SEC Action Lookup - Individuals (SALI)

Individuals with Court or Commission Orders Entered Against Them

THOMAS M HENDERSON

Current Age: 75 - 77
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.)
Date Filed:

MICHAEL R HENDRIX

Current Age: 66 - 68
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.)
Date Filed:

JAMES E HENGEN

Current Age: 58 - 60
State: Minnesota (per Complaint/Order Instituting Proceedings)
Enforcement Action: U.S. SECURITIES AND EXCHANGE COMMISSION v. JAMES E. HENGEN, 0:18-cv-0313 (D. Minn.)
Date Filed:

A DAVID HENGSTLER

Also Known As: DAVID HENGSTLER
Current Age: 83 - 85
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of A. DAVID HENGSTLER, SEC File No. 3-9417
Date Filed:

DAVID HENIGSON

Current Age: 67 - 69
State: Connecticut (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Value Line, Inc., Value Line Securities, Inc., Jean Bernhard Buttner, and David Henigson, SEC File No. 3-13675
Date Filed:

JOSEPH J HENNESSY

Current Age: 63 - 65
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RESOURCES PLANNING GROUP, INC., AND JOSEPH J. HENNESSY, 1:12-cv-09509 (N.D. Ill.)
Date Filed:

JOSEPH J HENNESSY

Current Age: 63 - 65
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOSEPH J. HENNESSY, SEC File No. 3-15373
Date Filed:

WILLIAM E HENNESSY

Current Age: 76 - 78
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: Securities and Exchange Commission v. Bernard Cole, William Hennessy, Douglas Hodge and Robert Steimle, 3:09-cv-02107 (N.D. Ohio)
Date Filed:

STEVEN L HENNING

Current Age: 63 - 65
State: Wisconsin (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of STEVEN L. HENNING, CPA, SEC File No. 3-20140
Date Filed:

ROBERT HENRICKS

Current Age: 48 - 50
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. TONINO LABELLA, JOHN SERUBO, ROBERT MONTANI, JR., MICHAEL WALSH, JAMES CAVALIERE, ALEXANDER RICCI, FRANK PERSICO, VINCENT LANGELLA, MICHAEL T. GARBO, ANTHONY BISCEGLIE, RAFFI OGHLIAN, JOSEPH FERRAGAMO, ADAM KLEIN, JOSEPH DEPERGOLA, CHRISTIAN C. NIGRO, DANIEL LOVAGLIO, and ROBERT HENRICKS, 2:05-cv-00852 (D.N.J.)
Date Filed:

ROBERT HENRICKS

Current Age: 49 - 51
Enforcement Action: In the Matter of ROBERT HENRICKS, SEC File No. 3-12093
Date Filed:

PAUL W HENRY

Enforcement Action: In the Matter of MONETTA FINANCIAL SERVICES, INC., ROBERT S. BACARELLA, WILLIAM M. VALIANT, PAUL W. HENRY and RICHARD D. RUSSO, SEC File No. 3-9546
Date Filed:

SUSAN L HENRY

State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Susan L. Henry, SEC File No. 3-9647
Date Filed:

TORSTEN THOMAS HENSCHKE

Current Age: 69 - 71
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. IPIC INTERNATIONAL, INC., a/k/a I.P.I.C. International, a/k/a International Product Investment Corp., a/k/a IPIC Investments, Inc., a/k/a IPIC Invests, Inc., IPIC ATLANTIC LLC, HOME RECOVERY NETWORK, INC., GREGORY SETSER, CYNTHIA SETSER, CHARNELLE SETSER, DEBORAH SETSER, CHARMAINE SEARS, and TORSTEN THOMAS HENSCHKE, 3:03-cv-02781 (N.D. Tex.)
Date Filed:

PAUL MELVIN HENSON JR

Current Age: 66 - 68
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Paul Melvin Henson, Jr., SEC File No. 3-11496
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.