SEC and IIROC Public Records - 2012 to 2024
Database
The people behind a microcap company and/or penny stock website are critically important. They will make or break it - management, financing, promoters, investor relations, deal makers.
The names below were collected from SEC and IIROC public filings going back to 2012. They may or may not have been charged with something specific - you will have to do your own research on that. This will be a database (updated weekly) that could be used as your due diligence starting point.
Those Caught Represent The Tip of the Iceberg
Sadly the vast majority of unethical or criminal conduct in this industry goes unpunished. In most cases where someone is caught, they pay a fine and THIS becomes the go-to statement: "the fine was part of a negotiated settlement in which XX did not ADMIT to any wrongdoing"
Use Cntrl-F on your PC to Search
SEC or IIROC Enforcement or Investigated [2012 - 2024]
Aarif Jamani
Aaron Rowlatt
Aarun Kumar
Abraham "Avi" Mirman
Abida Khan
Adam Klein
Adam Plumer
Afam Elue
Ahmed "GMoney" Alomari
Ahmed Kaiser Akbar
Aidin Sadeghi
Ajay Tandon
Alain Laroche
Alan Cusson
Albert Eugene Cerenzie
Albert Ying Yuen Wong
Alberto "Bob" Tassone
Alberto Storelli
Aleksandr Blyumkin
Aleksandr Milrud
Alexander Kon
Alexander Hunter
Alfonso Fiumidinisi
Alfred Drose
Alistair Malcolm Melville
Allen Samuel Mendelman
Allen Stanford
Alexander (Sandy) Goss
Alnoor Fatehali Nathoo
Alvin Rupert Jones
Aly Mawji
Amanda Flores
Amandeep Thindal
Amandeep Gill
Amar Bahadoorsingh
Amin Nikdel
Amit Raj Beri
Amit Tandon
Amy Mossel
Amy Omadai Sukhai
Andrew Coldicutt
Andrew Hackett
Andrew Larkin
Andrew Left
Andrew McAlpine
Andrew Munro
Andy (Andrew) DeFrancesco
Angela Du
Anna Tang
Annetta Budhu
Anson Advisors
Anson Funds Management
Anthony Goldstein
Anthony Jackson
Anthony Killarney
Ariav Weinbaum
Arkadiy Dubovoy
Ashmit Patel
Avtar (Avatar) Dhillon
Bardya Ziaian
Barry Honig
Barry Reagh
Behjat Haghshenas
Benjamin Ballout
Benjamin Kirk
Benjamin Daniel Koorbatoff
Benjamin Ward
Benoit Beaulne
Bernard Boily
Bernard Madoff
Bernard Patrick King
Bernardino "Dino" Paolucci Jr.
Blaine Albert Kunz
Blaine Patrick Arnold
Bob Bandfield
Bobby Genovese
Bonnie Wyatt
Bozidar "Bob" Vukovich
Brad Eckenweiler
Bradley Moynes
Brandon Boddy
Breanne Wong
Brehnen Knight
Brent Chapman
Brent Whiteley
Brian Beatty
Brian Andrew Malley
Brian Anish Kumar
Brian Fox
Brian Heepke
Brian Keasberry
Brian McCullough
Brian Peters
Brian Quinn
Brian Reiss
Bruce Strebinger
Bryan Andrew Vickers
Bryn Gardener-Evans
Cale Nishimura
Cameron Robert Paddock
Canaccord Genuity Corp
Carlo Michetti
Carlos Manuel Vargas
Carlos Rezk
Carol Voyer
Carolann Steinhoff
Catherine Deborah Jones
Cedric Canas Maillard
Chad McMillan
Changpeng Zhao
Charles B. Floyd
Charles Miller
Charlie Abujudeh
Charline Gilbert
Chip Rice
Christian Cloutier
Christian Desmarais
Christian Fernandez
Christine Marie Malley
Christophe Merani
Christopher Bongiorno
Christopher Cervino
Christopher Candusso
