SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
BRIAN D KRETSCHMAN
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. COMPUTONE CORPORATION, THOMAS J. ANDERSON, GREGORY A. ALBA, DONALD A. PEARCE, DUNCAN E. HUME AND BRIAN D. KRETSCHMAN, 1:99-cv-02496 (N.D. Ga.)
Date Filed:
PHILIP THOMAS KUEBER
Also Known As: Phil Thomas, Philip Thomas, Philip Keeber
Current Age: 63 - 65
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PHILIP THOMAS KUEBER, 1:15-cv-04479 (E.D.N.Y.)
Date Filed:
ANIL KUMAR
Current Age: 66 - 68
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GALLEON MANAGEMENT, LP, RAJ RAJARATNAM, RAJIV GOEL, ANIL KUMAR, DANIELLE CHIESI, MARK KURLAND, ROBERT MOFFAT, NEW CASTLE FUNDS LLC, ROOMY KHAN, DEEP SHAH, ALI T. FAR, CHOO-BENG LEE, FAR & LEE LLC, SPHERIX CAPITAL LLC, ALI HARIRI, ZVI GOFFER, DAVID PLATE, GAUTHAM SHANKAR, SCHOTTENFELD GROUP LLC, STEVEN FORTUNA, and S2 CAPITAL MANAGEMENT, LP, 1:09-cv-08811 (S.D.N.Y.)
Date Filed:
ROGER KUMAR JR
Current Age: 58 - 60
State: Florida (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:
SANJAY KUMAR
Current Age: 62 - 64
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SANJAY KUMAR and STEPHEN RICHARDS, 1:04-cv-04104 (E.D.N.Y.)
Date Filed:
MANU S KUMARAN
Current Age: 54 - 56
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MEDIENT STUDIOS, INC., FONU2, INC., MANU KUMARAN, JOEL A. “JAKE” SHAPIRO, and ROGER MIGUEL, 4:16-cv-00253 (S.D. Ga.)
Date Filed:
DMITRY KUPERMAN
Also Known As: JAMES KAUFMAN, JIMMY KAUFMAN
Current Age: 49 - 51
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DMITRY KUPERMAN (A/K/A JAMES KAUFMAN, A/K/A JIMMY KAUFMAN), SEC File No. 3-13164
Date Filed:
PETER KUPERMAN
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PETER KUPERMAN and QED BENCHMARK MANAGEMENT, L.L.C., SEC File No. 3-17075
Date Filed:
KENNETH E KURTZMAN
Current Age: 61 - 63
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ASHFORD.COM, INC., KENNETH E. KURTZMAN, BRIAN E. BERGERON and AMAZON.COM, INC., SEC File No. 3-10797
Date Filed:
KENNETH E KURTZMAN
Current Age: 61 - 63
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. KENNETH E. KURTZMAN and BRIAN E. BERGERON, 1:02-cv-01126 (D.D.C.)
Date Filed:
ZVI KURTZMAN
Current Age: 77 - 79
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of AURA SYSTEMS INC., ZVI KURTZMAN, FRANCIS T. PHALEN, CPA, and JOSEPH BEVACQUA, CPA, SEC File No. 3-9138
Date Filed:
ZVI KURTZMAN
Also Known As: HARRY KURTZMAN
Current Age: 76 - 78
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AURA SYSTEMS, INC., NEWCOM, INC., ZVI (HARRY) KURTZMAN, STEVEN C. VEEN, SULTAN W. KHAN, ASIF M. KHAN, and KOREA DATA SYSTEMS USA, INC., 2:02-cv-04555 (C.D. Cal.)
Date Filed:
MATTHEW LA MADRID
Current Age: 57 - 59
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PLUSMONEY, INC. and MATTHEW LA MADRID, 3:08-cv-00764 (S.D. Cal.)
Date Filed:
MATTHEW LA MADRID
Current Age: 57 - 59
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MATTHEW LA MADRID, SEC File No. 3-13415
Date Filed:
JOSEPH W LAFORTE
Also Known As: JOE MACKI, JOE MACK, JOE MCELHONE
State: Pennsylvania (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:
DANIEL J LAMA
Current Age: 65 - 67
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DANIEL J. LAMA, 5:14-cv-00996 (C.D. Cal.)
Date Filed:
KARIM M LAMARTI
Current Age: 54 - 56
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROBERT F. FOX, KARIM M. LAMARTI, CHARLES S. PIPIA, CHARLES J. PRINCIPATO, JR., JAMES A. SAMMARTANO, MARK SANFILIPPO, ANGELO M. SCIFO, JR., SHAWN J. SMITH, J. VINCENT TARANTINO, and CLYDE ANTHONY WILLIAMS, SEC File No. 3-11256
Date Filed:
STEVEN J LANDMANN
Current Age: 64 - 66
State: Missouri (per Complaint/Order Instituting Proceedings)
Enforcement Action: Securities and Exchange Commission v. Steven J. Landmann, 4:07-cv-00271 (E.D. Mo.)
Date Filed:
STEVEN J LANDMANN
Current Age: 64 - 66
State: Missouri (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of STEVEN J. LANDMANN, SEC File No. 3-12587
Date Filed:
ROBERT A LECHMAN
Current Age: 73 - 75
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GLB TRADING, INC. and ROBERT A. LECHMAN, SEC File No. 3-13443
Date Filed:
ISAAC LEDERMAN
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. LORRAINE K. CASSANO, ET AL., 1:99-cv-03822 (S.D.N.Y.)
Date Filed:
SAMUEL G LEDERMAN
Current Age: 77 - 79
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SAMUEL G. LEDERMAN, SEC File No. 3-10260
Date Filed:
SAMUEL GARY LEDERMAN
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. LORRAINE K. CASSANO, ET AL., 1:99-cv-03822 (S.D.N.Y.)
Date Filed:
DAVID PHILIP LEEMAN
Current Age: 74 - 76
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RETIREMENT SURETY LLC, CRESCENDO FINANCIAL LLC, THOMAS ROSE, DAVID LEEMAN, AND DAVID FEATHERSTONE, SEC File No. 3-18061
Date Filed:
PHILIP A LEHMAN
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PHILIP A. LEHMAN and TOWER EQUITIES, INC., SEC File No. 3-10024
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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