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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.)
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.)
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.)
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.)
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.)
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
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.)
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.)
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.)
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.
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.