SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
CHARLES J MARQUARDT
Current Age: 56 - 58
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CHARLES J. MARQUARDT, 1:10-cv-10073 (D. Mass.)
Date Filed:
CHARLES J MARQUARDT
Current Age: 56 - 58
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHARLES J. MARQUARDT, SEC File No. 3-13819
Date Filed:
JOHN MARQUES
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOHN MARQUES AND LIFELINE INNOVATIONS & INSURANCE SOLUTIONS LLC, 4:21-cv-09796 (N.D. Cal.)
Date Filed:
JAMES G MARQUEZ
Current Age: 75 - 77
State: Connecticut (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JAMES G. MARQUEZ, 1:08-cv-04773 (S.D.N.Y.)
Date Filed:
JAMES G MARQUEZ
Current Age: 75 - 77
State: Connecticut (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JAMES G. MARQUEZ, SEC File No. 3-13058
Date Filed:
DONALD L MARR
Also Known As: LLOYD WESTON, DONALD MASTERS
Current Age: 62 - 64
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RODNEY S. SHEHYN, a.k.a. Robert Schmidt, a.k.a. Zach Adams, a.k.a. Jack Bishop, a.k.a. Geoffrey Williams, a.k.a. Alex Gray, a.k.a. Jason Henley, RODNEY D. MARR, a.k.a. Robert Moran, a.k.a. Ronald Carlson, DONALD L. MARR, a.k.a. Lloyd Weston, a.k.a. Donald Masters, and KAREN S. LEIGH, a.k.a. Elizabeth Blaine, a.k.a. Victoria Young, 1:04-cv-02003 (S.D.N.Y.)
Date Filed:
DONALD L MARR
Current Age: 62 - 64
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Donald L. Marr, SEC File No. 3-13774
Date Filed:
RODNEY D MARR
Also Known As: ROBERT MORAN, RONALD CARLSON
Current Age: 74 - 76
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RODNEY S. SHEHYN, a.k.a. Robert Schmidt, a.k.a. Zach Adams, a.k.a. Jack Bishop, a.k.a. Geoffrey Williams, a.k.a. Alex Gray, a.k.a. Jason Henley, RODNEY D. MARR, a.k.a. Robert Moran, a.k.a. Ronald Carlson, DONALD L. MARR, a.k.a. Lloyd Weston, a.k.a. Donald Masters, and KAREN S. LEIGH, a.k.a. Elizabeth Blaine, a.k.a. Victoria Young, 1:04-cv-02003 (S.D.N.Y.)
Date Filed:
FRANKO J MARRETTI III
Current Age: 52 - 54
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOSEPH J. QUERI, JR., JOSEPH J. QUERI, SR., JAMES L. JEROME, BRANDT A. ENGLAND, KYLE D. KACZOWSKI, GINO FERRARO, FRANKO J. MARRETTI, FELIX CRISAFULLI, and THOMAS HELLER, 2:08-cv-01367 (W.D. Pa.)
Date Filed:
ANTHONY GHIRARDELLO MARRIOTT
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SOUTHWEST INCOME TRUST, ADVANTAGE INCOME TRUST, INVESTORS TRADING TRUST, ANTHONY GHIRARDELLO MARRIOIT, STEVEN ROBERT SHOOP, PALO VERDE 136, INC., CHARLES DOUGLASS BROWN, ADVANTAGE MARKETING GROUP, INC., DONN KENNETH PHILLIPS, and FLC CORPORATION, 2:97-cv-00953 (D. Ariz.)
Date Filed:
JACQUELINE BADGER MARS
Enforcement Action: In the Matter of JACQUELINE BADGER MARS, SEC File No. 3-9685
Date Filed:
JOHN MARSALA
Current Age: 61 - 63
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOHN MARSALA, SEC File No. 3-9747
Date Filed:
FRANK MARSELLA
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of THOMAS A. CAREY and FRANK MARSELLA, SEC File No. 3-10604
Date Filed:
GALEN J MARSH
Current Age: 40 - 42
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Galen J. Marsh, SEC File No. 3-17279
Date Filed:
JOSEPH MARSH
Current Age: 70 - 72
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOHN JOSLYN, JOSEPH MARSH, P. DAVID LUCAS, STEVEN SYBESMA, JON THOMPSON, 1:04-cv-01857 (D.D.C.)
Date Filed:
JOSEPH MARSH
Current Age: 70 - 72
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOHN JOSLYN, JOSEPH MARSH, P. DAVID LUCAS, STEVEN SYBESMA, STANLEY THOMAS, and JON THOMPSON, SEC File No. 3-11718
Date Filed:
KENNETH E MARSH
Also Known As: MARCUS THORN, MICHAEL WARREN, KENNETH MASEKA
Current Age: 57 - 59
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GRYPHON HOLDINGS, INC. d/b/a GRYPHON FINANCIAL and GRYPHON DAILY, KENNETH E. MARSH A/K/A "KENNETH MASEKA," "MICHAEL WARREN," and "MARCUS THORN," BALDWIN ANDERSON A/K/A "BOLTON ANDERSON," ROBERT ANTHONY BUDION A/K/A "BOBBY BUDION" and "ROBERT ANTHONY," JEANNE M. LADA A/K/A "JEANNE GRECCO" and JAMES T. LEVIER, 1:10-cv-01742 (E.D.N.Y.)
Date Filed:
KENNETH E MARSH
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of KENNETH E. MARSH, BALDWIN ANDERSON, ROBERT ANTHONY BUDION, JEANNE M. LADA, and JAMES T. LEVIER, SEC File No. 3-14653
Date Filed:
KENNETH L MARSH
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MARSH BLOCK & CO., INC., ALFRED G. BLOCK, KENNETH L. MARSH and JEFFREY M. MILLER, SEC File No. 3-9244
Date Filed:
KEVIN B MARSH
Current Age: 68 - 70
State: South Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SCANA CORPORATION, DOMINION ENERGY SOUTH CAROLINA, INC. (f/k/a SOUTH CAROLINA ELECTRIC & GAS COMPANY), KEVIN B. MARSH, and STEPHEN A. BYRNE, 3:20-cv-00882 (D.S.C.)
Date Filed:
KEVIN J MARSH
Current Age: 58 - 60
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon, and Kevin J. Marsh, SEC File No. 3-11793
Date Filed:
TERRY G MARSH
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: ECURITIES AND EXCHANGE COMMISSION v. SCORPION TECHNOLOGIES, INC., TERRY G. MARSH, RICHARD BAUER, ERIC C. BROWN, DUDLEY MIHRAN FREELAND, J. GORDON NEVERS, AND ALBERT TERRANOVA, 1:96-cv-01005 (S.D.N.Y.)
Date Filed:
BRIAN M MARSHALL
Current Age: 60 - 62
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. HOME SOLUTIONS OF AMERICA, INC., FRANK J. FRADELLA, BRIAN M. MARSHALL, JEFFERY M. MATTICH, RICK J. O'BRIEN, STEPHEN C. GINGRICH, THOMAS L. DAVIS, AND JEFFREY T. CRAFT, 3:09-cv-02269 (N.D. Tex.)
Date Filed:
CLAYTON T MARSHALL
Current Age: 47 - 49
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CLAYTON T. MARSHALL, SEC File No. 3-15783
Date Filed:
GRAHAM MARSHALL
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BRUCE HILL, GRAHAM MARSHALL, and STEVEN PAXHIA, 1:02-cv-11244 (D. Mass.)
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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