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Individuals with Court or Commission Orders Entered Against Them
MARC I COHEN
Current Age: 68 - 70
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.)
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. LARRY F. SMATH, GREGORY R. SALVAGE, JOSEPH T. FALCONE, PETER L. COHEN, SETH J. GLASER and FRANK ZANGARA, 9:99-cv-00523 (E.D.N.Y.)
State: New York (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.)
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.)
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
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RS Investment Management, Inc., RS Investment Management, L.P., G. Randall Hecht and Steven M. Cohen, SEC File No. 3-11696
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.
When making decisions about investments and investment professionals, you should not solely use this tool. For other resources and tools, see Information for the Individual Investor or visit Investor.gov.
