See also, case number 2:20-cv-08480 (C.D. Cal.) (change of venue).
SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
DANIELA PATRICIA GOLDMAN
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MAGDALENA TAVELLA, ANDRES HORACIO FICICCHlA, GONZALO GARCIA BLAYA, LUCIA MARlANA HERNANDO, CECILIA DE LORENZO, ADRIANA ROSA BAGATTIN, DANIELA PATRICIA GOLDMAN, MARIANO PABLO FERRARI, MARIANO GRACIARENA, and FERNANDO LOUREYRO, 1:13-cv-04609 (S.D.N.Y.)
Date Filed:
DAVID H GOLDMAN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BROOK CHURCH-KOEGEL, DAVID H. GOLDMAN, and NICOLE J. WALKER, 1:20-cv-21001 (S.D. Fla.)
Date Filed:
Other Information:
JEFFREY GOLDMAN
Current Age: 57 - 59
State: Michigan (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JEFFREY GOLDMAN, SEC File No. 3-19682
Date Filed:
MARK GOLDMAN
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ANDREW BRESSMAN, ROMAN OKIN, RICHARD ACOSTA, RICHARD SIMONE, BURTON BLANK, MARK GOLDMAN, and JACK WOLYNEZ, SEC File No. 3-9168
Date Filed:
REUBEN ROBERT GOLDMAN
Current Age: 55 - 57
State: Maryland (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of REUBEN ROBERT GOLDMAN and TWO TRIANGLE CONSULTING GROUP, LLC d/b/a GOLDMAN SMALL CAP RESEARCH, SEC File No. 3-20379
Date Filed:
RICARDO H GOLDMAN
Current Age: 72 - 74
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RICARDO H. GOLDMAN, 1:08-cv-22666 (S.D. Fla.)
Date Filed:
RICARDO H GOLDMAN
Current Age: 74 - 76
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RICARDO H. GOLDMAN, SEC File No. 3-13293
Date Filed:
RICARDO H GOLDMAN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RICARDO H. GOLDMAN, 1:18-cv-24678 (S.D. Fla.)
Date Filed:
RICARDO H GOLDMAN
Current Age: 75 - 77
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Ricardo H. Goldman, SEC File No. 3-18905
Date Filed:
THOMAS F GOLDMAN JR
Current Age: 82 - 84
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROBERT HUNTER, EDWARD R. DUDLIK, JR., THOMAS F. GOLDMAN, W. KENNETH GREENWOOD, JOSEPH MCKEON, KATHY NAUMANN, BENJAMIN PAUL, THOMAS B. PILEGGI, JOHN ROSE, JOHN ROSE, JR., RAYMOND F. WHITE, 2:97-cv-04621 (E.D. Pa.)
Date Filed:
DANIEL GOMAN
Current Age: 47 - 49
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. OWNZONES MEDIA NETWORK, INC., DANIEL GOMAN and JOSEPH GOMAN, 2:20-cv-03108 (C.D. Cal.)
Date Filed:
JOSEPH GOMAN
Current Age: 35 - 37
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. OWNZONES MEDIA NETWORK, INC., DANIEL GOMAN and JOSEPH GOMAN, 2:20-cv-03108 (C.D. Cal.)
Date Filed:
BARRY J GOODMAN
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BARRY J. GOODMAN and NEW ENGLAND CAPITAL ADVISORY GROUP, INC., 1:01-cv-10163 (D. Mass.)
Date Filed:
BARRY J GOODMAN
Current Age: 61 - 63
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of BARRY J. GOODMAN, SEC File No. 3-11708
Date Filed:
DANIEL E GOODMAN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DANIEL E. GOODMAN, 0:96-cv-07078 (S.D. Fla.)
Date Filed:
DANIEL E GOODMAN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DANIEL E. GOODMAN, SEC File No. 3-9548
Date Filed:
ISAIAH L GOODMAN
Current Age: 36 - 38
State: Minnesota (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Isaiah L. Goodman, SEC File No. 3-20247
Date Filed:
ISAIAH LESLIE GOODMAN
Current Age: 36 - 38
State: Minnesota (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ISAIAH GOODMAN, 0:21-cv-00365 (D. Minn.)
Date Filed:
JORDAN E GOODMAN
Current Age: 69 - 71
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JORDAN E. GOODMAN, 1:18-cv-25303 (S.D. Fla.)
Date Filed:
JORDAN E GOODMAN
Current Age: 68 - 70
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Jordan E. Goodman, SEC File No. 3-18974
Date Filed:
JORDAN E GOODMAN
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CHARLES TRALKA, THOMAS BRAEGELMANN, MATTHEW SULLIVAN, JORDAN E. GOODMAN, ROBERT L. BARR, and GOOD STEWARD CAPITAL MANAGEMENT, INC., 5:23-cv-04958 (N.D. Cal.)
Date Filed:
KIMBERLY D GOODMAN
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. KIMBERLY D. GOODMAN, 8:96-cv-00749 (C.D. Cal.)
Date Filed:
KIMBERLY D GOODMAN
Current Age: 64 - 66
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of KIMBERLY D. GOODMAN, SEC File No. 3-9091
Date Filed:
MICHAEL GOODMAN
Current Age: 51 - 53
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PHILLIP MACDONALD, MARTIN GOLLAN, and MICHAEL GOODMAN, 1:09-cv-05352 (S.D.N.Y.)
Date Filed:
P MICHAEL GOODMAN
Also Known As: MICHAEL GOODMAN
Enforcement Action: In the Matter of P. MICHAEL GOODMAN, SEC File No. 3-8931
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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