SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
OTIS HERRING
Current Age: 81 - 83
State: Tennessee (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SHANE T. VAESSEN, VERONIKA M. VAESSEN, OTIS HERRING, MARVIN MOSES, TAFT WOMACK, WILLIAM MCNAMARA, DALE VAN WYK and FRANK GAINES, 8:98-cv-01964 (M.D. Fla.)
Date Filed:
OTIS HERRING
Enforcement Action: In the Matter of OTIS HERRING, SEC File No. 3-10284
Date Filed:
RICHARD A HERRON
Current Age: 81 - 83
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ALFRED S. TEO, SR., TEREN SETO HANDELMAN, MAAA TRUST FBO MARK, ANDREW, ALAN, and ALFRED TEO, JR., JOHN D. REIER, CHARLES D. FORTUNE, JERROLD J. JOHNSTON, MARK J. LAUZON, PHILIP SACKS, MITCHELL L. SACKS, RICHARD A. HERRON, LAWRENCE L. ROSEN, and DAVID M. ROSS, 2:04-cv-01815 (D.N.J.)
Date Filed:
GREGORY A HERSCH
Current Age: 45 - 47
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of FLORENCE CAPITAL ADVISORS, LLC and GREGORY A. HERSCH, SEC File No. 3-21771
Date Filed:
RANDY HERSCHAFT
Current Age: 63 - 65
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RANDY HERSCHAFT, SEC File No. 3-21290
Date Filed:
DAVID HERSH
Current Age: 60 - 62
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOSEPH C. ALLEGRA, DAVID HERSH, J. LEE LEDBETTER and H. FLYNN CLYBURN, 1:97-cv-04305 (S.D.N.Y.)
Date Filed:
DAVID HERSH
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DAVID HERSH, CPA, SEC File No. 3-9416
Date Filed:
DAVID L HERSH
Current Age: 55 - 57
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DAVID L. HERSH, 5:09-cv-00417 (E.D.N.C.)
Date Filed:
DAVID L HERSH
Current Age: 55 - 57
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DAVID L. HERSH, SEC File No. 3-13693
Date Filed:
JASON HERSHBERGER
Current Age: 46 - 48
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Jason Hershberger, SEC File No. 3-18136
Date Filed:
MARLIN S HERSHEY
Current Age: 54 - 56
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARLIN S. HERSHEY, 3:07-cv-00409 (W.D.N.C.)
Date Filed:
MARLIN S HERSHEY
Current Age: 55 - 57
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MARLIN S. HERSHEY, SEC File No. 3-20077
Date Filed:
MICHAEL L HERSHEY
Current Age: 86 - 88
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL L. HERSHEY, ROBERT D. LEAR, LANDIS ASSOCIATES, LLC, and TREMONT MEDICAL, INC., 2:04-cv-02742 (E.D. Pa.)
Date Filed:
MICHAEL L HERSHEY
Current Age: 85 - 87
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Michael L. Hershey, SEC File No. 3-12383
Date Filed:
DON S HERSHMAN
Current Age: 66 - 68
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DON S. HERSHMAN, SEC File No. 3-14218
Date Filed:
PETER HERSHMAN
Current Age: 76 - 78
State: Connecticut (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PETER HERSHMAN, ESQ., SEC File No. 3-17761
Date Filed:
SIMON A HERSHON
Current Age: 76 - 78
State: Virginia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. IBF COLLATERALIZED FINANCE CORPORATION, IBF VI – SECURED LENDING CORPORATION, INTERBANK FUNDING CORPORATION and SIMON A. HERSHON, 1:02-cv-05713 (S.D.N.Y.)
Date Filed:
SIMON A HERSHON
Current Age: 76 - 78
State: District of Columbia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SIMON A. HERSHON, SEC File No. 3-11958
Date Filed:
ANTHONY J HERTL
Current Age: 74 - 76
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of NORTHERN LIGHTS COMPLIANCE SERVICES, LLC, GEMINI FUND SERVICES, LLC, MICHAEL MIOLA, LESTER M. BRYAN, ANTHONY J. HERTL, GARY W. LANZEN, AND MARK H. TAYLOR, SEC File No. 3-15313
Date Filed:
BARRY HERTZ
Current Age: 75 - 77
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BARRY HERTZ, 1:05-cv-02848 (E.D.N.Y.)
Date Filed:
BARRY HERTZ
Current Age: 74 - 76
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of BARRY HERTZ, SEC File No. 3-12597
Date Filed:
JAMES L HERTZ
Current Age: 66 - 68
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JAMES L. HERTZ, SEC File No. 3-14455
Date Filed:
JASON HERTZ
Current Age: 51 - 53
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DELTA ONSHORE MANAGEMENT, LLC, JERRY P. JACKSON, PETER J. BROOKS, DANIEL COHEN, and JASON HERTZ, 6:08-cv-01278 (D. Kan.)
Date Filed:
JASON HERTZ
Current Age: 51 - 53
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JASON HERTZ, SEC File No. 3-13893
Date Filed:
JOHAN C HERTZOG
Current Age: 71 - 73
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DENNIS S. HERULA, MARY LEE CAPALBO aka MARY LEE CAPALBO HERULA, MARTIN D. FIFE, FAROUK A. KHAN, SEAVIEW DEVELOPMENT AND HOLDINGS, LTD., MICHAEL A. CLARKE, ROBERT M. WACHTEL, JOHAN C. HERTZOG, and CHARLES W. SULLIVAN, 1:02-cv-00154 (D.R.I.)
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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