SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
TIMOTHY R HEYMAN
Current Age: 53 - 55
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. TIMOTHY R. HEYMAN, HEYMAN INTERNATIONAL, INC., PAUL D. CARTER, and AMERICAN FINANCIAL BUSINESS, LLC, 2:04-cv-00686 (N.D. Ala.)
Date Filed:
THOMAS M HEYSEK
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CONCORDE AMERICA, INC., ABSOLUTE HEALTH AND FITNESS, INC., HARTLEY LORD, DONALD E. OEHMKE, BRYAN KOS, THOMAS M. HEYSEK, ANDREW M. KLINE, AND PAUL A. SPREADBURY, 9:05-cv-80128 (S.D. Fla.)
Date Filed:
KRISTI M HOEGEL
Also Known As: KRISTI M. CHRISTOPHER, BESSY LU
Current Age: 49 - 51
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MILLENNIUM BANK, UNITED TRUST OF SWITZERLAND S.A., UT of S, LLC, MILLENNIUM FINANCIAL GROUP, WILLIAM J. WISE, d/b/a STERLING ADMINISTRATION, d/b/a STERLING INVESTMENT SERVICES, d/b/a MILLENNIUM AVIATION, KRISTI M. HOEGEL, a/k/a KRISTI M. CHRISTOPHER, a/k/a BESSY LU, JACQUELINE S. HOEGEL, a/k/a JACQULINE S. HOEGEL, a/k/a JACKIE S. HOEGEL, PHILIPPE ANGELONI, and BRIJESH CHOPRA, 7:09-cv-00050 (N.D. Tex.)
Date Filed:
STEVEN G HOURMOUZIS
Also Known As: STEPHEN HOURMOUZIS
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. STEVEN G. HOURMOUZIS and WAYNE J. LOUGHNAN, 1:00-cv-00905 (D. Colo.)
Date Filed:
CHESTER E HOWARD
Also Known As: CHET HOWARD
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. CHESTER E. HOWARD, 2:08-cv-00221 (D. Nev.)
Date Filed:
CHENG-HSIUNG HUANG
Also Known As: CHENG-HSIUNG HUANG
Current Age: 49 - 51
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CHINA UNITED INSURANCE SERVICE, INC., & CHENG-HSIUNG HUANG, 1:18-cv-12055 (S.D.N.Y.)
Date Filed:
HOWARD WESLEY HUETHER
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CALVIN DOUGLAS BRACE, ET AL., 1:98-cv-01644 (D. Colo.)
Date Filed:
DANIEL M HUGHES
Current Age: 59 - 61
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DANIEL M. HUGHES, SEC File No. 3-14383
Date Filed:
DANIELLE HUGHES
Current Age: 54 - 56
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DIVINE CAPITAL MARKETS, LLC, DANIELLE HUGHES AND MICHAEL BUONOMO, SEC File No. 3-14274
Date Filed:
JEB L HUGHES
Current Age: 70 - 72
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. J. DONALD NICHOLS, JEB L. HUGHES and C. SHELDON WHITTELSEY, IV, 1:02-cv-00478 (N.D. Ga.)
Date Filed:
KELLEY L HUGHES
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROGER D. BLACKWELL, individually and in his capacity as trustee of the ROGER BLACKWELL & ASSOCIATES PENSION PLAN TRUST, DALE J. BLACKWELL, CHRISTIAN D. BLACKWELL, KELLEY L. HUGHES, KEVIN L. STACY, ARNOLD L. JACK and BLACK-JACK ENTERPRISES, 2:03-cv-00063 (S.D. Ohio)
Date Filed:
MICHAEL T HUGHES
Current Age: 54 - 56
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ARISTA POWER, INC., PETER KOLOKOURIS, WILLIAM A. SCHMITZ, MICHAEL T. HUGHES, JANICE PAPAPANU, MICHAEL PAPAPANU, EKATERINI KOLOKOURIS, DEMITRIOS KOLOKOURIS, ANASTASIOS KOLOKOURIS, IOANNIS “JOHN” KOLOKOURIS, SOPHIA KOLOKOURIS, TERRY BECHAKAS, 100 DEMETRIOS, INC., 200 ANASTASIOS, INC., 300 IOANNIS, INC., 400 TERRY, INC., 500 SOFIA, INC., JUST SELL GOLD, INC., AND EXPRESS GOLD CASH, INC., 1:17-cv-04598 (S.D.N.Y.)
