SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
JEFFREY C MACK
Current Age: 70 - 72
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JEFFREY C. MACK and LAWRENCE C. BLANEY, 0:19-cv-00918 (D. Minn.)
Date Filed:
JUDITH A MACK
State: Connecticut (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DAWSON-SAMBERG CAPITAL MANAGEMENT, INC. Now Known As DAWSON-GIAMMALVA CAPITAL MANAGEMENT, INC. and JUDITH A. MACK, SEC File No. 3-10261
Date Filed:
KENNETH MACK
Current Age: 52 - 54
Enforcement Action: In the Matter of KENNETH MACK and BRYAN McMILLAN, SEC File No. 3-17794
Date Filed:
PATRICK G MACKARONIS
Current Age: 40 - 42
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: U.S. SECURITIES AND EXCHANGE COMMISSION v. JAMES R. TROLICE, LEE P. VACCARO, and PATRICK G. MACKARONIS, 2:16-cv-02513 (D.N.J.)
Date Filed:
PATRICK G MACKARONIS
Current Age: 39 - 41
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PATRICK G. MACKARONIS, SEC File No. 3-17318
Date Filed:
WARREN J MACKENSEN
Current Age: 75 - 77
State: New Hampshire (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MACKENSEN & COMPANY, INC. AND WARREN J. MACKENSEN, SEC File No. 3-16780
Date Filed:
DONALD ANTHONY MACKENZIE
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROBERT S. “LUTE” DAVIS, JR., DONALD ANTHONY MACKENZIE, AARON R. ANDREW, JEFFREY L. WENDEL, RANDY T. RONDBERG, RICHARD FRITTS, MARCUS BRADFORD BRAY, GREGORY W. ANDERSON, CLAUDE STEVEN MOSLEY, GREGORY A. KOCH, OLD SECURITY FINANCIAL GROUP, INC., PARAMOUNT FINANCIAL SERVICES, INC., D/B/A LIVE ABUNDANT, WENDEL FINANCIAL NETWORK, LLC, A/K/A WENDEL RETIREMENT PLANNING, TRAGER LLC, FRITTS FINANCIAL, LLC, BRADFORD SOLUTIONS, LLC, BALANCED FINANCIAL, INC., SECURITY FINANCIAL, LLC, KOCH INSURANCE BROKERS, LLC, and CHARLES N. NILOSEK, 2:18-cv-10481 (C.D. Cal.)
Date Filed:
DONALD ANTHONY MACKENZIE
Current Age: 56 - 58
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Donald Anthony Mackenzie, SEC File No. 3-19679
Date Filed:
JOHN D MACKENZIE
Enforcement Action: In the Matter of JOHN D. MACKENZIE, SEC File No. 3-9407
Date Filed:
THOMAS B MACKEY
State: Virginia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. TENET HEALTHCARE CORPORATION, DAVID L. DENNIS, THOMAS B. MACKEY, CHRISTI R. SULZBACH, AND RAYMOND L. MATHIASEN, 2:07-cv-02144 (S.D.N.Y.)
Date Filed:
THOMAS S MACKIE JR.
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. THOMAS S. MACKIE, JR., PETER M. STANLEY, AND ANDREW S. FINK, 9:95-cv-04852 (E.D.N.Y.)
