SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
WARREN LOUIS DEMAIO
Current Age: 63 - 65
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RITCHIE CAPITAL MANAGEMENT L.L.C., RITCHIE MULTI-STRATEGY GLOBAL TRADING, LTD., A.R. THANE RITCHIE, AND WARREN LOUIS DEMAIO, SEC File No. 3-12947
Date Filed:
RICHARD DEMARIA
Current Age: 54 - 56
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. RICHARD DEMARIA, 1:12-cv-04145 (N.D. Ill.)
Date Filed:
JAMES A DeMATTEO
Current Age: 64 - 66
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JAMES A. DeMATTEO, SEC File No. 3-12434
Date Filed:
JAMES DEPALMA
Current Age: 73 - 75
State: Connecticut (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. REVOLUTION LIGHTING TECHNOLOGIES, INC., ROBERT LAPENTA, JAMES DEPALMA, DANIEL O’NEAL, and ALLEN GARNER, 3:20-cv-01440 (D. Conn.)
Date Filed:
MICHAEL DEUTCHMAN
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MICHAEL DEUTCHMAN, CPA, SEC File No. 3-12794
Date Filed:
ABHISHEK DHARMAPURIKAR
Current Age: 35 - 37
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. HARI PRASAD SURE, LOKESH LAGUDU, CHOTU PRABHU TEJ PULAGAM, DILEEP KUMAR REDDY KAMUJULA, SAI MOUNIKA NEKKALAPUDI, ABHISHEK DHARMAPURIKAR, and CHETAN PRABHU SREE KARTEEK PULAGAM, 3:22-cv-01967 (N.D. Cal.)
Date Filed:
MICHAEL C DICKMAN
Current Age: 64 - 66
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. THOMAS T. JOHNSON and MICHAEL C. DICKMAN, 3:02-cv-00184 (S.D. Cal.)
Date Filed:
KARL R DIERMAN
Current Age: 59 - 61
State: Nebraska (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of KARL R. DIERMAN, SEC File No. 3-19117
Date Filed:
ALIREZA DILMAGHANI
Current Age: 60 - 62
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RAINMAKER MANAGED LIVING, LLC; RAINMAKER MANAGED LIVING, LLC; FURMAN & DILMAGHANI P.C.; ALIREZA DILMAGHANI; SIDNEY F. LEVINE; AND JAMES JOSEPH CONWAY, 2:05-cv-06121 (C.D. Cal.)
Date Filed:
ROBERT B DIMARCO JR
Current Age: 56 - 58
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROBERT B. DIMARCO, JR., SEC File No. 3-11429
Date Filed:
EDWARD DIMARIA
State: Connecticut (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. EDWARD DIMARIA and MATTHEW GAMSEY, 1:15-cv-07035 (S.D.N.Y.)
Date Filed:
EDWARD DIMARIA
Current Age: 58 - 60
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of EDWARD DIMARIA, SEC File No. 3-18122
Date Filed:
JOSEPH DIMAURO
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOSEPH DIMAURO, STEPHEN DILORENZO, MUJAHID BASHIR and JOEL PENSLEY, 1:98-cv-06349 (S.D.N.Y.)
Date Filed:
TOD A DITOMMASO
Current Age: 60 - 62
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of TOD A. DITOMMASO, ESQ., SEC File No. 3-17550
Date Filed:
SCOTT M DITTMAN
Current Age: 55 - 57
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SCOTT M. DITTMAN, CPA, SEC File No. 3-17546
Date Filed:
RICHARD H DORFMAN
Current Age: 80 - 82
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Richard H. Dorfman, SEC File No. 3-11876
Date Filed:
JOE B DORMAN
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RODNEY E. WALLACE, JOE B. DORMAN and JOHN A. BLANK, 3:10-cv-00440 (N.D. Tex.)
Date Filed:
GEORGE DOUMANIS
Current Age: 65 - 67
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of David Rich, Cris Sagnelli, Ray Hutchinson, Daniel Bender, Frank Dickey, and George Doumanis, SEC File No. 3-11939
Date Filed:
GEORGE DOUMANIS
Current Age: 64 - 66
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. TERMINUS ENERGY, INC., DANNY B. PRATTE, JOSEPH L. PITTERA, GEORGE DOUMANIS, EMANUEL PANTELAKIS, and JOSEPH ALBORANO, 1:17-cv-01117 (S.D.N.Y.)
Date Filed:
GEORGE DOUMANIS
Current Age: 66 - 68
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GEORGE DOUMANIS, SEC File No. 3-18524
Date Filed:
MOTTES DRILLMAN
Current Age: 53 - 55
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ANDREAS BADIAN, JACOB SPINNER, MOTTES DRILLMAN, JEFFREY "DANNY" GRAHAM, POND SECURITIES CORPORATION d/b/a POND EQUITIES, EZRA BIRNBAUM and SHAYE HIRSCH, 1:06-cv-02621 (S.D.N.Y.)
Date Filed:
MOTTES DRILLMAN
Current Age: 54 - 56
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MOTTES DRILLMAN, SEC File No. 3-14511
Date Filed:
CRAIG DRIMAL
Current Age: 67 - 69
State: Connecticut (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CRAIG DRIMAL, SEC File No. 3-14739
Date Filed:
CRAIG C DRIMAL
Current Age: 68 - 70
State: Connecticut (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ARTHUR J. CUTILLO, JASON C. GOLDFARB, ZVI GOFFER, CRAIG C. DRIMAL, SCHOTTENFELD GROUP, LLC, GAUTHAM SHANKAR, DAVID PLATE, EMANUEL GOFFER, and MICHAEL KIMELMAN, 1:09-cv-09208 (S.D.N.Y.)
Date Filed:
MICHAEL M DRUCKMAN
Current Age: 71 - 73
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ENVISION CAPITAL MANAGEMENT, LTD. AND MICHAEL M. DRUCKMAN, SEC File No. 3-14260
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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