SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
KRIS CHELLAM
Current Age: 73 - 75
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. KRIS CHELLAM, 1:12-cv-07983 (S.D.N.Y.)
Date Filed:
STEVEN REGAN
Also Known As: STEPHEN REGEN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. FUTURE VISION DIRECT MARKETING, INC., EASTERN COORDINATED FINANCIAL, PHILIP FORMA, JAMES BARSCHOW, BRUCE SCHROEDER, JOSEPH GLENSKI, ALAN HERR, HERBERT HERR, STANLEY MINDEL, FRANK CARDELL, THOMAS EHRLICH, PACIFIC WIRELESS COMMUNICATIONS, INC., NATIONWIDE WIRELESS CORPORATION, RONALD H. MICHEL, STEVEN REGAN, WILLIAM R. HORNE, DANIEL KELLY, and PHILIP J. CARATOZZOLO, 2:96-cv-02107 (D.N.J.)
Date Filed:
M CHRISTOPHER AGARWAL
Also Known As: CHRISTOPHER AGARWAL
Current Age: 47 - 49
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PACKETPORT.COM, INC., RONALD DURANDO, MICROPHASE CORP., ROBERT H. JAFFE, GUSTAVE DOTOLI, M. CHRISTOPHER AGARWAL, and THEODORE KUNZOG, SEC File No. 3-12868
Date Filed:
JOHN C AHEARN
Current Age: 62 - 64
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MANHATTAN TRANSFER REGISTRAR COMPANY AND JOHN C. AHEARN, SEC File No. 3-18491
Date Filed:
Other Information:
JOHN C AHEARN
Current Age: 63 - 65
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MANHATTAN TRANSFER REGISTRAR COMPANY and JOHN C. AHEARN, 9:22-cv-81457 (S.D. Fla.)
Date Filed:
JOHN C AHEARN
Current Age: 63 - 65
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOHN C. AHEARN, SEC File No. 3-21227
Date Filed:
KHALED MOHAMMED SHARIF AL SAYED AL HASHEMI
Also Known As: KHALED AL HASHEMI
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. KHALED MOHAMMED SHARIF AL SAYED AL HASHEMI a.k.a. KHALED AL HASHEMI, 1:09-cv-06650 (S.D.N.Y.)
Date Filed:
HELMUT ANSCHERINGER
Current Age: 84 - 86
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of HELMUT ANSCHERINGER, SEC File No. 3-16589
Date Filed:
EVENS BARTHELEMY
Current Age: 57 - 59
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of EVENS BARTHELEMY and BARTHELEMY GROUP LLC, SEC File No. 3-15102
Date Filed:
FRANCOIS O BARTHELEMY
Current Age: 55 - 57
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SG Americas Securities, LLC and Francois O. Barthelemy, SEC File No. 3-13372
Date Filed:
TIMOTHY S BATCHELOR
Current Age: 50 - 52
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. TIMOTHY S. BATCHELOR, 1:18-cv-00650 (N.D. Ga.)
Date Filed:
TIMOTHY S BATCHELOR
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Timothy S. Batchelor, SEC File No. 3-18996
Date Filed:
WILLIAM ALFRED BATCHELOR
Current Age: 49 - 51
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. WILLIAM ALFRED BATCHELOR and JOHN MICHAEL ZUKOSKI, 3:20-cv-02871 (N.D. Cal.)
Date Filed:
ROBERT DAVID BEAUCHENE
Current Age: 56 - 58
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROBERT DAVID BEAUCHENE, SEC File No. 3-14351
Date Filed:
ANDREAS BECHTOLSHEIM
Current Age: 68 - 70
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ANDREAS BECHTOLSHEIM, 5:24-cv-01845 (N.D. Cal.)
Date Filed:
WILLIAM M BEECHER
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GREGORY BRADY, WILLIAM M. BEECHER, AND REAGAN L. LANCASTER, 3:05-cv-01416 (N.D. Tex.)
Date Filed:
JAMES R BELCHER
State: Wyoming (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JAMES R BELCHER, 1 :07-cv-02507 (D. Colo.)
Date Filed:
ROBERT A BERLACHER
Current Age: 70 - 72
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROBERT A. BERLACHER, LANCASTER INVESTMENT PARTNERS, L.P., NORTHWOOD CAPITAL PARTNERS, L.P., CABERNET PARTNERS, L.P., CHARDONNAY PARTNERS, L.P., INSIGNIA PARTNERS, L.P., VFT SPECIAL VENTURES, LTD., LIP ADVISORS, LLC, NCP ADVISORS, LLC, AND RAB INVESTMENT COMPANY, LLC, 2:07-cv-03800 (E.D. Pa.)
Date Filed:
SCOFIELD C BERTHELOT JR
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. INSNET WORLD COMMUNICATIONS, INC., SCB RESOURCES, INC., FRANK BRAVO, JR., JOSE MANUEL DIAZ-SALIN, and SCOFIELD C. BERTHELOT, JR., 4:97-cv-02525 (S.D. Tex.)
Date Filed:
BRET J BESHEY
Current Age: 51 - 53
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SHANE P. FLEMING, BRET J. BESHEY, CHRISTOPHER M. BONVISSUTO, PETER A. KOURTIS, ALEXANDER T. CARLUCCI, DIMITRI A. KANDALEPAS, AUSTIN C. MANSUR, and ERIC L. WELLER, 1:17-cv-07049 (N.D. Ill.)
Date Filed:
WILLIAM C BETHEA
Current Age: 70 - 72
State: Arkansas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. WILLIAM C. BETHEA, 3:98-cv-00457 (N.D. Fla.)
Date Filed:
WILLIAM C BETHEA
Enforcement Action: In the Matter of WILLIAM C. BETHEA, SEC File No. 3-9792
Date Filed:
LISA M BEUCHE
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RAINTREE HEALTHCARE CORPORATION, formerly known as Unison HealthCare Corporation, and LISA M. BEUCHE, SEC File No. 3-10036
Date Filed:
JUAN CRUZ BILBAO HORMAECHE
Also Known As: JUAN CRUZ BILBAO HORMAECHE
Current Age: 65 - 67
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JUAN CRUZ BILBAO HORMAECHE and TOMAS ANDRES HURTADO ROURKE, 1:14-cv-10036 (S.D.N.Y.)
Date Filed:
MARK R BLACHER
Current Age: 76 - 78
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MEDCO, INC. and MARK R. BLACHER, 0:97-cv-07246 (S.D. Fla.)
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.
For Search Tips and more about this tool, see About this Feature in Detail.
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.