Date Filed:
CHAD THOMAS MACKLAND
Current Age: 42 - 44
State: Iowa (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHAD THOMAS MACKLAND, SEC File No. 3-20617
Date Filed:
DANIEL J MACKLE SR
Current Age: 54 - 56
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DANIEL J. MACKLE, SR. AND SILVER EDGE FINANCIAL LLC, SEC File No. 3-21325
Date Filed:
DONNA MACLI
Current Age: 61 - 63
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOSEPH SIMONE; ISLAND CAPITAL MANAGEMENT, INC.; JOSEPH LANDO; JOSEPH CARACCIOLO; ALFRED VARRICCHIO; ANTHONY PIANELLI; JILL PIANELLI; JAP JAP ENTERPRISES, LLC; PATRICK VERDI; G.P. INSTITUTIONAL SERVICES, INC.; BRIAN FABRIZZI; DONALD SORRENTINO; ANTHONY CARANNANTE, individually and d/b/a A&C MANAGEMENT; STEVEN DARONZIO, individually and d/b/a A&C MANAGEMENT; ROCHELLE ROMAN; SHAUN SARNICOLA; ANTHONY TANICO; ANDREA LANDO-TANICO; AJT LTD.; AJGT LTD.; MICHAEL McCORMACK, DONNA CENTOLA; DMAC SERVICES, INC.; ANDREW CACCIOPPOLI; THOMAS MACLI; DONNA MACLI; LUMAC CORP.; GARY MANFRE; RICHARD MANFRE; and RAM SOLUTIONS, INC., 1:07-cv-03928 (E.D.N.Y.)
Date Filed:
THOMAS MACLI
Current Age: 68 - 70
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOSEPH SIMONE; ISLAND CAPITAL MANAGEMENT, INC.; JOSEPH LANDO; JOSEPH CARACCIOLO; ALFRED VARRICCHIO; ANTHONY PIANELLI; JILL PIANELLI; JAP JAP ENTERPRISES, LLC; PATRICK VERDI; G.P. INSTITUTIONAL SERVICES, INC.; BRIAN FABRIZZI; DONALD SORRENTINO; ANTHONY CARANNANTE, individually and d/b/a A&C MANAGEMENT; STEVEN DARONZIO, individually and d/b/a A&C MANAGEMENT; ROCHELLE ROMAN; SHAUN SARNICOLA; ANTHONY TANICO; ANDREA LANDO-TANICO; AJT LTD.; AJGT LTD.; MICHAEL McCORMACK, DONNA CENTOLA; DMAC SERVICES, INC.; ANDREW CACCIOPPOLI; THOMAS MACLI; DONNA MACLI; LUMAC CORP.; GARY MANFRE; RICHARD MANFRE; and RAM SOLUTIONS, INC., 1:07-cv-03928 (E.D.N.Y.)
Date Filed:
DONALD J MACPHEE
Current Age: 72 - 74
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DONALD J. MACPHEE, SEC File No. 3-10721
Date Filed:
DONALD J MACPHEE
Current Age: 72 - 74
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. DONALD J. MACPHEE, 1:02-cv-01089 (D.N.J.)
Date Filed:
KENNETH B MACQUEEN
Current Age: 66 - 68
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. KENNETH B. MACQUEEN, MACQUEEN CAPITAL MANAGEMENT, CORP. AND THE DIVIDEND REINVESTMENT FUND, L.L.C., 1:03-cv-01423 (N.D. Ill.)
Date Filed:
KENNETH B MACQUEEN
Current Age: 67 - 69
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of KENNETH B. MACQUEEN, SEC File No. 3-11681
Date Filed:
HAROLD J MACSATA
Current Age: 80 - 82
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. HAROLD J. MACSATA, 2:02-cv-01233 (D.N.J.)
Date Filed:
DOUGLAS MACWRIGHT
Current Age: 68 - 70
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DOUGLAS MACWRIGHT and HIGHLANDER CAPITAL MANAGEMENT, LLC, 2:23-cv-20609 (D.N.J.)
Date Filed:
DOUGLAS MACWRIGHT
Current Age: 68 - 70
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DOUGLAS MACWRIGHT, SEC File No. 3-21778
Date Filed:
ANUP MADAN
Current Age: 58 - 60
State: Washington (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ANUP MADAN, 2:18-cv-01121 (W.D. Wash.)
Date Filed:
DANIEL STEPHEN MADASZ
Current Age: 73 - 75
State: Missouri (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DANIEL STEPHEN MADASZ, SEC File No. 3-22225
Date Filed:
CLETE D MADDEN
Current Age: 63 - 65
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CLETE D. MADDEN, CPA, and DAVID L. HUFFMAN, CPA, SEC File No. 3-12252
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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