SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
ALAN COHEN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ANTHONY SARIVOLA, DONNA SARIVOLA, ALAN COHEN, JOSEPH MAZZO, GEORGE C. BERGLEITNER, JR., RICHARD VOIGHT, EDWARD DUFFY, MICHAEL KARP, MARK ANTHONY, MICHELLE SUPPES, MILAN INTERNATIONAL, LTD., MILAN NATIONAL CORPORATION, LEONA ENTERPRISES, INC., STANDARD INVESTMENT HOLDINGS, INC., EUROBANC, LTD., AND SUPPES SECURITIES, 1:95-cv-09270 (S.D.N.Y.)
Date Filed:
AMNON COHEN
Current Age: 56 - 58
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of AMNON COHEN, SEC File No. 3-14566
Date Filed:
BRETT A COHEN
Current Age: 52 - 54
State: Maryland (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BRETT A. COHEN; DAVID V. MYERS; AARON J. SCALIA; AND STEPHEN J. SCALIA, 3:10-cv-02514 (S.D. Cal.)
Date Filed:
BRIAN M COHEN
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of BRIAN M. COHEN, SEC File No. 3-9708
Date Filed:
BRYAN COHEN
Current Age: 37 - 39
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. BRYAN COHEN and GEORGE NIKAS, 1:19-cv-09645 (S.D.N.Y.)
Date Filed:
BRYAN COHEN
Current Age: 36 - 38
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of BRYAN COHEN, SEC File No. 3-19739
Date Filed:
CAROL E COHEN
Current Age: 70 - 72
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CAROL E. COHEN and AUSTIN ROTTER, 1:21-cv-09580 (S.D.N.Y.)
Date Filed:
CRAIG COHEN
Current Age: 62 - 64
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GLENN COHEN, CRAIG COHEN, MARC I. COHEN, STEVEN A. COHEN, and LAURIE G. TOPAL, 1:14-cv-03655 (S.D.N.Y.)
Date Filed:
CRAIG N COHEN
State: Missouri (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CRAIG N. COHEN, 4:05-cv-00371 (E.D. Mo.)
Date Filed:
DANIEL COHEN
Current Age: 48 - 50
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DELTA ONSHORE MANAGEMENT, LLC, JERRY P. JACKSON, PETER J. BROOKS, DANIEL COHEN, and JASON HERTZ, 6:08-cv-01278 (D. Kan.)
Date Filed:
DANIEL COHEN
Current Age: 47 - 49
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DANIEL COHEN, SEC File No. 3-14504
Date Filed:
DAVID COHEN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SOL GREENBAUM and DAVID COHEN, 1:98-cv-00543 (D.D.C.)
Date Filed:
DAVID COHEN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MICHAEL B. RAWDIN, HARD ASSET MANAGEMENT, INC. and DAVID COHEN, SEC File No. 3-11234
Date Filed:
DEREK COHEN
Current Age: 61 - 63
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DEREK COHEN, MICHAEL FLEISCHLI and ROBERT HERMAN, 3:14-cv-01189 (S.D. Cal.)
Date Filed:
EMIN COHEN
Current Age: 39 - 41
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. POWERTRADERSPRESS.COM, INC., ELITE STOCK RESEARCH, INC., ERIK MATZ, RONALD HARDY, ANTHONY VASSALLO, STEPHANIE LEE, JEFFREY CHARTIER, LAWRENCE D. ISEN, ROBERT GLECKMAN, MICHAEL WATTS, BRIAN HEEPKE, DENNIS J. VERDEROSA, EMIN COHEN, SERGIO RAMIREZ, and ASHLEY ANTOS, 1:17-cv-04133 (E.D.N.Y.)
Date Filed:
EMIN COHEN
Current Age: 38 - 40
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of EMIN COHEN, SEC File No. 3-19995
Date Filed:
GLENN COHEN
Current Age: 63 - 65
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GLENN COHEN, CRAIG COHEN, MARC I. COHEN, STEVEN A. COHEN, and LAURIE G. TOPAL, 1:14-cv-03655 (S.D.N.Y.)
Date Filed:
ITAMAR COHEN
Current Age: 60 - 62
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MIKE TAXON and ITAMAR COHEN, 2:15-cv-03587 (D.N.J.)
Date Filed:
JAMES E COHEN
Current Age: 67 - 69
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of NATURAL BLUE RESOURCES, INC., JAMES E. COHEN, and JOSEPH A. CORAZZI, SEC File No. 3-15974
Date Filed:
JASON A COHEN
Current Age: 70 - 72
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of HUNTER ADAMS, JASON A. COHEN, STEVEN M. COHEN, DAVID HIRSCH, JONATHAN D. WINSTON, JOHN J. GREMMO, III, JAMES L. BILA, CHRISTIAN W. BLAKE, LOUIS R. FACCHINI, JR., ROBERTO A. MANGIARANO, JOSEPH P. MANNINO, DAVID M. MARGULES, JAMES J. PELLIZZI, DAVID M. PESSO, MICHAEL PUGLIESE, CHRISTOPHER J. RUSSO, HOWARD I. WEINSTEIN, and ROBERT J. WINSTON, SEC File No. 3-10437
Date Filed:
JEROME H COHEN
Current Age: 68 - 70
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: U.S. SECURITIES AND EXCHANGE COMMISSION v. EQUITYBUILD, INC., EQUITYBUILD FINANCE, LLC, JEROME H. COHEN, and SHAUN D. COHEN, 1:18-cv-05587 (N.D. Ill.)
Date Filed:
JOSEPH S COHEN
Current Age: 72 - 74
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of URI EVAN, JOSEPH S. COHEN, and FREDERICK J. HOROWITZ, SEC File No. 3-10735
Date Filed:
LAURENCE D COHEN
Current Age: 59 - 61
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. WILLIAM M. BAKER, LAURENCE D. COHEN, FRANK D. EDWARDS, CURTIS W. HOWES AND MARK A. TATKOW, 1:04-cv-12444 (D. Mass.)
Date Filed:
LAURENCE D COHEN
Current Age: 59 - 61
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of LAURENCE D. COHEN (CPA), SEC File No. 3-11783
Date Filed:
LAWRENCE STEVEN COHEN
Current Age: 50 - 52
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GLENN GROSSMAN, LAWRENCE STEVEN COHEN, SHAY KEREN, and JOHN ZANIC, 1:08-cv-08078 (S.D.N.Y.)
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 March 31, 2024. 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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