See also case numbers 1:03-cv00134 (W.D. Ky.) and 3:03-cv-00161 (W.D. Ky.) (Change of venue).
SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
LLOYD E WOLLMERSHAUSER
Also Known As: THE PENNYSTOCKMAN
Current Age: 78 - 80
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of LLOYD E. WOLLMERSHAUSER, A/K/A THE PENNYSTOCKMAN, SEC File No. 3-10438
Date Filed:
ZEVI WOLMARK
Also Known As: STEWART WOLMARK
Current Age: 68 - 70
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ZEVI WOLMARK, aka Stewart Wolmark, SEC File No. 3-15053
Date Filed:
CHRISTOPHER C WOMACK
Current Age: 57 - 59
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AT&T, INC., CHRISTOPHER C. WOMACK, KENT D. EVANS, and MICHAEL J. BLACK, 1:21-cv-01951 (S.D.N.Y.)
Date Filed:
GREGORY K WOMACK
Current Age: 60 - 62
State: Oklahoma (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GRENECO, LLC, GENE D. LARSON, GREGORY K. WOMACK, AND WOMACK INVESTMENT ADVISERS, INC., 5:22-cv-00673 (W.D. Okla.)
Date Filed:
JERRY A WOMACK
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JERRY A. WOMACK, 8:00-cv-01105 (C.D. Cal.)
Date Filed:
TAFT WOMACK
Current Age: 81 - 83
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SHANE T. VAESSEN, VERONIKA M. VAESSEN, OTIS HERRING, MARVIN MOSES, TAFT WOMACK, WILLIAM MCNAMARA, DALE VAN WYK and FRANK GAINES, 8:98-cv-01964 (M.D. Fla.)
Date Filed:
TAFT WOMACK
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of FRANK GAINES and TAFT WOMACK, SEC File No. 3-10064
Date Filed:
VIRGIL W WOMACK
Current Age: 82 - 84
State: South Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CHEMICAL TRUST, U.S. GUARANTEE CORP., UNITED MARKETING TRUST, VIRGIL W. WOMACK, CLIFTON WILKINSON, LEWEY L. CATO, III and ALVIN A. TANG, 9:00-cv-08015 (S.D. Fla.)
Date Filed:
GARY M WORKMAN
Current Age: 74 - 76
State: New Hampshire (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GARY M. WORKMAN, 1:07-cv-00026 (D.N.H.)
Date Filed:
TODD WORTMAN
State: Tennessee (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. HOPE ADVISORS, LLC, KAREN BRUTON, TODD WORTMAN, and DAWN ROBERTS, 1:16-cv-01752 (N.D. Ga.)
Date Filed:
TODD WORTMAN
State: Tennessee (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Todd Wortman, SEC File No. 3-18834
Date Filed:
RAO A.K. YALAMANCHILI
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. APPARAO MUKKAMALA, SURESH ANNE, JITENDRA PRASAD KATNENI, MALLIKARJUNARAO ANNE, AND RAO A.K. YALAMANCHILI, 4:12-cv-13020 (E.D. Mich.)
Date Filed:
KERRY DEAN YAMAGATA
Also Known As: DEAN YAMAGATA
Current Age: 67 - 69
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MOORE STEPHENS WURTH FRAZER & TORBET LLP and K. DEAN YAMAGATA, CPA, SEC File No. 3-14167
Date Filed:
STEVEN YAMASHIRO
Current Age: 59 - 61
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Steven Yamashiro, SEC File No. 3-15010
Date Filed:
RAVI YANAMADULA
Enforcement Action: In the Matter of RAVI YANAMADULA, SEC File No. 3-13434
Date Filed:
CARL M YOUNGMAN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RICHARD G. MARCUS AND CARL M. YOUNGMAN, 1:96-cv-10382 (D. Mass.)
Date Filed:
DOV ZAIDMAN
Current Age: 66 - 68
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DOV ZAIDMAN, CPA, AND ZBS GROUP LLP, SEC File No. 3-19150
Date Filed:
ADNAN S ZAMAN
Current Age: 45 - 47
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. VINAYAK S. GOWRISH, ADNAN S. ZAMAN, PASCAL S. VAGHAR, and SAMEER N. KHOURY, 3:09-cv-05883 (N.D. Cal.)
Date Filed:
ADNAN S ZAMAN
Current Age: 44 - 46
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ADNAN S. ZAMAN, SEC File No. 3-13749
Date Filed:
MICHAEL ZAMAN
Also Known As: MIKE ZAMAN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ANDREW S. PITT, CONECTISYS CORP., DEVON INVESTMENT ADVISORS, INC., B & M CAPITAL CORP., MIKE ZAMAN, and SMITH, BENTON & HUGHES, INC., 2:96-cv-04164 (C.D. Cal.)
Date Filed:
MICHAEL ZAMAN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SKY SCIENTIFIC, INC., W.A. DOROW, JR., JERRY L. FOSTER, GILBERT MARSHALL & CO., INC., MICHAEL A. USHER, STRATEGIC RESOURCE MANAGEMENT, INC., WILLIAM A. MOLER, DANIEL R. LEHL, THOMAS PATRICK MEEHAN, DOUGLAS A. GLASER, SMITH, BENTON & HUGHES, INC., MICHAEL ZAMAN, GEORGE T. HELLEN, ROBERT SCHLIEN, AMERICAN CAPITAL NETWORK, INC., PHILIP M. GEORGESON, MELVIN L. LEVINE, and WILLIAM DAVID JONES, SEC File No. 3-9201
Date Filed:
MIKE ZAMAN
Enforcement Action: In the Matter of MIKE ZAMAN, SEC File No. 3-9737
Date Filed:
MARAT ZAYATS
Also Known As: MARK ZAYATS
Current Age: 53 - 55
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DIAGNOSTIC PROFESSIONAL IMAGING SERVICES, INC., NATIONWIDE MEDICAL SUPPLIES, INC., JUSTIN MARVUL, MICHAEL DANILOVICH, MARAT "MARK" ZAYATS, GREGORY LEVIN, JAMES GENNADY GABERKORN, VADIM STEVEN SHAPIRO, ARTHUR PRAKOPETS and DIRECT SURGICAL SUPPLIES, LTD., 1:00-cv-04386 (S.D.N.Y.)
Date Filed:
MOHAMAD ZEIN
Also Known As: MOHAMED ELZEIN; MOHAMAD EL ZEIN; MOHAMAD J. ZEIN; MIKE EL ZEIN; MIKE ZEIN
Current Age: 69 - 71
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MOHAMAD ZEIN a/k/a MOHAMED ELZEIN a/k/a MOHAMAD EL ZEIN a/k/a MOHAMAD J. ZEIN a/k/a MIKE EL ZEIN a/k/a MIKE ZEIN and PROVIDENT CAPITAL INVESTMENTS INC., 1:07-cv-02330 (N.D. Ga.)
Date Filed:
RICHARD ZELMAN
Current Age: 56 - 58
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOHN FREEMAN, JAMES COOPER, BENTON ERSKINE, ANTHONY SEMINARA, NORMAN LEHRMAN, LINDA KARLSEN, TIMOTHY SIEMERS, NORMAN GROSSMAN, LAWRENCE SCHWARTZ, MICHAEL AKVA, ROBERT FRICKER, RICHARD ZELMAN, BRADLEY BURKE, BENJAMIN COOPER, CHAD L. CONNER, DEON BENSON, GORDON K. ALLEN, JR., JON GEIBEL and WILLIAM H. BORDERS II, 2:00-cv-01963 (S.D.N.Y.)
Date Filed:
Other Information:
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.