SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
DAVID AMARYAN
Current Age: 44 - 46
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ARKADIY DUBOVOY, IGOR DUBOVOY, PAVEL DUBOVOY, NELIA DUBOVA, DAVID AMARYAN, ALEXANDER FEDOSEEV, ALEKSANDR GARKUSHA, OLEKSANDER IEREMENKO (a.k.a. Aleksander Eremenko), VLADISLAV KHALUPSKY, VITALY KORCHEVSKY, ROMAN LAVLINSKIY, OLEKSANDR MAKAROV, LEONID MOMOTOK, NIKOLAI SLEPENKOV, ANDRIY SUPRANONOK, IVAN TURCHYNOV, MAXIM ZAKHARCHENKO, APD DEVELOPERS, LLC, BERATTO GROUP LTD., BERING EXPLORER FUND LTD., CONCORDE BERMUDA LTD., ESCADA LOGISTICS LTD., EXANTE LTD., GLOBAL HEDGE CAPITAL GROUP, GUIBOR S.A., INTERTRADE PACIFIC S.A., MEMELLAND INVESTMENTS LTD., JASPEN CAPITAL PARTNERS LIMITED, NTS CAPITAL FUND, OCEAN PRIME INC., OMEGA 26 INVESTMENTS LTD., SOUTHEASTERN HOLDING AND INVESTMENT COMPANY LLC, COPPERSTONE ALPHA FUND, AND COPPERSTONE CAPITAL, 2:15-cv-06076 (D.N.J.)
Date Filed:
GEORGE AMMAR
Current Age: 60 - 62
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RESILIENCE MANAGEMENT, LLC, BASSEM MANSOUR AND GEORGE AMMAR, SEC File No. 3-18055
Date Filed:
ANANDA KUMAR ANANDA
Also Known As: Kumar Ananda
Current Age: 71 - 73
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ANAND JAYAPALAN, ANANDA KUMAR ANANDA, also known as “Kumar Ananda,” RAJNI NAIR, and VIJAYA ANANDA, 2:17-cv-07186 (C.D. Cal.)
Date Filed:
GLEN V ARMAND
Current Age: 67 - 69
State: Virginia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of NATIONAL TRUST AND FIDUCIARY SERVICES COMPANY, INC., GLEN V. ARMAND, and ROBERT W. MORESCHI, SEC File No. 3-21277
Date Filed:
ERIC ASHMAN
Current Age: 57 - 59
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ERIC ASHMAN, 1:12-cv-09189 (S.D.N.Y.)
Date Filed:
ERIC ASHMAN
Current Age: 56 - 58
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ERIC ASHMAN, CPA, SEC File No. 3-15171
Date Filed:
MICHAEL J ASSENZA
Also Known As: MICHAEL GRIMALDI
Current Age: 48 - 50
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MICHAEL J. ASSENZA a/k/a “MICHAEL GRIMALDI”, SEC File No. 3-21233
Date Filed:
M MAHMUD AWAN
Also Known As: MAHMUD AWAN
Current Age: 72 - 74
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of M. MAHMUD AWAN, SEC File No. 3-10418
Date Filed:
SCOTT EUGENE BACHMAN
Current Age: 71 - 73
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: IN THE MATTER OF SCOTT EUGENE BACHMAN, SEC File No. 3-20089
Date Filed:
TATIANA BADMAEVA
Current Age: 50 - 52
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. POINTER WORLDWIDE LTD and TATIANA BADMAEVA, 1:09-cv-06162 (S.D.N.Y.)
Date Filed:
HAUSMANN-ALAIN BANET
Also Known As: OUSMANN ALAIN-GBANE, OUSMANNE GBANE
Current Age: 60 - 62
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. LION CAPITAL MANAGEMENT, LLC AND HAUSMANN-ALAIN BANET, 3:12-cv-05116 (N.D. Cal.)
Date Filed:
HAUSMANN-ALAIN BANET
Also Known As: HAUSMANN ALAIN BANET
Current Age: 59 - 61
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of HAUSMANN-ALAIN BANET, SEC File No. 3-15445
Date Filed:
SIVANNARAYANA BARAMA
Current Age: 50 - 52
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JANARDHAN NELLORE, SIVANNARAYANA BARAMA, GANAPATHI KUNADHARAJU, SABER HUSSAIN, and PRASAD MALEMPATI, 5:19-cv-08207 (N.D. Cal.)
Date Filed:
ERIK K BARDMAN
Current Age: 57 - 59
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ERIK K. BARDMAN, and JENNIFER F. WOLF, 3:16-cv-02023 (N.D. Cal.)
Date Filed:
MARK BARQUERA
Also Known As: MARK CABRERRO
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CITI FINANCIAL SERVICES, CITI CORP REALTY PARTNERS IV, HAROLD GOLDSTEIN, RICHARD THOMAS MANDELL, a.k.a. MARK MORGENLENDER, ROBERT SINGLETON, MARK BARQUERA, a.k.a. MARK CABRERRO and ROBERTA CRAMPTON, 2:96-cv-00349 (C.D. Cal.)
Date Filed:
JERARD BASMAGY
Enforcement Action: In the Matter of JERARD BASMAGY, SEC File No. 3-18487
Date Filed:
ROBERT T BASSMAN
State: Michigan (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GARY L. MONROE, WILLIAM J. RAUWERDINK, JOHN R. MESSINGER, and ROBERT T. BASSMAN, 2:03-cv-071840 (E.D. Mich.)
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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