SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
MARCELINO COLT
Also Known As: MARCELINO COLT VASQUEZ, MARCO ANTONIO PATTERSON, MARCO ANTONIO PATTERSON GARCIA, MARSHALL ALGIRD ZOLP
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. NEW ENERGY CORP., TOR EWALD, GENEVA FINANCIAL LTD., MARCELINO COLT aka MARCELINO COLT VASQUEZ, MAGNUM FINANCIAL GROUP, LLC dba STRATOS RESEARCH, LLC and MICHAEL S. MANAHAN, 2:02-cv-00989 (C.D. Cal.)
Date Filed:
PETER F COMAS
Current Age: 61 - 63
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CERTAIN MARKET MAKING ACTIVITIES ON NASDAQ, SEC File No. 3-9803
Date Filed:
LEON G COOPERMAN
Current Age: 81 - 83
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. LEON G. COOPERMAN and OMEGA ADVISORS, INC., 2:16-cv-05043 (E.D. Pa.)
Date Filed:
JOEL CORENMAN
Current Age: 63 - 65
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOEL CORENMAN, SEC File No. 3-17910
Date Filed:
MICHAEL CRUSEMANN
Current Age: 78 - 80
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL CRUSEMANN AND MICHAEL OTTO, 1:06-cv-05969 (N.D. Ill.)
Date Filed:
JOSEPH CUSIMANO
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CHARLES BRUMFIELD, JOSEPH BRUMFIELD, ROBERT ALLEN, WILLIAM MYLETT, JOSEPH PENNA, JOSEPH CUSIMANO, ALFRED VOLPE, JAMES GALANTE, THOMAS ALGER, JOHN O'BRIEN, LAWRENCE FRIEDMAN, ROBERT FLANAGAN, THOMAS FLANAGAN, SHARON SEIDEN, WARREN SMITH, JOHN LYNCH AND ALBERT BRODY, 1:95-cv-09283 (S.D.N.Y.)
Date Filed:
GERARD J D’AMARO
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PAWEL P. DYNKOWSKI, RICHARD A. BAILEY, MATTHEW W. BROWN, JACOB CANCELI, GERARD J. D’AMARO, GARY C. HEATH, JOSEPH MANGIAPANE JR., JAMES MEAGHER, NATHAN M. MICHAUD, MARC J. RIVIELLO, ADAM S. ROSENGARD, AND FLORIAN R. TERNES, 1:09-cv-00361 (D. Del.)
Date Filed:
ANTHONY J D'AMATO
Current Age: 57 - 59
State: Wisconsin (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato, SEC File No. 3-11498
Date Filed:
JASON A D'AMATO
Current Age: 50 - 52
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JASON A. D’AMATO, SEC File No. 3-15004
Date Filed:
KENNETH A DACHMAN
Current Age: 66 - 68
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. KENNETH A. DACHMAN, SCOTT A. WOLF, and STONE LION MANAGEMENT, INC., 1:12-cv-00821 (N.D. Ill.)
Date Filed:
WANDERLEY M DALMAN
Current Age: 58 - 60
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DFRF ENTERPRISES LLC, DFRF ENTERPRISES, LLC, DANIEL FERNANDES ROJO FILHO, WANDERLEY M. DALMAN, GASPAR C. JESUS, EDUARDO N. DA SILVA, HERIBERTO C. PEREZ VALDES, JEFFREY A. FELDMAN and ROMILDO DA CUNHA, 1:15-cv-12857 (D. Mass.)
Date Filed:
G. THOMAS DAMASCO II
Also Known As: THOMAS DAMASCO
Current Age: 66 - 68
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Modern Portfolio Management, Inc., G. Thomas Damasco II, and Bryan F. Ohm, SEC File No. 3-15583
Date Filed:
ANTHONY M DAMATO
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. EAGLE BUILDING TECHNOLOGIES, INC. and ANTHONY M. DAMATO, 1:02-cv-00397 (D.D.C.)
