND, LLC, f/k/a RE INCOME FUND, LLC, RE INCOME FUND 2, LLC, LISA MCELHONE, JOSEPH COLE BARLETA, a/k/a/ JOE COLE, JOSEPH W. LAFORTE, a/k/a JOE MACK, a/k/a/ JOE MACKI, a/k/a JOE MCELHONE, PERRY S. ABBONIZIO, DEAN J. VAGNOZZI, MICHAEL C. FURMAN, and JOHN GISSAS, 9:20-cv-81205 (S.D. Fla.)
Date Filed:
RAN H FURMAN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RETAIL PRO, INC. (fka Island Pacific, Inc.), BARRY M. SCHECHTER, RAN H. FURMAN, and HARVEY BRAUN, 3:08-cv-01620 (S.D. Cal.)
Date Filed:
RAN H FURMAN
Current Age: 55 - 57
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RAN H. FURMAN, CPA, SEC File No. 3-14532
Date Filed:
RICHARD FURMAN
Current Age: 64 - 66
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. INORGANIC RECYCLING CORPORATION, EDWARD J. HALLORAN, MICHELE CARIDI, DANIEL J. MOORE and RICHARD FURMAN, 1:99-cv-10159 (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.
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