Christopher Eikenberry
Christopher Everest
Christopher Hiestand
Christopher McKnight
Christopher Matthaei
Christopher Metcalf
Christopher Smith
Christopher Wheeler
Citron Research
Clayton Leigh Moore
Clinton James Orr
Clinton Maurice Tucker II
Cole Diamond
Colin Heatherington
Colin McCabe
Courtney Kelln
Craig Auringer
Craig Hodge
Dale McClanaghan
Daliang Guo
Dan Bilzerian
Daniel Bergeron
Daniel Biron
Daniel Desautels
Daniel Dubois
Daniel Edward Smith
Daniel Ferris
Daniel Lacher
Daniel Lindsay Cuthbertson
Daniel Siska
Daniel Solomita
Darin Lee Chung
Darko Mrakuzic
Darlene Catherine Ryan
Darren Carrigan
Darryl Joseph Yasinowski
Daryl William Wood
David Alexander
David Amsel
David Andrew Schramm
David Bowen
David Cartu
David Charles Parkinson
David Charles Phillips
David Craven
David Edward Sloan
David Gordon
David Guy Schayes
David Hoang
David Naylor
David Ricci
David Roda
David Schottenstein
David Sharpe
David Sidoo
David Skriloff
David Stephens
David Wilson Murdoch
Davies Wong
Dean Martin Jenkins
Dean Shah
Dennis Domazet
Dennis Mancino
Dennis Verderosa
Denyse Giroux-Garneau
Derek George Laidlaw Axford
Diane Dalmy
Dil Gujral
Dimitry Braverman
Dominic Spooner
Dominic Tersigni
Dominic Williams
Domino Au-Young
Donald Danks
Donald Earl Phillips
Donald Metcalfe
Doreen Lowe
Douglas Bergen
Douglas Charles Allan
Douglas John Eley
Douglas Michael Chornoboy
Douglas Michael Warkentin
Douglas Roe
Douglas Terrence Steer
Douver Torres Braga
Drew Ciccarelli
Dwight Cameron Mann
Dylan Boyle
Earl Marek
Ed Durante
Edward Bronson
Edward Gallagher
Edward O'Connor
Edward Peter Bodnarchuk
Edward Schinik
Edward Withrow III
Emin Cohen
Emmanuel Kouyoumdjian
Eric Dany
Eric Landis
Erik Matz
Eric Watson
Erwin Liem
Fabrizio Di Carlo
Faiyaz Dean
Felix Mazer
Fengyi Cai
Ferdinand Renaud
Fernando Pace
Florian Homm
Francesco Coccimiglio
Francis Dudley
Francisco Abellan
Francisley Valdevino Da Silva
Frank Barone
Frank Biller
Frank Fakhry
Frank Spinosa
Frank Zangara
Frederic Lavoie
Frederick Earl Vance
Frederick Sharp
Gabriel Ka Leung Lee
Gannon Giguiere
Garo Aram Deyrmenjian
Garry Davidson
Gary Beck
Gary Clarke
Gary Ng
Gennaro (Gerry) Scerbo
Geoffrey Allan Wall
Geoffrey Eiten
George Georgiou
George Stubos
George Tazbaz
Georgios Palikaras
Gerald Budzinski
Gerald Cocuzzo
Gerald Stefaniuk
Geraldine Mannings
Gerard D'Amaro
Gibraltar Global Securities
Giuseppe Anastasio
Giuseppe Pino Baldassarre
Glen Landry
Glenn Albert Little
Glenn Allan Prior
Glenn Arthur Taggart
Glenn Laken
Glynn Fisher
Gordon Albert Malic
Gordon Dickson
Graeme Dickson
Graham Taylor
Grant Matthews
Grant Patrick Matthews
Gregg Berger
Gregg Jaclin
Gregg Mulholland
Gregory Bealer
Guillermo Ciupiak
Gurpreet Pawar
Guy Francois Brunet
Guy Gentile
Guy Jean-Pierre
Hans Peter Black
Harmel Singh Rayat
Harold Bailey Gallison
Harold Gallison
Harpreet Saini
Harrison Fitzgerald Keenan
Harry Richard Newman
Harvey Carmichael
Helen Bagley
Henry Clarke
Henry Cole
Henry Griffioen
Henry Ian Thor
Henry Martens
Henry Sojka
