SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
ROHINA SHARMA
Current Age: 54 - 56
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ARJUN SEKHRI, AMOLAK SEHGAL, PRATIMA RAJAN, FUAD DOW, GORDON W. COCHRANE, MARTIN L. THIFAULT, ROHINA SHARMA and SHARAD KAPOOR, 1:98-cv-02320 (S.D.N.Y.)
Date Filed:
SOHRAB SHARMA
Also Known As: SAM SHARMA
Current Age: 32 - 34
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SOHRAB (“SAM”) SHARMA, ROBERT FARKAS, and RAYMOND TRAPANI, 1:18-cv-02909 (S.D.N.Y.)
Date Filed:
MICHAEL R SHECHTMAN
Current Age: 50 - 52
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. TIBOR KLEIN AND MICHAEL R. SHECHTMAN, 9:13-cv-80954 (S.D. Fla.)
Date Filed:
MICHAEL R SHECHTMAN
Current Age: 49 - 51
Enforcement Action: In the Matter of Michael R. Shechtman, SEC File No. 3-15776
Date Filed:
DAVID G SHERMAN
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. VARI-L COMPANY, INC., DAVID G. SHERMAN, JON L. CLARK, and SARAH E. HUME, 1:01-cv-01903 (D. Colo.)
Date Filed:
JARROD A SHERMAN
Current Age: 49 - 51
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of STRATEGIC PLANNING GROUP, INC., DAVID A. ROURKE, and JARROD A. SHERMAN, SEC File No. 3-19498
Date Filed:
MARC SHERMAN
Current Age: 60 - 62
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MARC SHERMAN, SEC File No. 3-15992
Date Filed:
MARVIN SHERMAN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CNC TRADING COMPANY, INC., 3:96-cv-04620 (D.N.J.)
Date Filed:
MICHAEL D SHERMAN
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL D. SHERMAN and SCOTT P. SHERMAN, 0:00-cv-03045 (E.D.N.Y.)
Date Filed:
PAUL J SHERMAN
Enforcement Action: In the Matter of OAKWOOD COUNSELORS, INC. and PAUL J. SHERMAN, SEC File No. 3-9243
Date Filed:
ROGER SHERMAN
Current Age: Over 90
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JACK A. BROWN, JULES B. FLEDER, BERNARD WARE, ROGER SHERMAN, TYLER REAL ESTATE, LLC, MODEL PROPERTIES, INC., SMITH MOUNTAIN LAKE, LLC, COUNTRY LAKE ESTATES, INC., PRAIRIE LAKE ESTATES, L.P., and BIG PINE REAL ESTATE DEVELOPMENT, INC., 6:04-cv-00537 (E.D. Tex.)
Date Filed:
SCOTT P SHERMAN
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL D. SHERMAN and SCOTT P. SHERMAN, 0:00-cv-03045 (E.D.N.Y.)
Date Filed:
PAUL JAY SHIFFMAN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AMERICOMM PROPERTIES, INC. (a/k/a AMERICOMM COMMUNICATION PROPERTIES, INC. AND AMERICOMM, INC.); TEXAS COMMUNICATIONS, INC. (a/k/a TEXCOMM, INC.); JAMES REINHART COBURN; MORRIS WAYNE TERRY; GERALD SCHWARTZ STEIN; and PAUL JAY SHIFFMAN, 1:96-cv-01848 (D.D.C.)
Date Filed:
ELLIOTT L SHIFMAN
Current Age: 59 - 61
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHARIOT ADVISORS, LLC and ELLIOTT L. SHIFMAN, SEC File No. 3-15433
Date Filed:
ALAN SHINDERMAN
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. QUICKSILVER STOCK TRANSFER, LLC and ALAN SHINDERMAN, 2:18-cv-00131 (D. Nev.)
Date Filed:
ALAN SHINDERMAN
Current Age: 73 - 75
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ALAN SHINDERMAN, SEC File No. 3-19302
Date Filed:
ELAZAR SHMALO
Current Age: 29 - 31
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURIITES AND EXCHANGE COMMISSION v. JOSEPH TAUB, ELAZAR SHMALO, and SHAUN GREENWALD, 2:16-cv-09130 (D.N.J.)
Date Filed:
ARTHUR H SHOEMAKER
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ARTHUR H. SHOEMAKER, 1:99-cv-11568 (D. Mass.)
Date Filed:
DOUGLAS DAVID SHOEMAKER
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of TOTAL WEALTH MANAGEMENT, INC., JACOB KEITH COOPER, NATHAN MCNAMEE, AND DOUGLAS DAVID SHOEMAKER, SEC File No. 3-15842
Date Filed:
STANISLAV SHPIGELMAN
Current Age: 41 - 43
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SONJA ANTICEVIC, DAVID PAJCIN, EUGENE PLOTKIN, STANISLAV SHPIGELMAN, NICKOLAUS SHUSTER, JUAN C. RENTERIA, JR., HENRY SIEGEL, ELVIS SANTANA, MONIKA VUJOVIC, MIKHAIL PLOTKIN, PERICA LOPANDIC, BRUNO VERINAC, ZORAN SORMAZ, ILIJA BORAC, ANTUN DILBER, ANTO KRSIC, and JASON C. SMITH, 1:05-cv-06991 (S.D.N.Y.)
Date Filed:
STANISLAV SHPIGELMAN
Enforcement Action: In the Matter of STANISLAV SHPIGELMAN, SEC File No. 3-13074
Date Filed:
MANNY J SHULMAN
Current Age: 62 - 64
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. FRANK C. CALMES, LYNN D. ROWNTREE, MANNY J. SHULMAN, YOUNGER AMERICA, INC. (FORMERLY KNOWN AS INFINITY ACQUISITION CORP.), AND JAMES E. PRATT, ESQ., 9:09-cv-80524 (S.D. Fla.)
Date Filed:
MANNY J SHULMAN
Current Age: 63 - 65
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MANNY J. SHULMAN and DAVID K. HIRSCHMAN, 0:15-cv-61861 (S.D. Fla.)
Date Filed:
ROBERT F X SILLERMAN
Current Age: 76 - 78
State: New Hampshire (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROBERT F.X. SILLERMAN, 1:19-cv-06052 (S.D.N.Y.)
Date Filed:
ANTHONY SILVERMAN
Current Age: 81 - 83
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JEFFREY A. SILVERMAN and ANTHONY SILVERMAN, SEC File No. 3-17584
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.
For Search Tips and more about this tool, see About this Feature in Detail.
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.