SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
ERIK B WALSH
Also Known As: ERIK HUTTON MASTERS
Current Age: 55 - 57
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DISCOVERY CAPITAL GROUP, INC., ERIK WALSH and JOHN ABRESCH, 0:02-cv-60363 (S.D. Fla.)
Date Filed:
HONGJUN WANG
Also Known As: WANG HONGJUN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. CHINA NORTHEAST PETROLEUM HOLDINGS LIMITED; WANG HONGJUN (a/k/a Hongjun Wang); JU GUIZHI (a/k/a Guizhi Ju); and JIANG CHAO (a/k/a Chao Jiang), 1:12-cv-08696 (S.D.N.Y.)
Date Filed:
ULYSSES WARE
Also Known As: THOMAS WARE
Current Age: 63 - 65
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. INVESTMENT TECHNOLOGY, INC., THOMAS D. VIDMAR, ROSENFELD, GOLDMAN & WARE, INC., ULYSSES "THOMAS" WARE, SMALL CAP RESEARCH GROUP, INC., and CENTENNIAL ADVISORS, L.L.C., 2:03-cv-00831 (D. Nev.)
Date Filed:
ULYSSES WARE
Also Known As: THOMAS WARE
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Ulysses "Thomas" Ware, SEC File No. 3-11774
Date Filed:
E SHERMAN WARNER
Also Known As: SHERMAN WARNER
Current Age: 55 - 57
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. THOMPSON CONSULTING, INC., KYLE J. THOMPSON, E. SHERMAN WARNER and DAVID C. CONDIE, 2:08-cv-00171 (D. Utah)
Date Filed:
E SHERMAN WARNER
Also Known As: SHERMAN WARNER
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of E. SHERMAN WARNER, SEC File No. 3-14020
Date Filed:
ADAM C WASSERMAN
Current Age: 60 - 62
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ADAM C. WASSERMAN, 1:18-cv-23729 (S.D. Fla.)
Date Filed:
HAROLD WASSERMAN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ALEXANDER BEVIL; RICHARD MCCALL BOHNSACK; DANIEL THOMAS BROYLES; CHARLES CARY DAVIS; WILLIAM JAMES ROTH; GLENN JOSEPH STORY; and HAROLD WASSERMAN, 2:19-cv-00590 (D. Nev.)
Date Filed:
HAROLD WASSERMAN
Current Age: 70 - 72
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of HAROLD WASSERMAN, SEC File No. 3-19580
Date Filed:
KERRI L WASSERMAN
Current Age: 53 - 55
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AMERICAN GROWTH FUNDING II, LLC, PORTFOLIO ADVISORS ALLIANCE, INC., RALPH C. JOHNSON, HOWARD J. ALLEN III and KERRI L. WASSERMAN, 1:16-cv-00828 (S.D.N.Y.)
Date Filed:
KERRI L WASSERMAN
Current Age: 54 - 56
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of KERRI L. WASSERMAN, SEC File No. 3-19578
Date Filed:
MORREY WASSERMAN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL SNOWHITE, BLS CONSULTING, CHARLES BORATGIS, PAUL LAND, JEFFREY STERN, SHELLEY OLANDER, MORREY WASSERMAN, 900 FINANCIAL SERVICES, L.L.C., DAVID KANE, AND SAM SARCINELLI D/B/A/ S&S CONSULTING, 3:97-cv-02888 (N.D. Cal.)
Date Filed:
SAMUEL M WASSERMAN
Current Age: 87 - 89
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of TRAUTMAN WASSERMAN & COMPANY, INC., GREGORY O. TRAUTMAN, SAMUEL M. WASSERMAN, MARK BARBERA, JAMES A. WILSON, JR., JEROME SNYDER, AND FORDE H. PRIGOT, SEC File No. 3-12559
Date Filed:
KARL G WASSMANN III
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. KENDALL SQUARE RESEARCH CORPORATION, HENRY BURKHARDT III, PETER APPLETON JONES, AND KARL G. WASSMANN III, 1:96-cv-10869 (D. Mass.)
Date Filed:
KARL G WASSMANN III
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of KARL G. WASSMANN III, CPA, SEC File No. 3-9184
Date Filed:
WENDY C WAUGAMAN
Current Age: 63 - 65
State: Iowa (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AMERICAN EQUITY INVESTMENT LIFE HOLDING COMPANY; DAVID J. NOBLE; and WENDY C. WAUGAMAN, 4:10-cv-00087 (S.D. Iowa)
Date Filed:
LARRY WEBMAN
Current Age: 76 - 78
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. U.S. GAS & ELECTRIC, INC., LARRY WEBMAN, MELVIN WEBMAN, DONALD E. SECUNDA, and DOUGLAS W. MARCILLE, 1:06-cv-22440 (S.D. Fla.)
Date Filed:
LARRY WEBMAN
Enforcement Action: In the Matter of LARRY WEBMAN and MELVIN WEBMAN, SEC File No. 3-12494
Date Filed:
MELVIN WEBMAN
Current Age: 77 - 79
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. U.S. GAS & ELECTRIC, INC., LARRY WEBMAN, MELVIN WEBMAN, DONALD E. SECUNDA, and DOUGLAS W. MARCILLE, 1:06-cv-22440 (S.D. Fla.)
Date Filed:
MELVIN WEBMAN
Enforcement Action: In the Matter of LARRY WEBMAN and MELVIN WEBMAN, SEC File No. 3-12494
Date Filed:
GREGORY SCOTT WEISMAN
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GREGORY SCOTT WEISMAN, SEC File No. 3-18001
Date Filed:
ALAN WEISSMAN
Current Age: 56 - 58
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROBERT GILBERT, ALAN WEISSMAN and DANIEL FELTER, SEC File No. 3-9073
Date Filed:
JEFFREY WEISSMAN
Current Age: 60 - 62
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JEFFREY WEISSMAN and MARTIN WEISSMAN, SEC File No. 3-9072
Date Filed:
MARC L WEISSMAN
Current Age: 57 - 59
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SALVATORE PIAZZA, JAMES S. LABATE, WILLIAM F. PALLA, EMMANUEL GENNUSSO, CARY F. CIMINO, TODD M. NEJAIME, KEVIN P. RADIGAN, ROBERT GALLO, ROBERT J. DACUNTO, MICHAEL P. DACUNTO, JOSEPH P. MEDURI, VINCENT A. PADULO, JR., VITO G. PADULO, JOHN BRUZZESE, SALVATORE F. RUGGIERO, PATRICK GIGLIO, IRVING STITSKY, PAUL L. BURTON, MARC I. BURTON, KENNETH J. FUINA, MARC L. WEISSMAN, ANTHONY P. DINOTA, JR., FACUNDO PONCE, CHESTER L. CHICOSKY, LAWRENCE M. CHOINIERE, WILLIAM P. BURKE, MICHAEL CASO, JOHN CATALANO, JR., GEORGE BISNOFF, DAMIEN DOUGLAS, CRAIG P. MCGUINN, II, and MARK DANIELI, SEC File No. 3-10229
Date Filed:
MARTIN WEISSMAN
Current Age: 88 - 90
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JEFFREY WEISSMAN and MARTIN WEISSMAN, SEC File No. 3-9072
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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