Herbert Abramson
Howard Tsao
Hugo Michel Nicolas Kotar
Hung Wai Shern
Ibrahim Almagarby
Idan Cohen
Igor Palatnik
Irwin Boock
Issam El-Bouji
Itamar Cohen
Ivan Turchynov
Jack Jason Trueman
Jackson Friesen
Jacob Canceli
Jacques Turenne
James Anglim
James Brown
James Brittain
James Christodoulis
James DeMesa
James Frederick Norman Mackie
James Goldberg
James Gordon McDonald
James Gwilym Jones
James Hinton
James Hyland
James O'Reilly
James Panther
James Robert Harris
James Stafford
James Voisin
James Wenman
James William Watson
James Wood
Jamie Cohen
Jamie Peter Yaskiw
Jan Gregory Cerato
Jared Lazerson
Jared Mitchell
Jason Allan Arthur
Jason Andrew Gold
Jason McDiarmid
Jatinder Bhogal
Jay Alan Blackmore
Jay Budd
Jay Scott
Jayanth Noronha
Jean-Francois Amyot
Jean-Francois Lemay
Jean-Marc Milette
Jean-Pierre Menard
Jean-Pierre Paquette
Jean-Yves Gaudreault
Jeetenderjit Singh Sidhu
Jeffrey Ber
Jeffrey Chartier
Jeffrey Edward Gebert
Jeffrey Goldman
Jeffrey Hastings
Jeffrey Mitchell
Jeffrey Richardson
Jeffrey Rutledge
Jeffrey Roderick McCrimmon
Jeffrey Walker
Jeremy Austin
Jeremy Poirier
Jerry Williams
Jessica Elisabeth Zackheim
Jim Cem Can
Jim Pakulis
Joel Franklin
Joff Paradise
John Alexander van Arem
John Archibald
John Babikian
John Bordynuik
John Brda
John Briner
John David Belfontaine
John David Lunam
John Edward Brodie
John Ford
John Hancock
John Kirk
John Lloyd Hanna
John Manuel Reyes
John Moretz
John Natividad
John O’Rourke
John Russell Wilson
John Schaefer
John Shane MacEachern
John Skelton
John Stetson
John Wisbey
John Zanic
Jon Isaac
Jonathan Cartu
Jonathan Curshen
Jonathan Destler
Jonathan Farber
Jonathan Lotz
Jonathan Mimun
Jonathan Tetreault
Jonathan William Mikula
Jordan Meadow
Jordan Rocco Steel
Jose Ramiro Coronado Reyes
Joseph Debus
Joseph Earle
Joseph Kostelecky
Joseph Padilla
Joseph Rochon
Josh (Joshua) Cartu
Joshua Lankford
Juan Antonio Tacuri Fajardo
Julian Edward Pope
Julian Robert Ricci
Julius Csurgo
Justin Herman
Justin Liu
Kamaldeep Thindal
Katie Webster
Karen Elizabeth Abbott
Kathryn Faber
Keir Reynolds
Keleionalani Akana Taylor
Kelly Richard Jones
Kelly Robinson
Kelly Warawa
Kenneth Ciapala
Kenneth David Stevenson
Kenneth Edward Smith
Kenneth Gareau
Kenneth Gottfred
Kenneth Telford
Kevin Dills
Kevin Miller
Kevin Gillespie
Kim Husebye
Kirill Chumenko
Kirk Lee
Konstantine Dariotis
Korin David Bobrow
Kris Bortnovsky
Krishna Sammy
Kuldeep Sidhu
Kurt Andrew Haller
Kyle Alexander Johnston
Head Count as at 11/17/24 - 811
Lambert Joseph Lavallee
Larry Martin
Larry Werbel
Larry Yau
Lawrence Bradley Chang
Lawrence Cohen
Lawrence Isen
Lee Cohen
Leeav Peretz
Leede Jones Gable
Lelio De Cicco
Leonid Momotok
Linda Knott
Lisa Sanford
Lorne Allison
Louis Constantine Cavalaris
Louis Dion
Louis Petrossi
Lucy Marie Pariak-Lukic
Lucie Roland
Luis Carrillo
Luis Chang
Luke Montaine
Lyle Langlois
Mahamoud Adam Bechir
Majd Kitmitto
Malcolm Stockdale
Mani Chopra
Maoqing Teng
Marc Borden
Marc Dalpe
Marc Leon St. Pierre
Marc Evan Levy
Marc Riviello
