SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
CHEONGWHA CHANG
Also Known As: HEYWOOD CHANG
Current Age: 57 - 59
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHEONGWHA “HEYWOOD” CHANG, SEC File No. 3-17328
Date Filed:
NANCY J CHEAL
Current Age: 84 - 86
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. NANCY J. CHEAL, individually and d/b/a RELIEF ENTERPRISE, 1:00-cv-10182 (D. Mass.)
Date Filed:
STEPHEN D CHEANEY
Current Age: 69 - 71
State: Michigan (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Rodney A. Smith, Michael Santicchia, CPA, and Stephen D. Cheaney, CPA, SEC File No. 3-15645
Date Filed:
ROGER S CHEDESTER
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. KENNETH E. EDWARDS, ROGER S. CHEDESTER, DONALD E. LUNA, A.R. GRANT MOREHOUSE, AND THE FIRST AMERICAN COMPANIES, INC., 2:96-cv-01716 (E.D. Cal.)
Date Filed:
VLADIMIR CHEKHOLKO
Current Age: 64 - 66
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CentreInvest, Inc., OOO CentreInvest Securities, Vladimir Chekholko, William Herlyn, Dan Rapoport, and Svyatoslav Yenin, SEC File No. 3-13304
Date Filed:
VLADIMIR CHEKHOLKO
Current Age: 62 - 64
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. VLADIMIR CHEKHOLKO, 1:09-cv-06937 (S.D.N.Y.)
Date Filed:
GEORGE CHELEKIS
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GEORGE CHELEKIS, KGC, INC., AND HOT STOCKS REVIEW, INC., 1:97-cv-00374 (D.D.C.)
Date Filed:
KRIS CHELLAM
Current Age: 72 - 74
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of KRIS CHELLAM, SEC File No. 3-15169
Date Filed:
FREDERICK C CHELLY
Current Age: 55 - 57
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SCOTT I. KUPERSMITH and FREDERICK C. CHELLY, 2:11-cv-06277 (D.N.J.)
Date Filed:
SAMUEL CHEMOUNY
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AVY AMOUYAL, ANDRE AMOUYAL, PINHAS AMOUYAL, SAMUEL CHEMOUNY, SERGE HADDAD, MARC BITAN, BERNARD BRACHA, GERARD PARIENTE, FRANK NACCACHE and ARNAUD MIMRAN, 1:00-cv-02029 (S.D.N.Y.)
Date Filed:
ANDY CHIN FONG CHEN
Current Age: 56 - 58
State: Washington (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ANDY CHIN FONG CHEN, CPA, SEC File No. 3-21239
Date Filed:
ANDY SHIN FONG CHEN
Current Age: 58 - 60
State: Washington (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ANDY SHIN FONG CHEN AND AERO SPACE PORT INTERNATIONAL GROUP, INC., 2:17-cv-00405 (W.D. Wash.)
Date Filed:
CHARLIE JINAN CHEN
Current Age: 54 - 56
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CHARLIE JINAN CHEN, 1:18-cv-10657 (D. Mass.)
Date Filed:
CHING HWA CHEN
Current Age: 71 - 73
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CHING HWA CHEN, 5:14-cv-01467 (N.D. Cal.)
Date Filed:
EDWARD CHEN
Also Known As: Jianqiao Chen, Jian Qiao Chen, Jian Chen
Current Age: 56 - 58
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. EDWARD CHEN, JEAN CHEN, HOME PARADISE INVESTMENT CENTER LLC, GH INVESTMENT LP, GH DESIGN GROUP, LLC, GOLDEN GALAXY LP, AND MEGA HOME, LLC, 2:17-cv-06929 (C.D. Cal.)
Date Filed:
EVA YI-FEN CHEN
Current Age: 64 - 66
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DANIEL FONGNIEN CHIANG and EVA YI-FEN CHEN, 1:07-cv-00285 (D.D.C.)
Date Filed:
JACK C CHEN
Current Age: 57 - 59
State: New Hampshire (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. FERNANDO J. ESPUELAS, JACK C. CHEN, STEVEN J. HELLER, PETER R. MORALES, WALTHER MÖLLER, BETSY D. SCOLNIK, ADRIANA J. KAMPFNER, and PETER E. BLACKER, 1:06-cv-02435 (S.D.N.Y.)
Date Filed:
JEAN CHEN
Also Known As: Jing Jiang, Jean Jiang
Current Age: 55 - 57
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. EDWARD CHEN, JEAN CHEN, HOME PARADISE INVESTMENT CENTER LLC, GH INVESTMENT LP, GH DESIGN GROUP, LLC, GOLDEN GALAXY LP, AND MEGA HOME, LLC, 2:17-cv-06929 (C.D. Cal.)
Date Filed:
MAGGIE CHEN
Current Age: 48 - 50
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MAGGIE CHEN, SEC File No. 3-22038
Date Filed:
RONG CHEN
Current Age: 56 - 58
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: U.S. SECURITIES AND EXCHANGE COMMISSION v. RONG CHEN, 2:18-cv-07840 (C.D. Cal.)
Date Filed:
RUBEN CHEN
Also Known As: RUOPIAN CHEN
Current Age: 51 - 53
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JENNIFER XUJIA WANG, and RUBEN a/k/a RUOPIAN CHEN and ZHILING FENG, 1:07-cv-03715 (S.D.N.Y.)
Date Filed:
RUBIN CHEN
Also Known As: RUBEN CHEN, RUOPIAN CHEN
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RUBIN CHEN a/k/a RUBEN CHEN a/k/a RUOPIAN CHEN, SEC File No. 3-13098
Date Filed:
SANDRA CHEN
Current Age: 55 - 57
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Anderson Bradshaw PLLC, Russell Anderson, CPA, Sandra Chen, CPA, and William Denney, CPA, SEC File No. 3-17816
Date Filed:
SHENG LI CHEN
Current Age: 39 - 41
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. WENSHENG LIN and SHENG LI CHEN, 1:17-cv-03054 (S.D.N.Y.)
Date Filed:
SHUANG CHEN
Current Age: 38 - 40
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SHUANG CHEN, WENWEN DU, LIRONG GAO, JING GUAN, TONGHUI JIA, XUEJIE JIA, VICKY LIU, HONGLEI SHI, SHUN SUI, LUJUN SUN, HUAILONG WANG, JIADONG WANG, JIAFENG WANG, JIALI WANG, XIAOSONG WANG, LINLIN WU, LIN XING, YONG YANG, JIANCHENG ZHAO, and FORREST (HK) CO., LIMITED, 1:19-cv-12127 (D. Mass.)
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.
For Search Tips and more about this tool, see About this Feature in Detail.
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.