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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.)
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.)
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.)
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
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.
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.