Marc Roger Latta
Marco Babini
Marco Glisson
Marco Myatovic
Mark Allen Dennis
Mark Angelo
Mark Borden
Mark Fridgant
Mark Groussman
Mark Harris
Mark Korb
Mark Odorico
Mark Steven Rotstein
Mark Valentine
Marlio Diaz
Martin Shkreli
Mathew Martoma
Matthew Beechey
Matthew Blevins
Matthew Brown
Matthew Gow
Matthew Nicosia
Matthew Philip Ewing
Max Barber
Mayer Amsel
Melkon Melkonian
Michael Baron
Michael Brauser
Michael Francis O'Brien
Michael Gastauer
Michael Glaspie
Michael Hyman
Michael J. Scott
Michael Kraft
Michael Krome
Michael Lauer
Michael Luckhoo-Bouche
Michael Patrick White
Michael Randles
Michael Reid Ast
Michael Scott
Michael Small
Michael Starkweather
Michael Wexler
Michael William Sawisky
Michel Savard
Michael Stein
Mike Taxon
Mike Taxon
Mike Veldhuis
Milan Patel
Milan Plentai
Mitchell Adam
Mohammad Movassaghi
Mohamed Zayed
Morrie Tobin
Moshe Dunoff
Moshe Strugano
Myron Gushlak
Nadir Janmohamed
Naeem Tyab
Naris Chamroonrat
Natalie St-Amant
Natasha Sharpe
Nathan Montgomery
Nati Peretz
Naveed Khan
Neelgiri Chatterjee
Neil Chandran
Neil DiCostanzo
Nelson Gomes
Nicholas Peter Smith
Nicola More
Nicole Arvanitakis
Nicolette Loisel
Nikola Faukovic
Nino Coppero
Nouracham Bechir Niam
Norman Robert Todd
Oliver Lindsay
Ongkaruck Sripetch
Pardeep Luddu
Patrick Lilly
Patrick Michael Cooney
Paul Bilzerian
Paul Brum
Paul Christopher Darrigo
Paul David Azeff
Paul Dowdall
Paul James Vorstadt
Paul Laverne Johnson
Paul Maurice
Paul Milot
Paul Ogilvie
Paul Petrello
Paul Sexton
Paul Wayne Lynch
Pawel Dynkowski
Petar Mihaylov
Peter DeChiara
Peter Deeb
Peter Fisher
Peter Jenson
Peter Kuperman
Peter Madoff
Peter Michael Deeb
Peter Michael Smith
Peter Strang
Phil Kueber
Phil Wong
Philip Falcone
Philip Pritchard
Philip Winer
Philippe Belisle
Phillip Curtis
Phillip Frost
Phillip Offill
Phillip Sewell
Pierre Lalonde
Pietro Cimino
Pirkko Ann Ramsay
Preston Henry Smith
Probhash Mondal
Rahim Shiraz Mohamed
Raimund Gastauer
Raffi Khorchidian
Raj Beri
Rajat Gupta
Rajesh D'Souza
Rajesh Taneja
Rajiv Puri
Ramon Antonio Perez Arias
Ran Armon
Randall Abramson
Randy Hildebrandt
Ravindra Kumar Suppal
Raymond Dove
Raymond James
Reginald Alfred Groome
Remo Costa
Ren Feng
Richard Allan
Richard Brown
Richard Bruce Moore
Richard Hinds
Richard St. Julien
Richard Shaw Newbury
Richard Smith
Richard Stanford Smith
Richard Tang
Rinat Gazit
Rizwan Suleiman
Robert Adrian Crandall
Robert Baldwin
Robert Barber
Robert Bruce Holmes
Robert Connor
Robert Cosby
Robert Crane
Robert Dunn
Robert Earle Dawson
Robert Edward Sole
Robert Earle Dawson
Robert Hillis Miller
Robert James Naso
Robert Jay Kilgannon
Robert Lazerus
Robert Lewis
Robert Mouallem
Robert Seeley
Robert Sole
Robert Werner Schiesser
Roberto Veitia
Rodney Joseph Nieswandt
Roger "Rocket" Knox
Roger Coleman
Roger Knox
Roger Michael Biduk
Roger Shoss
Roland Papp
Ronn BenHarav
Ronald Anton Putzi
Ronald Bauer
Ronald Chernin
Ronald Hardy
Ronald Lann
Ronny Salazar
Ronald Touchard
Roy William Orr
Ruimin Xie
Russell Wasendorf Sr.
