Note: See also case number 2:97-cv-09150 (C.D. Cal.) (change of venue).
SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
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:
ROBERT D HESSELGESSER
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: IN THE MATTER OF ROBERT D. HESSELGESSER, CPA, SEC File No. 3-17214
Date Filed:
DAVID A HESTERMAN
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PANWORLD MINERALS INTERNATIONAL, INC., ROBERT G. WEEKS, KENNETH L. WEEKS, DAVID A. HESTERMAN, LARRY KRASNY, L.K. MANAGEMENT, INC., JOSEPH FABIILLI, PURITAN COMMUNICATIONS, INC., JEROME WENGER, AND RANDALL GILBERT, 2:97-cv-00425 (D. Utah)
Date Filed:
DAVID A HESTERMAN
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JETHRO J. BARLOW, CPA, ALAN K. BURTON, J. EDWARDS COX, ROBERT G. WEEKS, DAVID A. HESTERMAN, and KENNETH L. WEEKS, SEC File No. 3-9952
Date Filed:
JOHN C HETHERINGTON
State: Minnesota (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. OMNI INTERNATIONAL TRADING, INC., DANIEL J. BUBALO, JOHN C. HETHERINGTON, MICHAEL A. WILCOX, DANIEL L. KOEHLER, BRIAN E. FARLEY and SCOTT A. RUDE, 0:97-cv-02116 (D. Minn.)
Date Filed:
ROBERT P HETZER
Current Age: 65 - 67
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROBERT P. HETZER, SEC File No. 3-12382
Date Filed:
JAMES HEUSCHNEIDER
Current Age: 67 - 69
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SYMBOL TECHNOLOGIES, INC., TOMO RAZMILOVIC, KENNETH JAEGGI, LEONARD GOLDNER, BRIAN BURKE, MICHAEL DEGENNARO, FRANK BORGHESE, CHRISTOPHER DESANTIS, JAMES HEUSCHNEIDER, GREGORY MORTENSON, JAMES DEAN, and ROBERT DONLON, 2:04-cv-02276 (E.D.N.Y.)
Date Filed:
STEVEN P HEVELL
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICROWEST INDUSTRIES, INC., MICROWEST INCOME FUND, MICROWEST MICROSYSTEMS, INC., STEVEN P. HEVELL, JOSEPH G. OBEY, ALLAN T. MATZAT, ELLSWORTH L. BROUILLETTE, NEAL C. HARPER, DWIGHT H. STEPHENS, JIM D. JAMES, BLAKE T. WARD, THOMAS J. PERKINS, and ANTHONY F. MOSS, 8:97-cv-00748 (C.D. Cal.)
Date Filed:
Other Information:
STEVEN P HEVELL
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AMERICAN INTERNET PARTNERS, INC., AMERICAN INTERNET PARTNERS SAN JOSE, CONNECTEL COMMUNICATIONS, INC., STEVEN P. HEVELL and JIM D. JAMES, 2:98-cv-01014 (C.D. Cal.)
Date Filed:
TIMOTHY HEYERDAHL
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION V. MICHAEL SMERASKI, TIMOTHY HEYERDAHL, DEBORAH MATTIFORD, ELAINE DECKER, AND DAVID HELD, 3:01-cv-03651 (N.D. Cal.)
Date Filed:
TIMOTHY S HEYERDAHL
Current Age: 61 - 63
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of TIMOTHY S. HEYERDAHL, CPA, SEC File No. 3-10725
Date Filed:
DAVID HEYMAN
Current Age: 46 - 48
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: Securities and Exchange Commission v. Aragon Capital Management LLC, Aragon Partners LP, Zvi Rosenthal, Amir Rosenthal, Ayal Rosenthal, Oren Rosenthal, David Heyman, Heyman & Son Investment Partnership LP, Young Kim, and Bahram Delshad, 1:07-cv-00919 (S.D.N.Y.)
Date Filed:
DAVID HEYMAN
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DAVID HEYMAN, CPA, SEC File No. 3-12759
Date Filed:
TIMOTHY R HEYMAN
Current Age: 53 - 55
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. TIMOTHY R. HEYMAN, HEYMAN INTERNATIONAL, INC., PAUL D. CARTER, and AMERICAN FINANCIAL BUSINESS, LLC, 2:04-cv-00686 (N.D. Ala.)
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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