SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
ROBERT E KAUFFMAN
Current Age: 69 - 71
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AMBASSADOR ADVISORS, LLC, BERNARD I. BOSTWICK, ROBERT E. KAUFFMAN, and ADRIAN E. YOUNG, 5:20-cv-02274 (E.D. Pa.)
Date Filed:
ROLAND KAUFMANN
Current Age: 71 - 73
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AXIUS, INC., ROLAND KAUFMANN, and JEAN-PIERRE NEUHAUS, 1:12-cv-03338 (E.D.N.Y.)
Date Filed:
THOMAS A KAUFMANN
Current Age: 69 - 71
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOHN A. CARLEY, MARK N. DOHLEN, EUGENE C. GEIGER, PAUL A. GILES, ROY E. GOULD, THOMAS A. KAUFMANN, ALFRED PEEPER, EDWARD H. PRICE, CHRISTOPHER H. ZACHARIAS, LE FOND MONDIAL D’INVESTISSEMENT S.A., and SPENCER EDWARDS, INC., SEC File No. 3-11626
Date Filed:
DENNIS KAVELMAN
Current Age: 53 - 55
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RESEARCH IN MOTION LIMITED, DENNIS KAVELMAN, ARCANGELO LOBERTO, JAMES BALSILLIE and MIHAL LAZARIDIS, 1:09-cv-00301 (D.D.C.)
Date Filed:
DENNIS KAVELMAN
Current Age: 53 - 55
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DENNIS KAVELMAN, C.A. and ARCANGELO LOBERTO, C.A., SEC File No. 3-13421
Date Filed:
CRAIG KELLERMAN
Current Age: 62 - 64
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. STERLING FOSTER & COMPANY, INC., ADAM LIEBERMAN, CRAIG KELLERMAN, FRANK MONROIG, AND DENNIS RUEB, 1:97-cv-01077 (S.D.N.Y.)
Date Filed:
CRAIG KELLERMAN
Enforcement Action: In the Matter of CRAIG KELLERMAN, SEC File No. 3-14030
Date Filed:
MICHAEL A KIMELMAN
Current Age: 53 - 55
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ARTHUR J. CUTILLO, JASON C. GOLDFARB, ZVI GOFFER, CRAIG C. DRIMAL, SCHOTTENFELD GROUP, LLC, GAUTHAM SHANKAR, DAVID PLATE, EMANUEL GOFFER, and MICHAEL KIMELMAN, 1:09-cv-09208 (S.D.N.Y.)
Date Filed:
MICHAEL A KIMELMAN
Current Age: 52 - 54
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MICHAEL A. KIMELMAN, SEC File No. 3-14807
Date Filed:
CHRISTINA M KITTERMAN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHRISTINA M. KITTERMAN, SEC File No. 3-16049
Date Filed:
DAVID S KLARMAN
Current Age: 60 - 62
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. OLIVER HILSENRATH and DAVID S. KLARMAN, 3:03-cv-03252 (N.D. Cal.)
Date Filed:
DAVID S KLARMAN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DAVID S. KLARMAN, ESQ., SEC File No. 3-11966
Date Filed:
HOWARD S KLEYMAN
Current Age: 82 - 84
State: Minnesota (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. HOWARD S. KLEYMAN, 0:21-cv-01943 (D. Minn.)
Date Filed:
HOWARD S KLEYMAN
Current Age: 83 - 85
State: Minnesota (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Howard S. Kleyman, SEC File No. 3-20637
Date Filed:
DANIEL H KLUGMAN
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SUSAN L. HIRSCH, GREGORY M. HIRSCH, DANNY B. KAMINSKY, LEWIS A. KOODEN, DANIEL H. KLUGMAN and MICHAEL D. KOODEN, 4:97-cv-00060 (S.D. Ga.)
Date Filed:
IRVING P KNELMAN
Current Age: 75 - 77
State: Minnesota (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Knelman Asset Management Group, LLC and Irving P. Knelman, SEC File No. 3-15588
Date Filed:
MICHAEL WARNER KOCHMAN
Current Age: 47 - 49
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GLOBAL FIXED INCOME, LLC, CHARLES PERLITZ KEMPF, AGS CAPITAL GROUP, LLC, ALLEN GABRIEL SILBERSTEIN, BANES CAPITAL MANAGEMENT, LLC, JOEL LEIGH BANES, MICHAEL WARNER KOCHMAN, BIG STAR CAPITAL, LLC, RYAN PATRICK MCGUINNESS, ESSO VENTURES, LLC, MARK LEONARD LECHLER, ETEK INVESTMENT MANAGEMENT, INC., KEVIN GREGORY HALEY, FINMARK RESOURCES, LLC, PETER ERIC BAKER, JOSEPH MICHAEL ARAIZ, PARKER PASCHAL & COMPANY, LLC, ANDREW PARKER SHOOK, PMK CAPITAL MANAGEMENT, LLC, ROGER KUMAR, JR., RLJ FIXED INCOME, LLC, AND COREY ANTWUAN PRINTUP, SEC File No. 3-16460
Date Filed:
STEVE KOIFMAN
Current Age: 51 - 53
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of STEVE KOIFMAN, SEC File No. 3-17275
Date Filed:
BADREE KOMANDUR
Current Age: 53 - 55
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of BADREE KOMANDUR, ACA, SATISH ARUNACHALAM, CA, AND WIPRO LIMITED, SEC File No. 3-17746
Date Filed:
ANDREW M KOMAROW
Current Age: 34 - 36
State: Connecticut (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ANDREW M. KOMAROW, SEC File No. 3-21859
Date Filed:
CHARLES A KOPPELMAN
Current Age: 83 - 85
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Charles A. Koppelman, SEC File No. 3-17569
Date Filed:
TZEMACH DAVID NETZER KOREM
Also Known As: MARK PEDLEY, DAVID KORMAN, MARK WELLINGTON, BRANCH VINDRESSER
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JEAN R. CHARBIT and TZEMACH DAVID NETZER KOREM, 1:10-cv-23604 (S.D. Fla.)
Date Filed:
GARY M KORNMAN
Current Age: 80 - 82
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GARY M. KORNMAN, SEC File No. 3-12716
Date Filed:
EMMANUEL KOUYOUMDJIAN
Also Known As: MANNY KOUYOUMDJIAN
Current Age: 49 - 51
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. EMMANUEL KOUYOUMDJIAN (a/k/a “MANNY K”), 0:19-cv-61773 (S.D. Fla.)
Date Filed:
EMMANUEL KOUYOUMDJIAN
Also Known As: MANNY K
Current Age: 49 - 51
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter EMMANUEL KOUYOUMDJIAN a/k/a “MANNY K”, SEC File No. 3-20055
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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