Ryan Bahadori
Ryan Johnson
Ryan Masten
Ryan Shapiro
S. Paul Kelley
Sabrina Antonia Baggs
Sajed Karim
Sakwinder Narwal
Sam Deones Panzures
Sammy Shieh Lung Pan
Samuel Bankman-Fried
Samuel Brown
Samuel Kloda
Samuel Ryan Scoten
Sandy Joseph Bortolin
Sandy Warawa
Sandy Winick
Sara Jacqueline King
Sasha Jacob
Scott Bateman
Scott Douglas Ford
Scott Gelbard
Scott Lawler
Scott Rohdleder
Sean Nother
Sean Wygovsky
Seijin Ki
Serge Leclaire
Shane Dubin
Shane Schmidt
Shane Ward
Shane Whittle
Shaun Anthony John Pollard
Shaun Gerard McErlean
Shaun Howell
Shaun Wayne Howell
Shawn Becker
Shayne Nyquvest
Sheldon Don Birkeland
Shelley Blanchard
Sherman Dahl
Shey Keren
Shirley Locke
Shrizali Jumani
Silvio Serrano
Simon Roy Jaques
Simon Wenyuan Fan
Stephen Braverman
Stephen Burns
Stephen Gibson
Stephen Moran
Stephen Wheatley
Steve Bajic
Steven Bryant
Steven Costantin
Steven Fishoff
Steven Frank Carinci
Steven Fred Bodon
Steven George Conville
Steven Isenberg
Steven Jeske
Steven Teixeira
Steven Vannatta
Sunday Bamidele Opaleke
Sydney Azancot
Syvert Francis Mytting
Taylor Friesen
Taylor Housser
Terry Norman Dyck
Teymur Englesby
Thi Sen Chher
Thomas Hunter
Thomas Robert Stock
Thomas Thong Thai
Thomas William Dunn
Tiffany Sweeney
Timothy Page
Todd Ficeto
Todd Zinkwich
Tom Coldicutt
Traian Moldovan
Trep Knippa
Tres Knippa
Trevor Ian Gunderson
Trevor Keonig
Trevor Page
Tricia Joanne Leadbeater
Troy Hogg
Troy Robert Nagy
Tyler Crockett
Tyler Fisher
Ubong Uboh
Ula Hartner
Usman Asif
Vance Virgil Hoshizaki
Vernon Ray Fauth
Victor Philip Alboini
Victoria Chen
Vincenzo Carnovale
Vinh-Phat Nguyen-Qui
Virgile Rostand
Vitaly Fargesen
Vitaly Korchevsky
Wade Huettel
Walter Berukoff
Walter Nick Silicz
Warren Davis
Wasseem Dirani
Wayne Chiu
Wayne Workun
William Clayton
William Fielding
William Geddes
William Hirschy
William Keeler
William Lieberman
William Lorne MacDonald
William Mikula
William "Rocky" Reininger
William Scott Marshall
William Stack
William Todd Peever
Xavier Cheng Kuo Li
Yanda Cai
Yaniv Avnon
Yazan Al Homsi
Yelena Furman
Yitzchak Zigdon
Yonathan Chanoch Shields
Yossef Kahlon
Youssouf Hamid Takane
Yujie (Jared) Liu
Yu Qiong (Kevin) Li
Yufeng Zhang
Yvonne Gasarch
Zahir "Zip" Dhanani
Zeng Huiyu
Zhenyu Li
Zoltan Nagy
Zubin Justin Driver
Worth Noting
A special thanks to Stockwatch and Mike Caswell who has done a fantastic job for years tracking and reporting on people in this industry. I have subscribed to their penny stock website research services for over 20 years and find it invaluable for investing in microcap stocks and OTCBB Penny Stocks.
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