Date Filed:
ROBERT W HUGHES
Current Age: 89 - 91
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. STEPHEN A. WHITE, ROBERT W. HUGHES, ERNEST C. BIELING, and WILLIAM D. WHITE, III, 3:03-cv-02351 (N.D. Tex.)
Date Filed:
SCOTT DAVID HUGHES
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Scott David Hughes, Esq., SEC File No. 3-21821
Date Filed:
SCOTT F HUGHES
Current Age: 54 - 56
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DANIEL P. McKELVEY, ALVIN S. MIRMAN, STEVEN SANDERS, SCOTT F. HUGHES, JEFFREY L. LAMSON and EDWARD G. SANDERS, 9:15-cv-80496 (S.D. Fla.)
Date Filed:
TERRENCE J HUGHES
Also Known As: TERRY HUGHES
Current Age: 66 - 68
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GEORGE BADGER, GOLF COMMUNITIES OF AMERICA, INC. f/k/a GOLF VENTURES, INC., DUANE MARCHANT, STEPHEN SPENCER, KARL BADGER, MARION SHERRILL, HARMON S. HARDY, JR., LA JOLLA CAPITAL FINANCIAL CORP., HAROLD B. GALLISON, JR., TERRY HUGHES, MARVIN SUSEMIHL, DAVID ROSENTHAL, WILLIAM SLONE and ANDREW SEARS, 2:97-cv-00963 (D. Utah)
Date Filed:
TERRENCE J HUGHES
Current Age: 66 - 68
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of HAROLD B. GALLISON, JR., TERRENCE J. HUGHES AND DAVID ROSENTHAL, SEC File No. 3-11634
Date Filed:
THOMAS S HUGHES
Current Age: 76 - 78
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ECONNECT and THOMAS S. HUGHES, 2:00-cv-02959 (C.D. Cal.)
Date Filed:
THOMAS S HUGHES
Current Age: 74 - 76
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. eCONNECT, THOMAS S. HUGHES, RICHARD EPSTEIN, and ALLIANCE EQUITIES, INC., 2:02-cv-06156 (C.D. Cal.)
Date Filed:
JUSTIN HUSCHER
Current Age: 70 - 72
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. JUSTIN HUSCHER, 1:06-cv-03397 (N.D. Ill.)
Date Filed:
JUSTIN HUSCHER
Current Age: 70 - 72
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JUSTIN HUSCHER, SEC File No. 3-12371
Date Filed:
WILLIAM HUTCHENS
Current Age: 66 - 68
State: New Hampshire (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of HUTCHENS INVESTMENT MANAGEMENT, INC. and WILLIAM HUTCHENS, SEC File No. 3-12290
Date Filed:
WEN CHEN HWANG
Also Known As: WENDY LEE, WEN CHEN LEE
Current Age: 62 - 64
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CKB168 HOLDINGS LTD., WIN168 BIZ SOLUTIONS LTD., CKB168 LTD., CKB168 BIZ SOLUTION, INC., CYBER KIDS BEST EDUCATION LTD., RAYLA MELCHER SANTOS, HUNG WAI ("HOWARD") SHERN, RUI LING ("FLORENCE") LEUNG, DALIANG ("DAVID") GUO, YAO LIN, CHIH HSUAN "KIKI" LIN, WEN CHEN HWANG (AKA "WENDY LEE"), TONI TONG CHEN, CHEONGWHA "HEYWOOD" CHANG, JOAN CONGYI MA (AKA "JC MA"), AND HEIDI MAO LIU (AKA "HEIDI MAO"), 1:13-cv-05584 (E.D.N.Y.)
Date Filed:
HERMAN JACOBOWITZ
Also Known As: HERMAN JACOBS
Current Age: 63 - 65
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. VICTOR JACOBOWITZ (aka VICTOR JACOBS), HERMAN JACOBOWITZ (aka HERMAN JACOBS), JACOB JACOBOWITZ (aka JACOB JACOBS), DAVID SHAMILZADEH, and IRVIN BROWN, 1:04-cv-02505 (E.D.N.Y.)
Date Filed:
ROBERT P JORDHEIM
Current Age: 60 - 62
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SURGALIGN HOLDINGS, INC., and ROBERT P. JORDHEIM, SEC File No. 3-20945
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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