Date Filed:
H THOMAS DAVIS JR
Also Known As: THOMAS DAVIS
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. H. THOMAS DAVIS, JR., 7:12-cv-00275 (E.D.N.C.)
Date Filed:
GUY ALBERT DE CHIMAY
Current Age: 61 - 63
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CHIMAY CAPITAL MANAGEMENT, INC. AND GUY ALBERT DE CHIMAY, 1:10-CV-04582 (S.D.N.Y.)
Date Filed:
GUY ALBERT DE CHIMAY
Current Age: 60 - 62
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GUY ALBERT de CHIMAY, SEC File No. 3-14373
Date Filed:
ROM N DE GUZMAN
Also Known As: ROM DE GUZMAN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROM N. DE GUZMAN, CPA, SEC File No. 3-9115
Date Filed:
ANGELIQUE DE MAISON
Current Age: 53 - 55
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JASON COPE, IZAK ZIRK DE MAISON (F/K/A IZAK ZIRK ENGELBRECHT), GREGORY GOLDSTEIN, STEPHEN WILSHINSKY, TALMAN HARRIS, WILLIAM SCHOLANDER, JACK TAGLIAFERRO, VICTOR ALFAYA, JUSTIN ESPOSITO, KONA JONES BARBERA, LOUIS MASTROMATTEO, ANGELIQUE DE MAISON, TRISH MALONE, KIERAN T. KUHN, PETER VOUTSAS, RONALD LOSHIN, GEPCO, LTD., SUNATCO LTD., SUPRAFIN LTD., WORLDBRIDGE PARTNERS, TRAVERSE INTERNATIONAL, and SMALL CAP RESOURCE CORP., 1:14-cv-07575 (S.D.N.Y.)
Date Filed:
ANGELIQUE DE MAISON
Current Age: 53 - 55
State: Minnesota (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ANGELIQUE DE MAISON, SEC File No. 3-17516
Date Filed:
IZAK ZIRK DE MAISON
Also Known As: IZAK ZIRK ENGELBRECHT
Current Age: 67 - 69
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JASON COPE, IZAK ZIRK DE MAISON (F/K/A IZAK ZIRK ENGELBRECHT), GREGORY GOLDSTEIN, STEPHEN WILSHINSKY, TALMAN HARRIS, WILLIAM SCHOLANDER, JACK TAGLIAFERRO, VICTOR ALFAYA, JUSTIN ESPOSITO, KONA JONES BARBERA, LOUIS MASTROMATTEO, ANGELIQUE DE MAISON, TRISH MALONE, KIERAN T. KUHN, PETER VOUTSAS, RONALD LOSHIN, GEPCO, LTD., SUNATCO LTD., SUPRAFIN LTD., WORLDBRIDGE PARTNERS, TRAVERSE INTERNATIONAL, and SMALL CAP RESOURCE CORP., 1:14-cv-07575 (S.D.N.Y.)
Date Filed:
IZAK ZIRK DE MAISON
Also Known As: IZAK ZIRK ENGELBRECHT
Current Age: 67 - 69
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of IZAK ZIRK DE MAISON (F/K/A) IZAK ZIRK ENGELBRECHT, SEC File No. 3-17384
Date Filed:
LARRY DEARMAN SR.
State: Oklahoma (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of LARRY DEARMAN SR., SEC File No. 3-16489
Date Filed:
LARRY J DEARMAN SR
Current Age: 51 - 53
State: Oklahoma (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. LARRY J. DEARMAN, SR. and MARYA GRAY, 4:13-cv-00553 (N.D. Okla.)
Date Filed:
CRAIG I DEITCHMAN
Current Age: 56 - 58
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CRAIG I. DEITCHMAN, individually and doing business as PLATINUM SECURITIES and the PLATINUM GROUP, 1:96-cv-01792 (E.D.N.Y.)
Date Filed:
CRAIG I DEITCHMAN
Current Age: 56 - 58
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CRAIG I. DEITCHMAN, SEC File No. 3-9026
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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