SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
JOHN R CHAPMAN
Current Age: 82 - 84
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ALLEN Z. WOLFSON, MERVYN A. PHELAN, SR., DAVID WOLFSON, KEVIN KIRKPATRICK, ROBERT H. POZNER, JOHN R. CHAPMAN, MERVYN A. PHELAN, JR., CRAIG H. BROWN, JOHN W. CRUICKSHANK, JR., BONNIEJEAN C. TIPPETTS, FENG SHUI CONSULTANTS, INC. formerly WORLD ALLIANCE CONSULTING, INC., A-Z PROFESSIONAL CONSULTANTS RETIREMENT TRUST, INC., AZW IRREVOCABLE TRUST, SALOMON GREY FINANCIAL CORPORATION, ANGELO PAUL KOUPAS, KYLE ROWE, and CHRISTOPHER ROUNDTREE, 2:02-cv-01086 (D. Utah)
Date Filed:
NATHAN A CHAPMAN JR
Current Age: 66 - 68
State: Maryland (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. NATHAN A. CHAPMAN, JR., ECHAPMAN, INC., THE CHAPMAN COMPANY, CHAPMAN CAPITAL MANAGEMENT, INC., EARL U. BRAVO, SR., DEMETRIS B. BROWN and DANIEL BALDWIN, JR., 1:03-cv-01877 (D. Md.)
Date Filed:
NATHAN A CHAPMAN JR
Current Age: 66 - 68
State: Maryland (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of NATHAN A. CHAPMAN, JR., SEC File No. 3-11999
Date Filed:
ROBERT J CHAPMAN
Current Age: 89 - 91
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BRIAN N. LINES; SCOTT G. S. LINES; LOM (HOLDINGS) LTD.; LINES OVERSEAS MANAGEMENT LTD.; LOM CAPITAL LTD.; LOM SECURITIES (BERMUDA) LTD.; LOM SECURITIES (CAYMAN) LTD.; LOM SECURITIES (BAHAMAS) LTD.; ANTHONY W. WILE; WAYNE E. WILE; ROBERT J. CHAPMAN; WILLIAM TODD PEEVER; PHILLIP JAMES CURTIS; AND RYAN G. LEEDS, 1:07-cv-11387 (S.D.N.Y.)
Date Filed:
WILLIAM DEAN CHAPMAN JR
Current Age: 55 - 57
State: Virginia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. WILLIAM DEAN CHAPMAN, JR., ALEXANDER CAPITAL MARKETS, LLC, and ALEXANDER FINANCIAL, LLC, 2:13-cv-05648 (E.D. Pa.)
Date Filed:
MARGARET CHASSMAN
Current Age: 70 - 72
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DAVID BLECH and MARGARET CHASSMAN, 1:12-cv-03703 (S.D.N.Y.)
Date Filed:
THOMAS CHOW
Also Known As: MAN KIT CHOW
Current Age: 62 - 64
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: U.S. SECURITIES AND EXCHANGE COMMISSION v. JAMES LI (A/K/A CHING HUA LI), THOMAS CHOW (A/K/A MAN KIT CHOW), ROGER KAO (A/K/A CHAO CHUN KAO), CHRISTOPHER LIU (A/K/A CHI LEI LIU), WAYNE A. PRATT, 2:11-cv-01712 (D. Ariz.)
Date Filed:
SCOTT A CIAPPETTA
Also Known As: STEVEN STILES, STEVEN MARKOWITZ
Current Age: 56 - 58
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SCOTT A. CIAPPETTA (A/K/A STEVEN STILES AND STEVEN MARKOWITZ), SEC File No. 3-13166
Date Filed:
TOMAS ALBERTO CLARKE BETHANCOURT
Also Known As: TOMAS ALBERTO CLARKE BETHANCOURT, TOMAS CLARKE
Current Age: 55 - 57
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. TOMAS ALBERTO CLARKE BETHANCOURT, JOSE ALEJANDRO HURTADO, HAYDEE LETICIA PABON, IURI RODOLFO BETHANCOURT, ERNESTO LUJAN, BENITO CHINEA and JOSEPH FLORES DEMENESES JR., 1:13-cv-03074 (S.D.N.Y.)
Date Filed:
TOMAS ALBERTO CLARKE BETHANCOURT
Also Known As: TOMAS ALBERTO CLARKE BETHANCOURT
Current Age: 53 - 55
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of TOMAS ALBERTO CLARKE BETHANCOURT, SEC File No. 3-17230
Date Filed:
TIMOTHY J CLYMAN
Current Age: 69 - 71
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SEAFORTH MERIDIAN, LTD., SEAFORTH MERIDIAN ADVISORS, LLC, SEAFORTH MERIDIAN MANAGEMENT, LLC, ALAIN A. ASSEMI, TIMOTHY J. CLYMAN, JOHN D. FRIEDRICH, and SCOTT F. KLION, a/k/a JAMES S. TUCKER and DAVID TANNER, 5:06-cv-04107 (D. Kan.)
