An official website of the United States government
Here’s how you know
Official websites use .gov
A .gov website belongs to an official government organization in the United States.
Secure .gov websites use HTTPS
A lock
()
or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PHILLIP HERMAN, MARC WEIN, MILLENNIUM SERVICES CORP., and BRANIN INVESTMENTS, INC., 1:00-cv-05575 (S.D.N.Y.)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SOLUCORP INDUSTRIES LTD., JOSEPH S. KEMPROWSKI, PETER R. MANTIA, JAMES G. SPARTZ, ROBERT KUHN, VICTOR HERMAN, ARLE PIERRO, W. BRYAN FAIR and GLENN R. OHLHAUSER, 7:99-cv-11965 (S.D.N.Y.)
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MAGDALENA TAVELLA, ANDRES HORACIO FICICCHlA, GONZALO GARCIA BLAYA, LUCIA MARlANA HERNANDO, CECILIA DE LORENZO, ADRIANA ROSA BAGATTIN, DANIELA PATRICIA GOLDMAN, MARIANO PABLO FERRARI, MARIANO GRACIARENA, and FERNANDO LOUREYRO, 1:13-cv-04609 (S.D.N.Y.)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PANWORLD MINERALS INTERNATIONAL, INC., ROBERT G. WEEKS, KENNETH L. WEEKS, DAVID A. HESTERMAN, LARRY KRASNY, L.K. MANAGEMENT, INC., JOSEPH FABIILLI, PURITAN COMMUNICATIONS, INC., JEROME WENGER, AND RANDALL GILBERT, 2:97-cv-00425 (D. Utah)
Enforcement Action: In the Matter of JETHRO J. BARLOW, CPA, ALAN K. BURTON, J. EDWARDS COX, ROBERT G. WEEKS, DAVID A. HESTERMAN, and KENNETH L. WEEKS, SEC File No. 3-9952
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: Securities and Exchange Commission v. Aragon Capital Management LLC, Aragon Partners LP, Zvi Rosenthal, Amir Rosenthal, Ayal Rosenthal, Oren Rosenthal, David Heyman, Heyman & Son Investment Partnership LP, Young Kim, and Bahram Delshad, 1:07-cv-00919 (S.D.N.Y.)
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.
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.
