SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
JAMES E PUTMAN
Current Age: 72 - 74
State: Wisconsin (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JAMES E. PUTMAN, SEC File No. 3-14889
Date Filed:
SHMMUEL EMMANUEL ABIJAH QUIJANO
Also Known As: SHMMUEL EMMANUEL ABIJAH QUIJANO, HRH PRINCE SHMMUEL ABIJAH, SERGIO ARCINEAGAS
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DANIEL T. TODT, REBECCA L. TODT, BAY STATE TRUST, INGE MARILYN PERRY, SHMMUEL EMMANUEL ABIJAH QUIJANO a/k/a HRH PRINCE SHMMUEL ABIJAH a/k/a SERGIO ARCINEAGAS, NEAL HARRIS, ABE INVESTMENTS GROUP, INC., JORGE BRYSON and H. WAYNE LEGGETT, 1:98-cv-03980 (S.D.N.Y.)
Date Filed:
FEDERICO QUINTO JR
Also Known As: Jun Quinto
Current Age: 69 - 71
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of FEDERICO QUINTO, JR., CPA, SEC File No. 3-15001
Date Filed:
SHAMOON OMER RAFIQ
Also Known As: SHAMOON RAFIQ, OMER RAFIQ, OMAR RAFIQ
Current Age: 50 - 52
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SHAMOON OMER RAFIQ, a/k/a SHAMOON RAFIQ, OMER RAFIQ, and OMAR RAFIQ, 1:21-cv-02168 (S.D.N.Y.)
Date Filed:
MONIE RAHMAN
Current Age: 53 - 55
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. SHANE BASHIR SUMAN and MONIE RAHMAN, 1:07-cv-06625 (S.D.N.Y.)
Date Filed:
MUSHFIQUR RAHMAN
Current Age: 23 - 25
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SYED ARHAM ARBAB, TOMAS JAVIER JIMENEZ, BLAKE DOUGLAS MCKINNEY, MUSHFIQUR RAHMAN, JOHN RYAN SHOWS, and WILLIAM CARL SPAGNOLI, 1:22-cv-04321 (N.D. Ga.)
Date Filed:
MYRON RAISMAN
Current Age: 89 - 91
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ARI PARNES, ADAR EQUITIES, LLC, SHAUEL SEITLER, JACOB HERMAN, YEZHAK DOV KNOLL, and MYRON RAISMAN, 1:01-cv-00763 (S.D.N.Y.)
Date Filed:
YASSER RAMAHI
Current Age: 63 - 65
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of STEPHEN TIMMS and YASSER RAMAHI, SEC File No. 3-16281
Date Filed:
NARESH RAMAIYA
Current Age: 44 - 46
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. NATHANIEL BROWN, BENJAMIN WYLAM, NAVEEN SOOD, MARCUS BANNON, MATTHEW RAUCH, and NARESH RAMAIYA, 5:21-cv-04594 (N.D. Cal.)
Date Filed:
CHOCKALINGAM RAMANATHAN
Current Age: 50 - 52
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JAISANKAR MARIMUTHU, CHOCKALINGAM RAMANATHAN, and THIRUGNANAM RAMANATHAN, 8:07-cv-00094 (D. Neb.)
Date Filed:
THIRUGNANAM RAMANATHAN
Current Age: 51 - 53
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JAISANKAR MARIMUTHU, CHOCKALINGAM RAMANATHAN, and THIRUGNANAM RAMANATHAN, 8:07-cv-00094 (D. Neb.)
Date Filed:
SAMEER RAMANI
Current Age: 35 - 37
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ISHAN WAHI, NIKHIL WAHI, AND SAMEER RAMANI, 2:22-cv-01009 (W.D. Wash.)
Date Filed:
ROBERT S RANZMAN
Current Age: 68 - 70
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CERTAIN MARKET MAKING ACTIVITIES ON NASDAQ, SEC File No. 3-9803
Date Filed:
DALE REDMAN
Current Age: 63 - 65
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ProPetro Holding Corp. and Dale Redman, SEC File No. 3-20661
Date Filed:
SCOTT REIMAN
Current Age: 59 - 61
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SCOTT REIMAN, SEC File No. 3-15277
Date Filed:
WALTER REISSMAN
Current Age: 66 - 68
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. EDWARD DURANTE, ABIDA KHAN, LARRY WERBEL, CHRISTOPHER CERVINO, WALTER REISSMAN, KENNETH WISE and EVOLUTION PARTNERS WEALTH MANAGEMENT LLC, 1:15-cv-09874 (S.D.N.Y.)
Date Filed:
GREGORY REYFTMANN
Current Age: 50 - 52
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MAREK LESZCZYNSKI, BENJAMIN CHOUCHANE, GREGORY REYFTMANN, and HENRY A. CONDRON, 1:12-cv-07488 (S.D.N.Y.)
Date Filed:
GREGORY REYFTMANN
Current Age: 50 - 52
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GREGORY REYFTMANN, SEC File No. 3-17959
Date Filed:
HOWARD RICHMAN
Current Age: 72 - 74
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BIOPURE CORPORATION, THOMAS MOORE, HOWARD RICHMAN, and JANE KOBER, 1:05-cv-11853 (D. Mass.)
Date Filed:
JEFFREY S RICHMAN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JEFFREY S. RICHMAN and STEPHEN P. ERLICH, 1:99-cv-02620 (S.D. Fla.)
Date Filed:
JEFFREY S RICHMAN
Enforcement Action: In the Matter of JEFFREY S. RICHMAN, SEC File No. 3-10075
Date Filed:
MICHAEL RISMAN
Also Known As: GRAHAM BAKER
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ALAN BENLOLO AKA ALLEN BENDER AKA HAIME ESCALANTE AKA STUART JEFFRIES, MICHAEL RISMAN AKA GRAHAM BAKER, LENNY NACHER AKA ALEXANDER HAMILTON AKA STUART JEFFRIES, AND STEPHEN DALE AKA DANE TEMPLETON, 1:99-cv-00341 (S.D.N.Y.)
Date Filed:
BARRETT R ROCHMAN
Current Age: 80 - 82
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of BARRETT R. ROCHMAN, SEC File No. 3-9829
Date Filed:
JOHN R RODEMAN
Current Age: 74 - 76
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOHN R. RODEMAN, and FRANK J. GREULICH, SEC File No. 3-9871
Date Filed:
JUAN ROMAN
Current Age: 45 - 47
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JUAN ROMAN, 1:23-cv-11470 (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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