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
STANLEY GOODMAN
Enforcement Action: In the Matter of STANLEY GOODMAN, SEC File No. 3-8895
Date Filed:
BRUCE GORCYCA
Also Known As: ANTHONY DIMARCO
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. THE GLOBUS GROUP, INC., CHINA FOOD & BEVERAGE CO., TRANS-GLOBAL HOLDINGS, INC., BRUCE GORCYCA A/K/A ANTHONY DIMARCO, JAMES C. TILTON, and JACQUES VERHAAK, 1:99-cv-01968 (S.D. Fla.)
Date Filed:
JOHN GORMAN
Current Age: 79 - 81
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOHN GORMAN and PATRICK GENTILE, 1:04-cv-01552 (D.D.C.)
Date Filed:
JOHN GORMAN
Current Age: 79 - 81
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOHN GORMAN and PATRICK GENTILE, SEC File No. 3-11635
Date Filed:
CLINTON RONALD GREENMAN
Current Age: 56 - 58
State: Maryland (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SAFENET, INC., ANTHONY CAPUTO, KENNETH MUELLER, CLINTON RONALD GREENMAN, JOHN WILROY, AND GREGORY PASKO, 1:09-cv-02117 (D.D.C.)
Date Filed:
CLINTON RONALD GREENMAN
Current Age: 56 - 58
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Clinton Ronald Greenman, CPA, SEC File No. 3-13709
Date Filed:
MARK A GRIMALDI
Current Age: 61 - 63
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Navigator Money Management, Inc. and Mark A. Grimaldi, SEC File No. 3-15707
Date Filed:
ADRIANA GROSSMAN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ISAAC GROSSMAN, ADRIANA GROSSMAN, DRAGON-CLICK CORP., and DRAGON MANAGEMENT, LLC, 0:18-cv-61234 (S.D. Fla.)
Date Filed:
BRUCE L GROSSMAN
Current Age: 66 - 68
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BRUCE L. GROSSMAN and JONATHAN R. CURSHEN, 1:08-cv-07893 (S.D.N.Y.)
Date Filed:
GLENN GROSSMAN
Current Age: 49 - 51
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GLENN GROSSMAN, LAWRENCE STEVEN COHEN, SHAY KEREN, and JOHN ZANIC, 1:08-cv-08078 (S.D.N.Y.)
Date Filed:
ISAAC GROSSMAN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ISAAC GROSSMAN, ADRIANA GROSSMAN, DRAGON-CLICK CORP., and DRAGON MANAGEMENT, LLC, 0:18-cv-61234 (S.D. Fla.)
Date Filed:
LARRY C GROSSMAN
Current Age: 69 - 71
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of LARRY C. GROSSMAN and GREGORY J. ADAMS, SEC File No. 3-15617
Date Filed:
NORMAN GROSSMAN
Current Age: 78 - 80
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:
STEPHEN KENNETH GROSSMAN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GREGORY LAMONT DRAKE, STEPHEN KENNETH GROSSMAN, STEPHEN SCOTT MOLESKI, JASON DAVID ST. AMOUR, and DAVID ALAN WOLFSON, 2:20-cv-00405 (C.D. Cal.)
Date Filed:
STEPHEN KENNETH GROSSMAN
Current Age: 75 - 77
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of STEPHEN KENNETH GROSSMAN, SEC File No. 3-20690
Date Filed:
YITZ GROSSMAN
Current Age: 69 - 71
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of YITZ GROSSMAN, SEC File No. 3-16715
Date Filed:
MARK GROUSSMAN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BARRY C. HONIG, JOHN STETSON, MICHAEL BRAUSER, JOHN R. O'ROURKE III, MARK GROUSSMAN, PHILLIP FROST, ROBERT LADD, ELLIOT MAZA, BRIAN KELLER, JOHN H. FORD, ALPHA CAPITAL ANSTALT, ATG CAPITAL LLC, FROST GAMMA INVESTMENTS TRUST, GRQ CONSULTANTS, INC., HS CONTRARIAN INVESTMENTS, LLC, GRANDER HOLDINGS, INC., MELECHDAVID, INC., OPKO HEALTH, INC., SOUTHERN BIOTECH, INC., and STETSON CAPITAL INVESTMENTS INC., 1:18-cv-08175 (S.D.N.Y.)
Date Filed:
JACK BENJAMIN GRUBMAN
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JACK BENJAMIN GRUBMAN, 1:03-cv-02938 (S.D.N.Y.)
Date Filed:
JACK BENJAMIN GRUBMAN
Enforcement Action: In the Matter of JACK BENJAMIN GRUBMAN, SEC File No. 3-11323
Date Filed:
PATRICK GRUMAN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SAMIR TRABOULSI, CHARBEL GHANEM, SOCOFINANCE SA, INTERNATIONAL DISCOUNT BANK & TRUST (WEST INDIES) LTD., ALAIN BOUBLIL, MAX THERET, ROBERT REIPLINGER, PATRICK GRUMAN, and JEAN-PIERRE EMDEN, 2:97-cv-05759 (S.D.N.Y.)
Date Filed:
ROBERT GUMERMAN
Current Age: 81 - 83
State: Idaho (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. TELLONE MANAGEMENT GROUP, INC.; DEAN TELLONE; STEVEN WOLFE; AND ROBERT GUMERMAN, 8:21-cv-01413 (C.D. Cal.)
Date Filed:
GEORGE W GUTTMAN
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DONALD JOHN CHRISTENSEN, II, JACK E. USELTON, MARC R. TOW, GEORGE W. GUTTMAN, JOSEPH M. BLUMENTHAL, and MOUNTAIN ENERGY, INC., 4:01-cv-03203 (S.D. Tex.)
Date Filed:
GEORGE W GUTTMAN
Current Age: 66 - 68
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GEORGE W. GUTTMAN, SEC File No. 3-10641
Date Filed:
GUSTAVO A GUZMAN
Current Age: 61 - 63
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. GUSTAVO A. GUZMAN, 3:17-cv-00276 (W.D.N.C.)
Date Filed:
GUSTAVO A GUZMAN
Current Age: 60 - 62
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GUSTAVO A. GUZMAN, SEC File No. 3-21333
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.
When making decisions about investments and investment professionals, you should not solely use this tool. For other resources and tools, see Information for the Individual Investor or visit Investor.gov.