See also case number 8:98-cv-00866 (C.D. Cal.).
SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
ROCHELLE ROMAN
Current Age: 56 - 58
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOSEPH SIMONE; ISLAND CAPITAL MANAGEMENT, INC.; JOSEPH LANDO; JOSEPH CARACCIOLO; ALFRED VARRICCHIO; ANTHONY PIANELLI; JILL PIANELLI; JAP JAP ENTERPRISES, LLC; PATRICK VERDI; G.P. INSTITUTIONAL SERVICES, INC.; BRIAN FABRIZZI; DONALD SORRENTINO; ANTHONY CARANNANTE, individually and d/b/a A&C MANAGEMENT; STEVEN DARONZIO, individually and d/b/a A&C MANAGEMENT; ROCHELLE ROMAN; SHAUN SARNICOLA; ANTHONY TANICO; ANDREA LANDO-TANICO; AJT LTD.; AJGT LTD.; MICHAEL McCORMACK, DONNA CENTOLA; DMAC SERVICES, INC.; ANDREW CACCIOPPOLI; THOMAS MACLI; DONNA MACLI; LUMAC CORP.; GARY MANFRE; RICHARD MANFRE; and RAM SOLUTIONS, INC., 1:07-cv-03928 (E.D.N.Y.)
Date Filed:
ROCHELLE ROMAN
Current Age: 55 - 57
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROCHELLE ROMAN, SEC File No. 3-12998
Date Filed:
CHRISTIAN ROMANDETTI
Current Age: 63 - 65
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARK BURNETT, JEFFREY MILLER, CHRISTIAN ROMANDETTI, FRANK SARRO, ANTHONY VASSALLO, ELITE STOCK RESEARCH, INC., 2:18-cv-06501 (E.D.N.Y.)
Date Filed:
HANS P ROMANESKO
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. EURO SECURITY FUND, MARIO MERELLO, FABRIZIO PESSINA, COIM SA, FRANCESCO MAROTTA, PICTET & CIE-GENEVA, GIOVANNI PIACITELLI, PIERRE BOTTINELLI, RON SLEEGERS, INTERNATIONAL STRUCTURES CONSULTING B.V., URS HELLER, MRS. URS HELLER, MEINDERT PANAGIOTIS HAKKERT, FRANCK HAKKERT, H.J.M. DE BOER, C.J. BROEKEMA, E.H. VAN GEENEN, HENDRIK MARINUS BOUWMEESTER, HANS P. ROMANESKO, MRS. A. VERKAIK, AND ONE OR MORE UNKNOWN PURCHASERS OF COMMON STOCK OF ELSAG BAILEY PROCESS AUTOMATION, 2:98-cv-07347 (S.D.N.Y.)
Date Filed:
DINO A ROMANO
Current Age: 55 - 57
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. UNISTAR FINANCIAL SERVICE CORP., MARC A. SPARKS, F. JEFFREY NELSON, PHILLIP H. CLAYTON, DINO A. ROMANO, CYNTHIA JACKSON, INTERMARK INVESTMENTS, INC., TURNER HOLDINGS, INC., and NICOLE CLAYTON CAVER, 3:03-cv-01763 (N.D. Tex.)
Date Filed:
JAMES JOHN ROMANO
Enforcement Action: In the Matter of GARY STEVEN WILLIKY and JAMES JOHN ROMANO, SEC File No. 3-8975
Date Filed:
JOHN ROMANO
Current Age: 62 - 64
Enforcement Action: In the Matter of JOHN ROMANO, SEC File No. 3-10463
Date Filed:
MARSHALL NEIL CRAIG RONALD
Also Known As: MARSHALL NEIL CRAIG RONALD
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARSHALL NEIL CRAIG RONALD, RUDOLF ALEXANDER VICTOR LINSCHOTEN a/k/a RUDOLF VAN LIN or DR. RUDOLF VAN LIN and FRIEDA G. FREITAS, 2:98-cv-07502 (C.D. Cal.)
