SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
DOUGLAS E MALLACH
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. TECHNIGEN CORPORATION, DOUGLAS E. MALLACH, DAVID J. DAMBRO, LAWRENCE J. NESIS, SOVEREIGN EQUITY MANAGEMENT CORPORATION, GLEN T. VITTOR and MORTON J. GLICKMAN, 1:98-cv-00933 (D. Colo.)
Date Filed:
DOUGLAS E MALLACH
Enforcement Action: In the Matter of DOUGLAS E. MALLACH, SEC File No. 3-10480
Date Filed:
JEFFREY B MALLETT
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GREEN TREE INVESTMENT GROUP, INC. and JEFFREY B. MALLETT, 1:17-cv-01091 (W.D. Tex.)
Date Filed:
ERIC C MALLEY
Current Age: 53 - 55
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ERIC C. MALLEY and MG CAPITAL MANAGEMENT LP, 1:21-cv-00237 (S.D.N.Y.)
Date Filed:
RICHARD MALLION
Current Age: 59 - 61
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RICHARD MALLION, SEC File No. 3-9152
Date Filed:
RICHARD ANDREW MALLION
Current Age: 59 - 61
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RICHARD ANDREW MALLION, 0:19-cv-62532 (S.D. Fla.)
Date Filed:
RICHARD ANDREW MALLION
Current Age: 59 - 61
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RICHARD ANDREW MALLION, SEC File No. 3-19587
Date Filed:
BRETT R MALLORY
Current Age: 63 - 65
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ANAMAR COMMUNICATIONS, INC. and BRETT R. MALLORY, 1:02-cv-10471 (D. Mass.)
Date Filed:
BRETT R MALLORY
Current Age: 64 - 66
Enforcement Action: In the Matter of BRETT R. MALLORY, SEC File No. 3-10902
Date Filed:
PETER A MALLOUK
Current Age: 54 - 56
State: Kansas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CREATIVE PLANNING, INC. AND PETER A. MALLOUK, SEC File No. 3-18779
Date Filed:
DWAYNE MALLOY
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PREMIER LINKS, INC., DWAYNE MALLOY, CHRIS DAMON, THEIRRY RUFFIN a/k/a THEIRRY REGAN, 1:14-cv-07375 (E.D.N.Y.)
Date Filed:
DWAYNE MALLOY
Current Age: 48 - 50
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DWAYNE MALLOY, SEC File No. 3-21978
Date Filed:
WILLIAM M MALLOY III
Current Age: 47 - 49
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of FORTRESS INVESTMENT MANAGEMENT, LLC and WILLIAM M. MALLOY, III, SEC File No. 3-19715
Date Filed:
DOV MALNIK
Current Age: 46 - 48
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. TOMER FEINGOLD and DOV MALNIK, 1:20-cv-01881 (S.D.N.Y.)
Date Filed:
DAVID K MALONE
Current Age: 71 - 73
State: Kansas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CENTRAL STATES CAPITAL MARKETS, LLC; MARK R. DETTER; DAVID K. MALONE; AND JOHN D. STEPP, SEC File No. 3-17170
Date Filed:
GERALD T MALONE
Current Age: 69 - 71
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GERALD T. MALONE, SEC File No. 3-11914
Date Filed:
JOSEPH M MALONE
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RENAISSANCE ASSET FUND, INC., RONALD J. NADEL, and JOSEPH M. MALONE, 8:06-cv-00661 (C.D. Cal.)
Date Filed:
JOSEPH M MALONE
Enforcement Action: In the Matter of JOSEPH M. MALONE, SEC File No. 3-12928
Date Filed:
TRISH MALONE
Current Age: 49 - 51
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JASON COPE, IZAK ZIRK DE MAISON (F/K/A IZAK ZIRK ENGELBRECHT), GREGORY GOLDSTEIN, STEPHEN WILSHINSKY, TALMAN HARRIS, WILLIAM SCHOLANDER, JACK TAGLIAFERRO, VICTOR ALFAYA, JUSTIN ESPOSITO, KONA JONES BARBERA, LOUIS MASTROMATTEO, ANGELIQUE DE MAISON, TRISH MALONE, KIERAN T. KUHN, PETER VOUTSAS, RONALD LOSHIN, GEPCO, LTD., SUNATCO LTD., SUPRAFIN LTD., WORLDBRIDGE PARTNERS, TRAVERSE INTERNATIONAL, and SMALL CAP RESOURCE CORP., 1:14-cv-07575 (S.D.N.Y.)
Date Filed:
THEODORE R MALONEY
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: U.S. SECURITIES AND EXCHANGE v. THEODORE R. MALONEY, 2:11-cv-00075 (D. Nev.)
Date Filed:
THEODORE R MALONEY
Current Age: 62 - 64
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of THEODORE R. MALONEY, Esq., SEC File No. 3-15948
Date Filed:
DENNIS J MALOUF
Current Age: 64 - 66
State: New Mexico (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DENNIS J. MALOUF, SEC File No. 3-15918
Date Filed:
LEWIS P MALOUF
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DANIEL DIRK CODDINGTON, MICHAEL B. COLUMBIA, JESSE W. ERWIN, JR., MERLYN CURT GEISLER, MARSHALL D. GUNN, JR., CPA, SETH A. LEYTON, LEWIS P. MALOUF, EXTREME CAPITAL LTD., FIDELITY ASSET SERVICES CORP., GEISCO FNF, LLC, GOLDEN SUMMIT INVESTORS GROUP LTD., SOUTHCOM MANAGEMENT LLC, and STONEROCK CAPITAL GROUP LLC, 1:13-cv-03363 (D. Colo.)
Date Filed:
VALERY MALTSEV
Current Age: 50 - 52
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: U.S. SECURITIES AND EXCHANGE COMMISSION v. BROCO INVESTMENTS, INC. and VALERY MALTSEV, 1:10-cv-02217 (S.D.N.Y.)
Date Filed:
IGOR MALYAR
Also Known As: GEORGE FALCONE, MICHAEL SAFIR
Current Age: 52 - 54
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. VIKTOR NOVOSSELOV (A/K/A DAVID MARKOWITZ), IGOR MALYAR (A/K/A GEORGE FALCONE AND MICHAEL SAFIR), BLUE SQUARE MANAGEMENT, INC., AND WESTWOOD HOLDINGS, INC., 3:05-cv-00951 (D. Conn.)
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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