SEC Action Lookup - Individuals (SALI)

Individuals with Court or Commission Orders Entered Against Them

DENNIS LINDSAY HELLIWELL

Current Age: 65 - 67
Enforcement Action: In the Matter of DENNIS LINDSAY HELLIWELL, SEC File No. 3-9210
Date Filed:

GEORGE T HELM JR

State: Rhode Island (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. WILLIAM E. KRAEMER, DONALD E. McCOURT, GEORGE T. HELM, JR. and ROBIN L. SAMPSON, 1:01-cv-00358 (D.R.I.)
Date Filed:

GEORGE T HELM JR

Current Age: 85 - 87
State: Rhode Island (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GEORGE T. HELM, JR., SEC File No. 3-10599
Date Filed:

RODNEY W HELM

State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Rodney W. Helm, SEC File No. 3-9843
Date Filed:

RAYMOND L HELMS

Current Age: Over 90
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL R. HENDRIX, DOUGLAS S. SAWAMURA, JEFFREY S. SUMMERLIN, JAMES A.S. LEWIS, CRAIG A. LARREW, SAN H. MAI, BICH THI HOANG, LINH NGOC VU, NICK S. PARK, JOHN H. OH, TIMOTHY J. HELMS and RAYMOND L. HELMS, 5:00-cv-20655 (N.D. Cal.)
Date Filed:

ROBERT A HELMS

State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROBERT A. HELMS, JANNIECE S. KAELIN, DEVEN SELLERS, ROLAND BARRERA, VENDETTA ROYALTY PARTNERS, LTD., VENDETTA ROYALTY MANAGEMENT, LLC, VESTA ROYALTY PARTNERS, LP, VESTA ROYALTY MANAGEMENT, LLC, IRON ROCK ROYALTY PARTNERS, LP, IRON ROCK ROYALTY MANAGEMENT, LLC, ARCADY RESOURCES, LLC, BAREFOOT MINERALS, G.P., G3 MINERALS, LLC, HALEY OIL COMPANY, INC., LAKE ROCK, LLC, SEBUD MINERALS, LLC, and TECHNICOLOR MINERALS, G.P., 1:13-cv-01036 (W.D. Tex.)
Date Filed:

TIMOTHY J HELMS

Current Age: 65 - 67
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL R. HENDRIX, DOUGLAS S. SAWAMURA, JEFFREY S. SUMMERLIN, JAMES A.S. LEWIS, CRAIG A. LARREW, SAN H. MAI, BICH THI HOANG, LINH NGOC VU, NICK S. PARK, JOHN H. OH, TIMOTHY J. HELMS and RAYMOND L. HELMS, 5:00-cv-20655 (N.D. Cal.)
Date Filed:

FREDDIE J HEMBREE

Current Age: 69 - 71
State: Kansas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL J. MCNAUL, II, DALE C. LUCAS, GREGG KRAUSE, LLOYD F. NUNNS, RUSSELL W. KILGARIFF, STEVEN L. TALLMAN, FREDDIE J. HEMBREE, RAYMOND L. LEONARD, JR., MID WESTERN NATURAL GAS, INC., and MARK DuBOISE, 6:08-cv-01159 (D. Kan.)
Date Filed:

WARREN HEMEDINGER

Also Known As: WARREN HEMINGER
Current Age: 59 - 61
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOHN W. SURGENT, BARRY ABRAMS, WARREN HEMEDINGER, SCOTT PICCININNI, PAUL TAHAN, ROBERT VITALE, MARK CHAVEZ, SAL PUCCIO and VICTOR A. LESSINGER, 0:04-cv-60493 (S.D. Fla.)
Date Filed:

ROBERT A HEMM

Current Age: Over 90
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROBERT A. HEMM, SEC File No. 3-16298
Date Filed:

SEAN C HENAGHAN

Current Age: 51 - 53
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Sean C. Henaghan, CPA, John E. Rainis, CPA, Leland E. Graul, CPA, James J. Gerace, CPA, and Wendy M. Hambleton, CPA, SEC File No. 3-16797
Date Filed:

BRETT S HENDERSON

Current Age: 49 - 51
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BRETT S. HENDERSON AND RICHARD F. RANDALL, 3:99-cv-03677 (N.D. Cal.)
Date Filed:

BRETT S HENDERSON

Current Age: 48 - 50
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of BRETT S. HENDERSON, SEC File No. 3-10376
Date Filed:

DAVID B HENDERSON

Current Age: 85 - 87
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DAVID B. HENDERSON, INDEPENDENT FUNDING LTD./NEVADA, INDEPENDENT FUNDING, INC., and JESS L. MERCER, 3:03-cv-02661 (N.D. Tex.)
Date Filed:

EDWARD HENDERSON

Current Age: 82 - 84
State: Rhode Island (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. EDWARD HENDERSON and PAUL DESJOURDY, 1:11-cv-12116 (D. Mass.)
Date Filed:

JOHN HENDERSON

Current Age: 72 - 74
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOHN HENDERSON and GLOBAL RESOURCES LEADERSHIP, LLC, 1:19-cv-06183 (N.D. Ill.)
Date Filed:

RICHARD D HENDERSON

State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RICHARD D. HENDERSON, SEC File No. 3-9386
Date Filed:

THOMAS M HENDERSON

Current Age: 75 - 77
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SAN FRANCISCO REGIONAL CENTER, LLC; THOMAS M. HENDERSON; CALIFORNIA GOLD MEDAL, L.P.; CALLSOCKET, L.P.; CALLSOCKET II, L.P.; CALLSOCKET III, L.P.; COMPREHENSIVE CARE OF OAKLAND, L.P.; NA3PL, L.P.; WEST OAKLAND PLAZA, L.P.; CALLSOCKET, LLC; CALLSOCKET II, LLC; CALLSOCKET III, LLC; COMPREHENSIVE CARE OF CALIFORNIA, LLC; IMMEDIA, LLC; and NORTH AMERICA 3PL, LLC, 3:17-cv-00223 (N.D. Cal.)
Date Filed:

MICHAEL R HENDRIX

Current Age: 66 - 68
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL R. HENDRIX, DOUGLAS S. SAWAMURA, JEFFREY S. SUMMERLIN, JAMES A.S. LEWIS, CRAIG A. LARREW, SAN H. MAI, BICH THI HOANG, LINH NGOC VU, NICK S. PARK, JOHN H. OH, TIMOTHY J. HELMS and RAYMOND L. HELMS, 5:00-cv-20655 (N.D. Cal.)
Date Filed:

JAMES E HENGEN

Current Age: 58 - 60
State: Minnesota (per Complaint/Order Instituting Proceedings)
Enforcement Action: U.S. SECURITIES AND EXCHANGE COMMISSION v. JAMES E. HENGEN, 0:18-cv-0313 (D. Minn.)
Date Filed:

A DAVID HENGSTLER

Also Known As: DAVID HENGSTLER
Current Age: 83 - 85
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of A. DAVID HENGSTLER, SEC File No. 3-9417
Date Filed:

DAVID HENIGSON

Current Age: 67 - 69
State: Connecticut (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson, SEC File No. 3-13675
Date Filed:

JOSEPH J HENNESSY

Current Age: 63 - 65
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RESOURCES PLANNING GROUP, INC., AND JOSEPH J. HENNESSY, 1:12-cv-09509 (N.D. Ill.)
Date Filed:

JOSEPH J HENNESSY

Current Age: 63 - 65
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOSEPH J. HENNESSY, SEC File No. 3-15373
Date Filed:

WILLIAM E HENNESSY

Current Age: 76 - 78
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: Securities and Exchange Commission v. Bernard Cole, William Hennessy, Douglas Hodge and Robert Steimle, 3:09-cv-02107 (N.D. Ohio)
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.

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