See also case number 5:00-cv-00439 (C.D. Cal.) (change of venue).
SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
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:
PAUL MELVIN HENSON JR
State: Tennessee (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PAUL MELVIN HENSON, JR. and LANCE TURNER FAIR, 2:04-cv-02394 (W.D. Tenn.)
Date Filed:
ROBERT HENUSET
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROBERT HENUSET, 1:05-cv-02135 (D.D.C.)
Date Filed:
DAVID D HEPWORTH
Current Age: 66 - 68
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DAVID D. HEPWORTH, SEC File No. 3-13951
Date Filed:
ELEAZER I HERACLEOPOLIS
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. HOME SHOPPING PARTNERS, TELSYS COMMUNICATIONS, INC., and ELEAZER I. HERACLEOPOLIS, 2:99-cv-05512 (C.D. Cal.)
Date Filed:
Other Information:
LISA C HERBST
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. LISA C. HERBST, 3:99-cv-00621 (N.D. Cal.)
Date Filed:
DAVID S HEREDIA
Current Age: 53 - 55
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DAVID S. HEREDIA and RAYLEN PARRA, 6:02-cv-00218 (M.D. Fla.)
Date Filed:
DAVID SCOTT HEREDIA
Current Age: 53 - 55
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DAVID SCOTT HEREDIA, 9:97-cv-06091 (E.D.N.Y.)
Date Filed:
DAVID SCOTT HEREDIA
Enforcement Action: In the Matter of DAVID SCOTT HEREDIA, SEC File No. 3-10025
Date Filed:
HARRY H HERINGTON
Current Age: 63 - 65
State: Kansas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. NIC INC., JEFFERY S. FRASER, HARRY H. HERINGTON, and ERIC J. BUR, 2:11-cv-02016 (D. Kan.)
Date Filed:
WILLIAM J HERISKO
Current Age: Over 90
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. U. S. RESERVATION BANK & TRUST; HIGHER INVESTMENTS TECHNOLOGIES, INC.; GLOBAL-LINK CAPITAL MARKETS, LTD.; EDWARD J. DRIVING HAWK, SR.; LEO R. DRIVING HAWK, SR.; JOHN M. ADAMS; EDMUND J. SMEDLEY; KENNETH S. HARRISON; WILLIAM J. HERISKO; and THOMAS T. EMERTON, III, 2:02-cv-00581 (D. Ariz.)
Date Filed:
WILLIAM J HERISKO
Current Age: Over 90
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of WILLIAM J. HERISKO, SEC File No. 3-13743
Date Filed:
CRAIG A HERL
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARK MAY, CRAIG A. HERL, USA FINANCIAL NETWORK, INC., S-CORP FINANCIAL, INC., BANCORP MORTGAGE, INC., BILTMORE DEVELOPMENT CORPORATION, and NETWORK FINANCE CORP., 3:98-cv-00468 (S.D. Ohio)
Date Filed:
CRAIG A HERL
Current Age: 64 - 66
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CRAIG A. HERL, SEC File No. 3-10966
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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