SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
DENNIS J SHEPARD
Current Age: 79 - 81
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL G. SARGENT, DENNIS J. SHEPARD, ROBERT J. SCHARN, and ROBERT L. BAKER, 1:96-cv-01060 (D. Mass.)
Date Filed:
GREGORY M SHEPARD
Current Age: 68 - 70
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GREGORY M. SHEPARD, SEC File No. 3-10290
Date Filed:
GREGORY M SHEPARD
Current Age: 68 - 70
Enforcement Action: In the Matter of Gregory M. Shepard, SEC File No. 3-16064
Date Filed:
JAMES ALEXANDER SHEPHERD
Current Age: 68 - 70
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JAMES ALEXANDER SHEPHERD, SEC File No. 3-15831
Date Filed:
MURRY SHEPHERD
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. HARRIS DEMPSEY BALLOW, CHRISTOPHER HARLESS, MURRY SHEPHERD and DIANE L. JOHNSON, 4:01-cv-02579 (S.D. Tex.)
Date Filed:
DEAN JOSEPH SHEPTYCKI
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GEORGE DAVID GORDON, JOSHUA WAYNE LANKFORD, and DEAN JOSEPH SHEPTYCKI, 4:09-cv-00061 (N.D. Okla.)
Date Filed:
BRUCE MATTHEW SHER
Current Age: 60 - 62
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MERGENET MEDICAL INC., BRUCE MATTHEW SHER, SHARA ANNE HERNANDEZ, and PETER ANTHONY DECICCO JR., SEC File No. 3-18253
Date Filed:
HILLEL SHER
Current Age: 73 - 75
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AUTOCORP EQUITIES, INC., MICHAEL CARNICLE, ROBERT CORD BEATTY, HILLEL SHER, AMOTZ FRENKEL and NILI FRENKEL, 2:98-cv-00562 (D. Utah)
Date Filed:
MITCHELL Y SHER
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MITCHELL Y. SHER, 1:98-cv-03469 (S.D.N.Y.)
Date Filed:
ROBERT J SHER
State: Maryland (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. LAWRENCE J. ROSENFELD, ROBERT J. SHER and JENNIFER R. WEISS, 1:99-cv-02465 (D.D.C.)
Date Filed:
STEVEN J SHERB
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SHERB & CO., LLP, STEVEN J. SHERB, CPA, CHRISTOPHER A. VALLEAU, CPA, MARK MYCIO, CPA, and STEVEN N. EPSTEIN, CPA, SEC File No. 3-15609
Date Filed:
JOSEPH SHERESHEVSKY
Also Known As: YOSSI SHERESHEVSKY, JOSEPH HELLER
Current Age: 68 - 70
State: Virginia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. STEVEN BYERS, JOSEPH SHERESHEVSKY, WEXTRUST CAPITAL, LLC, WEXTRUST EQUITY PARTNERS, LLC, WEXTRUST DEVELOPMENT GROUP, LLC,WEXTRUST SECURITIES, LLC, and AXELA HOSPITALITY, LLC, 1:08-cv-07104 (S.D.N.Y.)
Date Filed:
JOSEPH SHERESHEVSKY
Current Age: 67 - 69
Enforcement Action: In the Matter of JOSEPH SHERESHEVSKY, SEC File No. 3-14430
Date Filed:
JAMES SHERET JR
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JAMES SHERET, JR. and GLENN E. CONLEY, 1:00-cv-01411 (S.D.N.Y.)
Date Filed:
DERMOT SHERIDAN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JARON EQUITIES CORP., SHERIDAN MANHATTAN GROUP, INC. and DERMOT SHERIDAN, SEC File No. 3-9285
Date Filed:
GARETH SHERIDAN
Current Age: 35 - 37
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Nutriband, Inc., Gareth Sheridan and Serguei Melnik, SEC File No. 3-18956
Date Filed:
PETER SHERLOCK
Current Age: 52 - 54
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PETER SHERLOCK, SEC File No. 3-13338
Date Filed:
DAVID G SHERMAN
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. VARI-L COMPANY, INC., DAVID G. SHERMAN, JON L. CLARK, and SARAH E. HUME, 1:01-cv-01903 (D. Colo.)
Date Filed:
JARROD A SHERMAN
Current Age: 49 - 51
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of STRATEGIC PLANNING GROUP, INC., DAVID A. ROURKE, and JARROD A. SHERMAN, SEC File No. 3-19498
Date Filed:
MARC SHERMAN
Current Age: 60 - 62
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MARC SHERMAN, SEC File No. 3-15992
Date Filed:
MARVIN SHERMAN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CNC TRADING COMPANY, INC., 3:96-cv-04620 (D.N.J.)
Date Filed:
MICHAEL D SHERMAN
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL D. SHERMAN and SCOTT P. SHERMAN, 0:00-cv-03045 (E.D.N.Y.)
Date Filed:
PAUL J SHERMAN
Enforcement Action: In the Matter of OAKWOOD COUNSELORS, INC. and PAUL J. SHERMAN, SEC File No. 3-9243
Date Filed:
ROGER SHERMAN
Current Age: Over 90
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JACK A. BROWN, JULES B. FLEDER, BERNARD WARE, ROGER SHERMAN, TYLER REAL ESTATE, LLC, MODEL PROPERTIES, INC., SMITH MOUNTAIN LAKE, LLC, COUNTRY LAKE ESTATES, INC., PRAIRIE LAKE ESTATES, L.P., and BIG PINE REAL ESTATE DEVELOPMENT, INC., 6:04-cv-00537 (E.D. Tex.)
Date Filed:
SCOTT P SHERMAN
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL D. SHERMAN and SCOTT P. SHERMAN, 0:00-cv-03045 (E.D.N.Y.)
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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