See also case number 1:20-cv-02143 (E.D. Pa.) (change of venue).
SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
FRANCOIS E DURMAZ
Also Known As: MAHMUT E. DURMAZ
Current Age: 53 - 55
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. FRANCOIS E. DURMAZ (aka MAHMUT E. DURMAZ), ROBERT C. PRIBILSKI, and USA RETIREMENT MANAGEMENT SERVICES (aka USA FINANCIAL MANAGEMENT SERVICES, INC.), 2:10-cv-01689 (C.D. Cal.)
Date Filed:
F THOMAS ECK III
Also Known As: THOMAS ECK, III
Current Age: 76 - 78
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of F. THOMAS ECK, III, SEC File No. 3-12009
Date Filed:
F THOMAS ECK III
Also Known As: THOMAS ECK III
Current Age: 76 - 78
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of F. THOMAS ECK, III, SEC File No. 3-12009
Date Filed:
PIERRE ECONOMACOS
Current Age: 56 - 58
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PIERRE ECONOMACOS, SEC File No. 3-21669
Date Filed:
GABRIEL EDELMAN
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GABRIEL EDELMAN, SEC File No. 3-21952
Date Filed:
JON EDELMAN
Current Age: 78 - 80
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JON EDELMAN, SEC File No. 3-8950
Date Filed:
LEE DAVID EDELMAN
Current Age: 52 - 54
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. LEE DAVID EDELMAN, 1:06-cv-00021 (S.D.N.Y.)
Date Filed:
THOMAS J EDELMAN
Current Age: 72 - 74
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Thomas J. Edelman, SEC File No. 3-16084
Date Filed:
THOMAS R EHMANN
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES & EXCHANGE COMMISSION v. MITCHELL KAHN, PAUL VAN EYL, and THOMAS EHMANN, 1:99-cv-06343 (N.D. Ill.)
Date Filed:
JOHN N EHRMAN
Current Age: 69 - 71
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROCKY MOUNTAIN ENERGY CORPORATION, JOHN N. EHRMAN, and W. RODERICK JOHNSON, SR, 4:03-cv-01133 (S.D. Tex.)
Date Filed:
MICHAEL EISEMANN
Current Age: 65 - 67
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. HERMAN'S WORLD OF SPORTS, INC., THOMAS J. DZWILEWSKI, MICHAEL EISEMANN, AND LOUIS MONTAINO, 1:05-cv-00438 (E.D.N.Y.)
Date Filed:
MICHAEL EISEMANN
Current Age: 65 - 67
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MICHAEL EISEMANN, SEC File No. 3-12082
Date Filed:
JEFFRY C EISNAUGLE
Also Known As: JEFF CHAPMAN
Current Age: 64 - 66
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of 1st Financial Services, LLC and Jeffry C. Eisnaugle, a/k/a Jeff Chapman, SEC File No. 3-15157
Date Filed:
EDWARD WARREN EIZMAN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. EDWARD WARREN EIZMAN, 1:96-cv-03029 (S.D.N.Y.)
Date Filed:
ALEXANDER W ELLERMAN
Current Age: 48 - 50
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. JAMES ROLAND DIAL, EVAN NICOLAS JARVIS, and ALEXANDER W. ELLERMAN, 4:12-cv-01654 (S.D. Tex.)
Date Filed:
GRIFFITH THOMAS ELLIS
Also Known As: THOMAS G. ELLIS
State: Maryland (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GRIFFITH THOMAS ELLIS, SEC File No. 3-17966
Date Filed:
FREDERIC ELM
Also Known As: FREDERIC ELMALEH
Current Age: 54 - 56
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. FREDERIC ELM f/k/a FREDERIC ELMALEH, ELM TREE INVESTMENT ADVISORS LLC, ELM TREE INVESTMENT FUND LP, ELM TREE 'E'CONOMY FUND LP, and ELM TREE MOTION OPPORTUNITY LP, 0:15-cv-60082 (S.D. Fla.)
Date Filed:
FREDERIC ELM
Also Known As: Frederic Elmaleh
Current Age: 54 - 56
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Frederic Elm f/k/a Frederic Elmaleh, SEC File No. 3-16580
Date Filed:
ISMAIL ELMAS
Current Age: 59 - 61
State: Virginia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ISMAIL ELMAS, SEC File No. 3-18845
Date Filed:
MOHAMAD WAEL IBRAHIM ELZEIN
Also Known As: MOHAMAD WAEL IBRAHIM ELZEIN
Current Age: 63 - 65
State: South Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MOHAMAD WAEL IBRAHIM ELZEIN, individually, and d/b/a FOCUS MENTORS ELZEIN MANAGEMENT, HUSSEIN HASSAN EL ZEIN, and DARIN RAYMOND KNEE, 3:03-cv-02843 (D.S.C.)
Date Filed:
JOSEPH I EMAS
Current Age: 70 - 72
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RICHARD E. MCDONALD, MARC D. ROUP, DEANNA J. SERUGA, and JOSEPH I. EMAS, 2:09-cv-01685 (W.D. Pa.)
Date Filed:
JOSEPH I EMAS
Current Age: 68 - 70
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOSEPH I. EMAS, SEC File No. 3-13757
Date Filed:
RONALD EMMA
Current Age: 72 - 74
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. HILL INTERNATIONAL, INC., RONALD EMMA, and NICHOLAS TORNELLO, 1:20-cv-00447 (S.D.N.Y.)
Date Filed:
Other Information:
RONALD EMMA
Current Age: 72 - 74
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RONALD EMMA, CPA, SEC File No. 3-19732
Date Filed:
PETER EMMANUEL
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MEGAMANIA INTERACTIVE, INC., GEORGE W. BOGLE, JR., PETER EMMANUEL, and MIA VENTURE CAPITAL, LLC, 4:05-cv-03134 (S.D. Tex.)
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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