SEC Action Lookup - Individuals (SALI)

Individuals with Court or Commission Orders Entered Against Them

JOHAN C HERTZOG

Current Age: 71 - 73
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DENNIS S. HERULA, MARY LEE CAPALBO aka MARY LEE CAPALBO HERULA, MARTIN D. FIFE, FAROUK A. KHAN, SEAVIEW DEVELOPMENT AND HOLDINGS, LTD., MICHAEL A. CLARKE, ROBERT M. WACHTEL, JOHAN C. HERTZOG, and CHARLES W. SULLIVAN, 1:02-cv-00154 (D.R.I.)
Date Filed:
Releases & Documents:

DENNIS S HERULA

Current Age: 76 - 78
State: Rhode Island (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DENNIS S. HERULA, MARY LEE CAPALBO aka MARY LEE CAPALBO HERULA, MARTIN D. FIFE, FAROUK A. KHAN, SEAVIEW DEVELOPMENT AND HOLDINGS, LTD., MICHAEL A. CLARKE, ROBERT M. WACHTEL, JOHAN C. HERTZOG, and CHARLES W. SULLIVAN, 1:02-cv-00154 (D.R.I.)
Date Filed:
Releases & Documents:

DENNIS S HERULA

Current Age: 76 - 78
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CLAUDE LEFEBVRE, DENNIS S. HERULA, RMO ASSETS MANAGEMENT SA, and WATCH HILL CAPITAL MANAGEMENT LLC, 3:02-cv-03704 (N.D. Cal.)
Date Filed:
Releases & Documents:

DENNIS S HERULA

State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DENNIS S. HERULA, SEC File No. 3-10931
Date Filed:
Releases & Documents:

TERESE HERWICK

Current Age: 72 - 74
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. NATIONAL FINANCIAL SYSTEMS, INC. AND TERESE HERWICK, 2:03-cv-06908 (C.D. Cal.)
Date Filed:
Releases & Documents:

TERESE HERWICK

Current Age: 72 - 74
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Terese Herwick, SEC File No. 3-11576
Date Filed:
Releases & Documents:

CHRISTOPHER HERWIG

Current Age: 45 - 47
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHRISTOPHER HERWIG, SEC File No. 3-21545
Date Filed:
Releases & Documents:

GARY D HERWITZ

Current Age: 69 - 71
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GARY D. HERWITZ and TRACEY A. STANYER, 1:05-cv-10622 (S.D.N.Y.)
Date Filed:
Releases & Documents:

LAWRENCE J HERZING

State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of LAWRENCE J. HERZING, CPA, SEC File No. 3-16578
Date Filed:
Releases & Documents:

MICHAEL S HESS

State: Kansas (per Complaint/Order Instituting Proceedings)
Enforcement Action: Securities and Exchange Commission v. Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas, 2:11-cv-02251 (D. Kan.)
Date Filed:
Releases & Documents:

NORMAN R HESS

Current Age: 87 - 89
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHARLES W. CROUSE and NORMAN R. HESS, SEC File No. 3-11515
Date Filed:
Releases & Documents:

PAUL HESS

Current Age: 68 - 70
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL A. LIBERTY; BRITTANY LIBERTY; PAUL HESS; RICHARD LIBERTY; GEORGE MARCUS, ESQ.; MOZIDO INVESCO, LLC; FAMILY MOBILE, LLC; BRTMDO, LLC; BRENTWOOD FINANCIAL, LLC; and, TL HOLDINGS GROUP, LLC, 2:18-cv-00139 (D. Me.)
Date Filed:
Releases & Documents:

PAUL HESS

Current Age: 68 - 70
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MEDSIS INTERNATIONAL, INC.; JOSHUA DAX CABRERA; and PAUL HESS, 1:21-cv-11356 (D. Mass.)
Date Filed:
Releases & Documents:

PAUL HESS

Current Age: 67 - 69
State: New Mexico (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of PAUL HESS, SEC File No. 3-21271
Date Filed:
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Displaying 751 - 775 of 1469

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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