SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
MICHAEL WEISSMAN
Current Age: 67 - 69
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ALEX MOORE & CO., INC., LIVETRADE.COM, INC., and MICHAEL WEISSMAN, SEC File No. 3-10326
Date Filed:
STEVEN WEISSMAN
Current Age: 57 - 59
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOSEPH SUTTON, ISAAC SUTTON, MICHAEL GOLDBERG, STEVEN WEISSMAN, and MITCHELL GOLDBERG, 1:99-cv-03889 (S.D.N.Y.)
Date Filed:
MATTHEW D WEITZMAN
Current Age: 58 - 60
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MATTHEW D. WEITZMAN, 1:09-cv-05353 (S.D.N.Y.)
Date Filed:
MATTHEW D WEITZMAN
Current Age: 58 - 60
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MATTHEW D. WEITZMAN, SEC File No. 3-13585
Date Filed:
LARRY H WELTMAN
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of LARRY H. WELTMAN, SEC File No. 3-10341
Date Filed:
STEVEN IRA WERTMAN
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of STEVEN IRA WERTMAN, ROBERT BRUCE ORKIN, EDWARD CHARLES WILLIAM DONNER, III and EARL SETH DAVID, SEC File No. 3-9334
Date Filed:
CHARLES E WESSMAN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHARLES E. WESSMAN, SEC File No. 3-9861
Date Filed:
RICHARD J WESTELMAN
Current Age: 65 - 67
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: Securities and Exchange Commission v. Steven Forman, Arthur Haberman, Richard J. Westelman, 1:07-cv-11151 (D. Mass.)
Date Filed:
CHRISTOPHER D WHETMAN
Current Age: 56 - 58
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHRISTOPHER D. WHETMAN, CPA, SEC File No. 3-16821
Date Filed:
DOUGLAS F WHITMAN
Current Age: 66 - 68
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DOUGLAS F. WHITMAN, and WHITMAN CAPITAL LLC, 1:12-cv-01055 (S.D.N.Y.)
Date Filed:
DOUGLAS F WHITMAN
Current Age: 65 - 67
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DOUGLAS F. WHITMAN, SEC File No. 3-15285
Date Filed:
ERIKA D WHITMAN
Current Age: 53 - 55
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ERIKA D. WHITMAN, SEC File No. 3-10987
Date Filed:
RALPH WIDMAIER
Current Age: 61 - 63
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. WILLIAM GRABSKE, ROBERT POCSIK AND RALPH WIDMAIER, 3:01-cv-03355 (N.D. Cal.)
Date Filed:
MARK WIERTZEMA
Current Age: 72 - 74
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RHINO ECOSYSTEMS, INC., CHARLES CINI, GORDON NOVAK, MARK WIERTZEMA, and MELVIN LEVINE, 9:02-cv-80768 (S.D. Fla.)
Date Filed:
MARK WIERTZEMA
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Mark Wiertzema, SEC File No. 3-11920
Date Filed:
ROBERT WILDEMAN
Current Age: 60 - 62
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. NORTHSHORE ASSET MANAGEMENT, LLC, ARDENT RESEARCH PARTNERS, L.P., ARDENT RESEARCH PARTNERS, LTD., SALDUTTI CAPITAL MANAGEMENT, L.P., KEVIN KELLEY, ROBERT WILDEMAN and GLENN SHERMAN, 1:05-cv-02192 (S.D.N.Y.)
Date Filed:
ROBERT WILDEMAN
Current Age: 58 - 60
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROBERT WILDEMAN, SEC File No. 3-13051
Date Filed:
GARY WINEMASTER
Current Age: 66 - 68
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GARY WINEMASTER, CRAIG DAVIS AND JAMES NEEDHAM, 1:19-cv-04843 (N.D. Ill.)
Date Filed:
MARK W WISEMAN
Current Age: 47 - 49
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CONTXT, INC., THOMAS J. ROBBINS, DANIEL J. MERRIMAN, MARK W. WISEMAN, and CLARK J. MADSEN, 2:21-cv-00013 (D. Utah)
Date Filed:
WILLIAM D WISEMAN
Current Age: 68 - 70
State: Virginia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CHESAPEAKE CORPORATION, WILLIAM T. TOLLEY, CARLOS A. GONZALEZ, WILLIAM D. WISEMAN and DOUGLAS J. REX, 1:05-cv-00872 (D.D.C.)
Date Filed:
WILLIAM D WISEMAN
Current Age: 68 - 70
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of WILLIAM D. WISEMAN, CPA, SEC File No. 3-12024
Date Filed:
STINA R WISHMAN
Current Age: 59 - 61
State: Missouri (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of STINA R. WISHMAN, SEC File No. 3-16752
Date Filed:
BARRETT N WISSMAN
Current Age: 61 - 63
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. HENRY MORRIS, DAVID J. LOGLISCI, BARRETT N. WISSMAN, RAYMOND B. HARDING, SAUL M. MEYER, JULIO RAMIREZ, JR., NOSEMOTE LLC, PANTIGO EMERGING LLC, PURPOSE LLC, FLANDANDA HOLDINGS LTD., TUSCANY ENTERPRISES LLC, W INVESTMENT STRATEGIES LLC, HFV MANAGEMENT, L.P., HFV ASSET MANAGEMENT, L.P., and ALDUS EQUITY PARTNERS, L.P., 1:09-cv-02518 (S.D.N.Y.)
Date Filed:
BARRETT N WISSMAN
Current Age: 61 - 63
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of BARRETT N. WISSMAN, SEC File No. 3-13483
Date Filed:
ROBERT PAUL WITTMAN
Current Age: 66 - 68
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PATRICK JOSEPH DANAHER, JOHN THOMAS DOHERTY, ROBERT PAUL WITTMAN, and TIMOTHY FREDRICK WARD, 1:01-cv-08431 (S.D.N.Y.)
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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