SEC Action Lookup - Individuals (SALI)

Individuals with Court or Commission Orders Entered Against Them

THEODORE FRICKE

Also Known As: WILLIAM T FRICKE
Current Age: 74 - 76
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DAVID DECKER, CPA and THEODORE FRICKE, CPA, SEC File No. 3-11091
Date Filed:
Releases & Documents:

ROBERT FRICKER

Current Age: 70 - 72
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:
Releases & Documents:
Other Information:

See also case numbers 1:03-cv00134 (W.D. Ky.) and 3:03-cv-00161 (W.D. Ky.) (Change of venue).

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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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