Date Filed:
TIMOTHY J CLYMAN
Enforcement Action: In the Matter of TIMOTHY J. CLYMAN, SEC File No. 3-14713
Date Filed:
DAVID S COLEMAN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GLOBAL FINANCIAL TRADERS, LTD., et al., 1:97-cv-01753 (S.D.N.Y.)
Date Filed:
DAVID S COLEMAN
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DAVID S. COLEMAN, SEC File No. 3-10374
Date Filed:
J JONATHAN COLEMAN
Also Known As: JONATHAN COLEMAN
Current Age: 55 - 57
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ISAAC I. OVID, AARON RIDDLE, J. JONATHAN COLEMAN, STEPHEN CINA, CORY A. MARTIN, TIMOTHY SMITH, ROBERT J. RIDDLE, JADIS CAPITAL, INC., JADIS INVESTMENTS, LLC, and LOGOS MULTI-STRATEGY HEDGE FUND I, LP, 2:09-cv-01521 (E.D.N.Y.)
Date Filed:
J JONATHAN COLEMAN
Also Known As: JONATHAN COLEMAN
Current Age: 55 - 57
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of J. JONATHAN COLEMAN, SEC File No. 3-14303
Date Filed:
JEFFREY J COLEMAN
Current Age: 45 - 47
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: Securities and Exchange Commission v. The Hockey Barn LLC and Jeffrey J. Coleman, 1:07-cv-00438 (W.D.N.Y.)
Date Filed:
JOSHUA W COLEMAN
Current Age: 38 - 40
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOSHUA W. COLEMAN, SEC File No. 3-21494
Date Filed:
MARK G COLEMAN
Current Age: 68 - 70
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Joseph L. Norris and Mark G. Coleman, SEC File No. 3-11467
Date Filed:
MARK GRAY COLEMAN
Current Age: 68 - 70
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOSEPH LLOYD NORRIS, MARK GRAY COLEMAN, MAGELLAN COMMUNICATIONS GROUP, LLC, and NORTHERN LIGHTS FINANCIAL, LLC, 3:02-cv-00112 (D. Nev.)
Date Filed:
MONICA LYNN COLEMAN
State: Maryland (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MONICA LYNN COLEMAN, SEC File No. 3-10875
Date Filed:
ROGER G COLEMAN SR
Current Age: 88 - 90
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. HAROLD BAILEY "B.J." GALLISON, II (A.K.A. BART WILLIAMS), MONEYLINE BROKERS, BASTILLE ADVISORS, INC., CLUB CONSULTANTS, INC., JUROJIN, INC., SANDIAS AZUCARADAS CR, S.A., VANILLA SKY, S.A., ROGER G. COLEMAN, SR., ANN "ANNA" M. HISKEY, ROBIN M. RUSHING, DAVID K. RUSHING, MICHAEL J. RANDLES, WARRIOR GIRL CORP., CARL H. KRUSE, SR., CARL H. KRUSE, JR. (A.K.A. CARL KRUSE-VELASQUEZ), ALLAN M. MIGDALL, NATURE'S PEAK F.K.A. EVEROCK, INC., FRANK J. ZANGARA, MARK S. DRESNER, CHARLES "CHUCK" S. MOELLER, ROBERT S. OPPENHEIMER, ANTONIO ("TONY" OR "ANTHONY") J. KATZ, RICHARD S. ROON, FRY CANYON CORPORATION, L.F. TECHNOLOGY GROUP LLC, STARBURST INNOVATIONS LLC, TACHION PROJECTS, INC., B.H.I. GROUP, INC., U D F CONSULTING INC., DIGITAL EDGE MARKETING LLC, CORE BUSINESS ONE, INC., SPECTRUM RESEARCH GROUP INC., OCEANIC CONSULTING LLC, and AKAT GLOBAL LLC, 1:15-cv-05456 (S.D.N.Y.)
Date Filed:
ROGER G COLEMAN SR.
Current Age: 88 - 90
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROGER G. COLEMAN, SR., SEC File No. 3-17557
Date Filed:
STEPHEN M COLEMAN
Current Age: 68 - 70
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of STEPHEN M. COLEMAN, SEC File No. 3-16707
Date Filed:
ROBERT S COLMAN
Current Age: 82 - 84
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Robert S. Colman, SEC File No. 3-11613
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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