SEC Action Lookup - Individuals (SALI)

Individuals with Court or Commission Orders Entered Against Them

DAVID SCOTT HEREDIA

Enforcement Action: In the Matter of DAVID SCOTT HEREDIA, SEC File No. 3-10025
Date Filed:
Releases & Documents:

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:
Releases & Documents:

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:
Releases & Documents:

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:
Releases & Documents:

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:
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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:
Releases & Documents:

GREGORY P HERLEAN

Current Age: 46 - 48
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CAPSOURCE, INC., STEPHEN J. BYRNE, and GREGORY P. HERLEAN, 2:20-cv-02303 (D. Nev.)
Date Filed:
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GREGORY P HERLEAN

Current Age: 45 - 47
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GREGORY P. HERLEAN, SEC File No. 3-20289
Date Filed:
Releases & Documents:

WILLIAM HERLYN

Current Age: 56 - 58
State: Connecticut (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:
Releases & Documents:

JACOB HERMAN

Current Age: 62 - 64
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ARI PARNES, ADAR EQUITIES, LLC, SHAUEL SEITLER, JACOB HERMAN, YEZHAK DOV KNOLL, and MYRON RAISMAN, 1:01-cv-00763 (S.D.N.Y.)
Date Filed:
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JUSTIN W HERMAN

State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PHILLIP W. OFFILL, JR. and JUSTIN W. HERMAN, 3:22-cv-00121 (N.D. Tex.)
Date Filed:
Releases & Documents:

JUSTIN WALLACE HERMAN

Current Age: 53 - 55
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Justin Wallace Herman, SEC File No. 3-20839
Date Filed:
Releases & Documents:

PHILLIP HERMAN

Current Age: 77 - 79
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PHILLIP HERMAN, MARC WEIN, MILLENNIUM SERVICES CORP., and BRANIN INVESTMENTS, INC., 1:00-cv-05575 (S.D.N.Y.)
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Displaying 676 - 700 of 1541

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.

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