SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
JUSTIN WALLACE HERMAN
Current Age: 53 - 55
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Justin Wallace Herman, SEC File No. 3-20839
Date Filed:
PHILLIP HERMAN
Current Age: 77 - 79
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PHILLIP HERMAN, MARC WEIN, MILLENNIUM SERVICES CORP., and BRANIN INVESTMENTS, INC., 1:00-cv-05575 (S.D.N.Y.)
Date Filed:
ROBERT HERMAN
Current Age: 62 - 64
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DEREK COHEN, MICHAEL FLEISCHLI and ROBERT HERMAN, 3:14-cv-01189 (S.D. Cal.)
Date Filed:
ROSALIND HERMAN
Current Age: 68 - 70
State: Connecticut (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROSALIND HERMAN, SEC File No. 3-17828
Date Filed:
VICTOR HERMAN
Current Age: 83 - 85
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SOLUCORP INDUSTRIES LTD., JOSEPH S. KEMPROWSKI, PETER R. MANTIA, JAMES G. SPARTZ, ROBERT KUHN, VICTOR HERMAN, ARLE PIERRO, W. BRYAN FAIR and GLENN R. OHLHAUSER, 7:99-cv-11965 (S.D.N.Y.)
Date Filed:
VICTOR HERMAN
Current Age: 82 - 84
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of VICTOR HERMAN, CPA, SEC File No. 3-11314
Date Filed:
DAVID J HERNANDEZ
Current Age: 63 - 65
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DAVID J. HERNANDEZ, also doing business as "NEXTSTEP FINANCIAL SERVICES, INC.", 1:09-cv-03587 (N.D. Ill.)
Date Filed:
DIEGO F HERNANDEZ
Current Age: 50 - 52
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DIEGO F. HERNANDEZ, THE WEALTH MANAGEMENT PARTNERS, LLC, WEALTH FINANCIAL, LIMITED LIABILITY COMPANY, DFHR INVESTMENTS, INC., and HD MILE HIGH MARKETING, INC., SEC File No. 3-15518
Date Filed:
LOUIS HERNANDEZ JR
Current Age: 57 - 59
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BLACK DRAGON CAPITAL, LLC, BLACK DRAGON CAPITAL INVESTMENT MANAGEMENT, LLC a/k/a BLACK DRAGON CAPITAL INVESTMENT MANAGEMENT, INC., and LOUIS HERNANDEZ, JR., 9:24-cv-81067 (S.D. Fla.)
Date Filed:
RAYMOND HERNANDEZ
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROBIN BREITNER, JOHN DIBELLA, RAYMOND HERNANDEZ, RICHARD MOLINSKY, RICHARD SMITH, and RICHARD GAYDOS, SEC File No. 3-11105
Date Filed:
SHARA ANNE HERNANDEZ
Current Age: 69 - 71
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MERGENET MEDICAL INC., BRUCE MATTHEW SHER, SHARA ANNE HERNANDEZ, and PETER ANTHONY DECICCO JR., SEC File No. 3-18253
Date Filed:
LUCIA MARlANA HERNANDO
Also Known As: LUCIA MARlANA HERNANDO
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MAGDALENA TAVELLA, ANDRES HORACIO FICICCHlA, GONZALO GARCIA BLAYA, LUCIA MARlANA HERNANDO, CECILIA DE LORENZO, ADRIANA ROSA BAGATTIN, DANIELA PATRICIA GOLDMAN, MARIANO PABLO FERRARI, MARIANO GRACIARENA, and FERNANDO LOUREYRO, 1:13-cv-04609 (S.D.N.Y.)
Date Filed:
JACK C HERNDON JR
State: Tennessee (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of THOMAS J. PARKER and JACK C. HERNDON, JR., SEC File No. 3-10136
Date Filed:
ROBERT G HERNDON
Current Age: Over 90
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROBERT G. HERNDON, 4:00-cv-01564 (N.D. Tex.)
Date Filed:
ROBERT G HERNDON
Current Age: Over 90
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROBERT G. HERNDON, SEC File No. 3-10348
Date Filed:
M JAY HEROD
Also Known As: JAY HEROD
Current Age: 57 - 59
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PIXARBIO CORP., FRANCIS M. REYNOLDS, KENNETH A. STROMSLAND and M. JAY HEROD, 1:18-cv-10797 (D. Mass.)
Date Filed:
KEVIN J HERON
Current Age: 65 - 67
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. KEVIN J. HERON, 2:07-cv-01542 (E.D. Pa.)
Date Filed:
KEVIN J HERON
Current Age: 64 - 66
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of KEVIN J. HERON, SEC File No. 3-13339
Date Filed:
JOHN A HEROPOULOS
Current Age: 59 - 61
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOHN A. HEROPOULOS, SEC File No. 3-22445
Date Filed:
ALAN HERR
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:
ALAN HERR
Enforcement Action: In the Matter of PHILIP FORMA, SR., ALAN HERR, HERBERT HERR, and STANLEY MINDEL, SEC File No. 3-9068
Date Filed:
HERBERT HERR
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:
HERBERT HERR
Enforcement Action: In the Matter of PHILIP FORMA, SR., ALAN HERR, HERBERT HERR, and STANLEY MINDEL, SEC File No. 3-9068
Date Filed:
JACOB B HERRERA
Current Age: 34 - 36
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROBERT L. BAKER, JACOB B. HERRERA, MICHAEL D. BOWEN and TERRENCE A. BALLARD, SEC File No. 3-17716
Date Filed:
JAMES G HERRING JR
Current Age: 50 - 52
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ERNST & YOUNG LLP, JAMES G. HERRING, JR., CPA, JAMES A. YOUNG, CPA, AND CURT W. FOCHTMANN, CPA, SEC File No. 3-20447
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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