See also case number 2:98-cv-04487 (C.D. Cal.).
SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
ABHI BATRA
Also Known As: ABHIMANYU BATRA
Current Age: 36 - 38
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: Securities and Exchange Commission v. Abhi Batra a/k/a Abhimanyu Batra, 2:21-cv-00434 (C.D. Cal.)
Date Filed:
MICHAEL BATTERMAN
Current Age: Over 90
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL BATTERMAN, RANDALL B. BATTERMAN III and DYNASTY FUND, LTD., 1:00-cv-04835 (S.D.N.Y.)
Date Filed:
MICHAEL BATTERMAN
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MICHAEL BATTERMAN and RANDALL B. BATTERMAN III, SEC File No. 3-11259
Date Filed:
RANDALL B BATTERMAN III
Current Age: 61 - 63
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL BATTERMAN, RANDALL B. BATTERMAN III and DYNASTY FUND, LTD., 1:00-cv-04835 (S.D.N.Y.)
Date Filed:
RANDALL B BATTERMAN III
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MICHAEL BATTERMAN and RANDALL B. BATTERMAN III, SEC File No. 3-11259
Date Filed:
THOMAS BATTERMAN
Current Age: 67 - 69
State: Wisconsin (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of VIGIL ASSET MANAGEMENT GROUP, INC. AND THOMAS BATTERMAN, SEC File No. 3-9128
Date Filed:
THOMAS BATTERMAN
Current Age: 66 - 68
State: Wisconsin (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of FINANCIAL FIDUCIARIES, LLC and THOMAS BATTERMAN, SEC File No. 3-18385
Date Filed:
MORRIS F BAUGHMAN
Enforcement Action: In the Matter of MORRIS F. BAUGHMAN, CPA, SEC File No. 3-9011
Date Filed:
ROLAND R BAUGHMAN
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. P. JOSEPH VERTUCCI, BRUCE E. STRAUGHN, ROBERT V. PETRY, ROLAND R. BAUGHMAN, RICHARD M. JOHNSON, EDWARD MEYER, JR., and HAZLET INVESTORS, INC., 5:99-cv-00426 (N.D. Ohio)
Date Filed:
FREDERICK BAUMAN
Current Age: 71 - 73
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of FREDERICK BAUMAN, ESQ., SEC File No. 3-20585
Date Filed:
FREDERICK BAUMAN
Current Age: 72 - 74
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. FREDERICK BAUMAN, 2:21-cv-01651 (D. Nev.)
Date Filed:
STEPHEN CHERYL BAUMAN
Current Age: 72 - 74
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Stephen Cheryl Bauman, SEC File No. 3-13551
Date Filed:
BRUCE K BAUMANN
Current Age: 74 - 76
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BRUCE K. BAUMANN, 8:98-cv-00438 (C.D. Cal.)
Date Filed:
Other Information:
C ERIC BAUMANN
Also Known As: ERIC BAUMANN
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JEFFREY L. FULLER, REBECCA L. SCHULTZ, and C. ERIC BAUMANN, 4:01-cv-03021 (D. Neb.)
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.