SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
STEVEN MASTROSIMONE
Current Age: 45 - 47
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. EWEALTH SECURITIES, INC., EWEALTH HOLDINGS, INC., NEIL FORMISANO, DONALD CUNNINGHAM, JONATHAN ARONICA, and STEVEN MASTROSIMONE, 1:02-cv-08626 (S.D.N.Y.)
Date Filed:
STEVEN MASTROSIMONE
Current Age: 45 - 47
Enforcement Action: In the Matter of STEVEN MASTROSIMONE, SEC File No. 3-12108
Date Filed:
SAMUEL R MASUCCI
Current Age: 62 - 64
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of EXCHANGE TRADED MANAGERS GROUP LLC, ETF MANAGERS GROUP LLC, and SAMUEL R. MASUCCI, SEC File No. 3-21542
Date Filed:
WILLIAM MASUCCI
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of WILLIAM MASUCCI, SEC File No. 3-9816
Date Filed:
WILLIAM MASUCCI
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of H. J. MEYERS & CO., INC., ROBERT SETTEDUCATI, WILLIAM MASUCCI, MICHAEL VANECHANOS, and JAMES ALAN VILLA, SEC File No. 3-10140
Date Filed:
HARRY MASUDA
Current Age: 79 - 81
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. INTRACOM CORPORATION, HYPERBARIC SYSTEMS, INC., SURGICA CORPORATION, ALFRED BRAUNBERGER, HARRY MASUDA, LOUIS MATSON, LARRY BRYANT, COMCO, INC. and PAUL MAROTTA, 2:02-cv-04367 (E.D.N.Y.)
Date Filed:
DAVID B MATA
Current Age: 44 - 46
State: Washington (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DAVID B. MATA, SEC File No. 3-21229
Date Filed:
PAUL MATA
Also Known As: PAUL RICKY MATA
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PAUL MATA, DAVID KAYATTA, MARIO PINCHEIRA, SECURED CAPITAL INVESTMENTS, LLC, LOGOS REAL ESTATE HOLDINGS, LLC, LOGOS WEALTH ADVISORS INC., LIFETIME ENTERPRISES, LLC (dba LOGOS LIFETIME UNIVERSITY), 5:15-cv-01792 (C.D. Cal.)
Date Filed:
PAUL MATA
Also Known As: PAUL RICKY MATA
Current Age: 60 - 62
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PAUL MATA, SEC File No. 3-17523
Date Filed:
JAMES M MATERNA
Current Age: 79 - 81
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: Securities and Exchange Commission v. James M. Materna, John R. Holtzhauser, and Paul R. Venesky, 1:07-cv-01274 (D.D.C.)
Date Filed:
JAMES M MATERNA
Current Age: 79 - 81
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JAMES M. MATERNA (CPA), SEC File No. 3-12819
Date Filed:
ERICK LASZLO MATHE
Current Age: 52 - 54
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ERICK LASZLO MATHE and ASHIF JIWA, 1:14-cv-23573 (S.D. Fla.)
Date Filed:
ERICK LASZLO MATHE
Current Age: 54 - 56
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Erick Laszlo Mathe, SEC File No. 3-16553
Date Filed:
JOSEPH A MATHES
Current Age: 63 - 65
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Joseph A. Mathes, SEC File No. 3-10038
Date Filed:
DENNIS R MATHEWS JR
Current Age: 49 - 51
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DENNIS R. MATHEWS, JR., SEC File No. 3-11959
Date Filed:
RAYMOND L MATHIASEN
State: California (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 (C.D. Cal.)
Date Filed:
RAYMOND L MATHIASEN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RAYMOND L. MATHIASEN, CPA, SEC File No. 3-12655
Date Filed:
BARRON A MATHIS
State: Tennessee (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. J.C. REED & COMPANY, INC., J.C. REED ADVISORY GROUP, LLC, BARRON A. MATHIS, and ESTATE OF JOHN C. REED, LANA L. REED, Executor, 3:08-cv-01112 (M.D. Tenn.)
Date Filed:
BARRON A MATHIS
Current Age: 42 - 44
State: Tennessee (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Barron A. Mathis, SEC File No. 3-13812
Date Filed:
AMIT MATHUR
Current Age: 53 - 55
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AMIT MATHUR, RAJEEV JOHAR, and ENTRUST CAPITAL MANAGEMENT, INC., 1:05-cv-10729 (D. Mass.)
Date Filed:
AMIT MATHUR
Current Age: 53 - 55
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of AMIT MATHUR, SEC File No. 3-13053
Date Filed:
ROLAND M MATHYS
Current Age: 36 - 38
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROLAND M. MATHYS, 1:18-cv-00701 (S.D.N.Y.)
Date Filed:
ROBERT MATIAS
Also Known As: ROBERT DUVALL, FRANK W JOSE MD
Current Age: 61 - 63
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. INTERNET CASINO SPORTS GAMING, LLC, INTERNET CASINO SPORTS GAMING, INC., ROBERT MATIAS a/k/a ROBERT DUVALL and ALAN LENCHNER a/k/a ALAN LANE, 2:98-cv-06467 (C.D. Cal.)
Date Filed:
ANTHONY M MATIC
Current Age: 54 - 56
State: Oregon (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROBERT D. CHRISTENSEN; ANTHONY M. MATIC; FORESEE, INC.; THE COMMISSION PDX, LLC; THE POLICY PDX, LLC; INNINGS 150, LLC, 3:23-cv-00959 (D. Or.)
Date Filed:
GEORGE MATIN
Current Age: 65 - 67
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GEORGE MATIN, SEC File No. 3-19521
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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