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
PHILIP A LEHMAN
Current Age: 84 - 86
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PHILIP A. LEHMAN, SEC File No. 3-11972
Date Filed:
MAIER S LEHMANN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. THOMAS EDWARD CAVANAGH, U.S. MILESTONE, ELECTRO-OPTICAL SYSTEMS CORP., GEORGE CHACHAS, THOMAS R. BROOKSBANK, WILLIAM N. LEVY through executrix MARLENE LEVY, OPTIMUM FUND, AGIRA TRADING, CUSTOMER SAFETY, S.L., CAMBIARES, S.L., CONSTRUCCIONES SOLARIEGAS, S.L., THOMAS A. HANTGES, COSIMO TACOPINO, FRANK NICOLOIS, MAIER S. LEHMANN, JAMES E. FRANKLIN and VICENTE TUR ORTOLA, 1:98-cv-01818 (S.D.N.Y.)
Date Filed:
NORMAN LEHRMAN
Current Age: 66 - 68
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:
SAMUEl O LEMAIRE
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PETROGAS OVERSEAS TRADING, LP AND SAMUEL O. LEMAIRE, 4:10-cv-00395 (N.D. Tex.)
Date Filed:
GREGG A LERMAN
Current Age: 52 - 54
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROBERT P. DEPALO, JOSHUA B. GLADTKE, GREGG A. LERMAN, PANGAEA TRADING PARTNERS LLC, ARJENT LLC, ARJENT LIMITED, AND EXCALIBUR ASSET MANAGEMENT LLC, 1:15-cv-03877 (S.D.N.Y.)
Date Filed:
GREGG A LERMAN
Current Age: 51 - 53
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GREGG A. LERMAN, SEC File No. 3-19111
Date Filed:
ALAN D LIBMAN
Also Known As: DAMIAN VANDERHAUS
Current Age: 80 - 82
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: U.S. SECURITIES AND EXCHANGE COMMISSION v. ALAN D. LIBMAN A/K/A DAMIAN VANDERHAUS, 2:07-cv-04634 (C.D. Cal.)
Date Filed:
CHARLES J LIDMAN
Current Age: 80 - 82
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CORPORATE RELATIONS GROUP, INC., STRATCOMM MEDIA LTD., GULF ATLANTIC PUBLISHING, INC., NEW CONCEPTS L.L.C., CJL CORPORATION, POW WOW, INC., FONDO DE ADQUISICIONES E INVERSIONES INTERNACIONALES XL, S.A., C.A. OPORTUNIDAD, S.A., AMMONIA HOLD, INC., ROBERTO E. VEITIA, JAMES W. SPRATT III, JAMES A. SKALKO, JACK R. RODRIGUEZ, JOSE ANTONIO GOMEZ CORTES, ARNOLD ZOUSMER, CHARLES J. LIDMAN and MICHAEL PARNELL, 6:99-cv-01222 (M.D. Fla.)
Date Filed:
ADAM LIEBERMAN
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:
ADAM LIEBERMAN
Current Age: 56 - 58
Enforcement Action: In the Matter of Sterling Foster & Company, Inc. and Adam Lieberman, SEC File No. 3-10049
Date Filed:
BRUCE LIEBERMAN
Current Age: 68 - 70
State: Minnesota (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DEEPHAVEN CAPITAL MANAGEMENT, LLC and BRUCE LIEBERMAN, 1:06-cv-00805 (D.D.C.)
Date Filed:
BRUCE LIEBERMAN
Current Age: 68 - 70
State: Minnesota (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of BRUCE LIEBERMAN, SEC File No. 3-12302
Date Filed:
JAMES L LIEBERMAN
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JAMES L. LIEBERMAN, 1:12-cv-02198 (D. Colo.)
Date Filed:
WILLIAM J LIEBERMAN
Current Age: 59 - 61
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of WILLIAM J. LIEBERMAN, SEC File No. 3-10031
Date Filed:
ANNE B LIEBERMANN
Current Age: 60 - 62
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. JARROD W. MCMILLIN, individually, and d/b/a American Investors Network, INNOVATIVE PROJECTS, INC. d/b/a American Investors Network, LAURENCE YOUNG, individually, and d/b/a Fairweather Management and Access Funding, ANNE B. LIEBERMANN, and JASON A. KOLAKOWSKI, 1:07-cv-02636 (D. Colo.)
Date Filed:
ANNE B LIEBERMANN
Current Age: 59 - 61
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ANNE B. LIEBERMANN, SEC File No. 3-13277
Date Filed:
HENRY G LIEBMAN
Current Age: 72 - 74
State: Washington (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of AMERICAN LIFE, INC. AND HENRY G. LIEBMAN, SEC File No. 3-17285
Date Filed:
JOHN L LIMA
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. THEODORE H. SMICK, LOUIS L. LIMA and JOHN L. LIMA, 1:99-cv-11595 (D. Mass.)
Date Filed:
LOUIS L LIMA
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. THEODORE H. SMICK, LOUIS L. LIMA and JOHN L. LIMA, 1:99-cv-11595 (D. Mass.)
Date Filed:
DEBRA LEE LINDAMAN
Current Age: 62 - 64
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DLL CPAS, LLC and DEBRA LEE LINDAMAN, CPA, SEC File No. 3-19010
Date Filed:
LEVI D LINDEMANN
Current Age: 48 - 50
State: Minnesota (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. LEVI D. LINDEMANN, 0:14-cv-04834 (D. Minn.)
Date Filed:
LEVI D LINDEMANN
Current Age: 48 - 50
State: Minnesota (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of LEVI D. LINDEMANN, SEC File No. 3-17200
Date Filed:
MICHAEL C LINGERMAN
Current Age: 57 - 59
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Michael C. Lingerman, CPA, SEC File No. 3-12779
Date Filed:
MARK ALAN LISSER
Also Known As: MARK ALAN, MARK ALLEN
Current Age: 44 - 46
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARK ALAN LISSER a/k/a MARK ALAN a/k/a MARK ALLEN, 2:20-cv-05798 (E.D.N.Y.)
Date Filed:
ERIC LITTMAN
Current Age: 69 - 71
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PAUL SIMMONS, RODNEY GILBERT, JOHN ZANKOWSKI, ESQ., KERRY KENNEDY, STANLEY SICILIANO and ERIC LITTMAN, ESQ., 8:04-cv-02477 (M.D. Fla.)
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.