SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
HEIDI MAO LIU
Also Known As: HEIDI MAO
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CKB168 HOLDINGS LTD., WIN168 BIZ SOLUTIONS LTD., CKB168 LTD., CKB168 BIZ SOLUTION, INC., CYBER KIDS BEST EDUCATION LTD., RAYLA MELCHER SANTOS, HUNG WAI ("HOWARD") SHERN, RUI LING ("FLORENCE") LEUNG, DALIANG ("DAVID") GUO, YAO LIN, CHIH HSUAN "KIKI" LIN, WEN CHEN HWANG (AKA "WENDY LEE"), TONI TONG CHEN, CHEONGWHA "HEYWOOD" CHANG, JOAN CONGYI MA (AKA "JC MA"), AND HEIDI MAO LIU (AKA "HEIDI MAO"), 1:13-cv-05584 (E.D.N.Y.)
Date Filed:
ROBERT BRUCE LOHMANN
Enforcement Action: In the Matter of ROBERT BRUCE LOHMANN, SEC File No. 3-10611
Date Filed:
MARK LOMAN
Current Age: 61 - 63
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARK LOMAN, 2:19-cv-06187 (C.D. Cal.)
Date Filed:
MARK LOMAN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MARK LOMAN, CPA, SEC File No. 3-20821
Date Filed:
MICHAEL A LOMAS
Current Age: 78 - 80
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MOBILE BILLBOARDS OF AMERICA, INC., INTERNATIONAL PAYPHONE COMPANY, RESERVE GUARANTY TRUST, MICHAEL A. LOMAS and MICHAEL L. YOUNG, 1:04-cv-02763 (N.D. Ga.)
Date Filed:
MICHAEL A LOMAS
Current Age: 78 - 80
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MICHAEL A. LOMAS and MICHAEL L. YOUNG, SEC File No. 3-11710
Date Filed:
JOHN B LONGMAN
Current Age: 84 - 86
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOHN B. LONGMAN and LONGMAN & ASSOCIATES, INC., SEC File No. 3-10383
Date Filed:
FRANK R.V. LOOMANS
Current Age: 50 - 52
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. FRANK R.V. LOOMANS, 1:05-cv-00400 (N.D. Ga.)
Date Filed:
THOMAS H LUDEMAN
Current Age: 83 - 85
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Celebrity Resorts and Casinos, Inc. and Thomas H. Ludeman, SEC File No. 3-11387
Date Filed:
FRED LYMAN
Current Age: 80 - 82
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JERALD BEAGELMAN, FRED LYMAN, JOSEPH SANFELLIPO AND ELLIOT STUMACHER, 0:96-cv-03899 (E.D.N.Y.)
Date Filed:
DIAN MIN MA
Current Age: 57 - 59
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHINA RUITAI INTERNATIONAL HOLDINGS CO., LTD., DIAN MIN MA, GANG MA, AND JIN TIAN, SEC File No. 3-15544
Date Filed:
GANG MA
Current Age: 51 - 53
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHINA RUITAI INTERNATIONAL HOLDINGS CO., LTD., DIAN MIN MA, GANG MA, AND JIN TIAN, SEC File No. 3-15544
Date Filed:
GUOLIN MA
Current Age: 66 - 68
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GUOLIN MA, 5:16-cv-03131 (N.D. Cal.)
Date Filed:
JOAN CONGYI MA
Also Known As: JC MA
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CKB168 HOLDINGS LTD., WIN168 BIZ SOLUTIONS LTD., CKB168 LTD., CKB168 BIZ SOLUTION, INC., CYBER KIDS BEST EDUCATION LTD., RAYLA MELCHER SANTOS, HUNG WAI ("HOWARD") SHERN, RUI LING ("FLORENCE") LEUNG, DALIANG ("DAVID") GUO, YAO LIN, CHIH HSUAN "KIKI" LIN, WEN CHEN HWANG (AKA "WENDY LEE"), TONI TONG CHEN, CHEONGWHA "HEYWOOD" CHANG, JOAN CONGYI MA (AKA "JC MA"), AND HEIDI MAO LIU (AKA "HEIDI MAO"), 1:13-cv-05584 (E.D.N.Y.)
Date Filed:
LI XIN MA
Also Known As: LI XIN MA
Current Age: 57 - 59
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AUTOCHINA INTERNATIONAL LIMITED, HUI KAI YAN, RUI GE DONG, VICTORY FIRST LIMITED, RAINBOW YIELD LIMITED, YONG QI LI, AI XI JI, YE WANG, ZHONG WEN ZHANG, LI XIN MA, YONG LI LI, and SHU LING LI, 1:12-cv-10643 (D. Mass.)
Date Filed:
MIN T MA
Current Age: 48 - 50
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MIN T. MA and JOYCE MANNI NG, 2:04-cv-23267 (N.D. Cal.)
Date Filed:
BRETT C MAAS
Current Age: 48 - 50
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BRETT C. MAAS, 2:08-cv-01947 (D. Ariz.)
Date Filed:
RYAN MAASEN
Current Age: 42 - 44
State: Oklahoma (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. TREVON BROWN, CRAIG GRANT, JOSHUA JEPPESEN, RYAN MAASEN, and MICHAEL NOBLE, 1:21-cv-04791 (S.D.N.Y.)
Date Filed:
RYAN MAASEN
Current Age: 43 - 45
State: Oklahoma (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RYAN MAASEN, SEC File No. 3-20645
Date Filed:
GIFFORD M MABIE JR
Current Age: 84 - 86
State: Oklahoma (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MAXXON, INC., GIFFORD M. MABIE, JR., THOMAS R. COUGHLIN, JR., and RHONDA R. VINCENT, 4:02-cv-00975 (N.D. Okla.)
Date Filed:
PAUL FRANCIS MABRY
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PAUL FRANCIS MABRY, SEC File No. 3-9464
Date Filed:
MARK ANDREW MACARTHUR
Current Age: 56 - 58
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CRITERION WEALTH MANAGEMENT INSURANCE SERVICES, INC., ROBERT ALLEN GRAVETTE, and MARK ANDREW MACARTHUR, 2:20-cv-01402 (C.D. Cal.)
Date Filed:
MICHAEL MACCAULL
Current Age: 53 - 55
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DAVID ABISH, CHRISTOPHER BETTS, MARK CHARVAT, MICHAEL COHN, JAMES CORCORAN, CHARLES DISTEFANO, PAUL FEENY, STEPHEN GOURLAY, BRIAN KEARNEY, MICHAEL MACCAULL, TIMOTHY MATTHEWS, ROBERT PRATT, MARIO RODRIGUEZ, WILLIAM SCUTERI, SCOTT SIEGEL, DONALD TURNEY, ANDREW TURSI and DAVID WEEKS, 1:00-cv-00978 (S.D.N.Y.)
Date Filed:
MICHAEL MACCHIARELLA
Current Age: 72 - 74
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DREW S. LEVIN, NOEL CRONIN, and MICHAEL MACCHIARELLA, 2:05-cv-02547 (C.D. Cal.)
Date Filed:
RICHARD MACCHIARULO
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RICHARD MACCHIARULO, 1:01-cv-06454 (S.D.N.Y.)
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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