Date Filed:
Other Information:
DANE R ROSEMAN
Also Known As: DAYNE R. ROSEMAN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. IVAN ACEVEDO and DANE R. ROSEMAN a/k/a DAYNE R. ROSEMAN, 1:19-cv-21380 (S.D. Fla.)
Date Filed:
DANE R ROSEMAN
Current Age: 41 - 43
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DANE R. ROSEMAN, SEC File No. 3-20608
Date Filed:
DAVID SCOTT ROSSMAN
Current Age: 65 - 67
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ATLANTIC CAPITAL CORPORATION, WALL STREET MARKETING, INC., PULLMAN PUBLICATIONS, INC., STEPHEN DECESARE, MARK MISSLER, PATRICK KEPHART, HOWARD JENKINS, SCOTT MIJARES, ROBERT THOMAS BEATTY, VINCENT ST. CLAIR BEATTY, MICHAEL CARDASCIA, DAVID SCOTT ROSSMAN, ADRIAN WILSON, TIMOTHY B. DALEY, AND DAVID M. CONNOCHIE, 6:96-cv-01043 (M.D. Fla.)
Date Filed:
DAVID SCOTT ROSSMAN
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DAVID SCOTT ROSSMAN, SEC File No. 3-9381
Date Filed:
DAVID L ROTHMAN
Current Age: 60 - 62
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DAVID L. ROTHMAN, 2:12-cv-05412 (E.D. Pa.)
Date Filed:
DAVID L ROTHMAN
Current Age: 60 - 62
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DAVID L. ROTHMAN, SEC File No. 3-15752
Date Filed:
DAVID S ROTHMAN
Current Age: 64 - 66
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:
MATTHEW ADAM ROTHMAN
Current Age: 57 - 59
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MATTHEW ADAM ROTHMAN, SEC File No. 3-15050
Date Filed:
THEODORE ROTHMAN
Current Age: 86 - 88
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROTHMAN SECURITIES, INC. and THEODORE ROTHMAN, SEC File No. 3-16180
Date Filed:
BRADLEY L RUDERMAN
Current Age: 61 - 63
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BRADLEY L. RUDERMAN, RUDERMAN CAPITAL MANAGEMENT, LLC, RUDERMAN CAPITAL PARTNERS, LLC and RUDERMAN CAPITAL PARTNERS A, LLC, 2:09-cv-02974 (C.D. Cal.)
Date Filed:
BRADLEY L RUDERMAN
Current Age: 61 - 63
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of BRADLEY L. RUDERMAN, SEC File No. 3-13563
Date Filed:
CARL RUDERMAN
Current Age: 83 - 85
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. 1 GLOBAL CAPITAL LLC, and CARL RUDERMAN, 0:18-cv-61991 (S.D. Fla.)
Date Filed:
CARL RUDERMAN
Current Age: 83 - 85
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Carl Ruderman, SEC File No. 3-19359
Date Filed:
PAULA SACCOMANNO
Current Age: 66 - 68
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PAULA SACCOMANNO, SEC File No. 3-18628
Date Filed:
PAULA MARIE SACCOMANNO
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PAULA MARIE SACCOMANNO and DENNIS SWERDLEN, 9:19-cv-80479 (S.D. Fla.)
Date Filed:
ROMAN SAKHAROVICH
Also Known As: ROMAN SAKH
Current Age: 46 - 48
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ARON O. BRONSTEIN, TOMER M. YUZARY, ROMAN SAKHAROVICH a/k/a ROMAN SAKH, IOSIF PAK a/k/a JOSEPH PAK and J.P. GIBBONS & CO., INC. f/k/a THE GOLDEN, LENDER FINANCIAL GROUP, INC., 1:00-cv-01179 (S.D.N.Y.)
Date Filed:
ROMAN SAKHAROVICH
Also Known As: ROMAN SAKH
Enforcement Action: In the Matter of IOSIF PAK, a/k/a JOSEPH PAK, and ROMAN SAKHAROVICH, a/k/a ROMAN SAKH, SEC File No. 3-11104
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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