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
NICHOLAS H SHERMETA
Current Age: 56 - 58
State: Minnesota (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Nicholas H. Shermeta and Napa Properties, LLC, SEC File No. 3-17652
Date Filed:
HUNG WAI SHERN
Also Known As: HOWARD SHERN
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CKB168 HOLDINGS LTD., WIN168 BIZ SOLUTIONS LTD., CKB168 LTD., CKB168 BIZ SOLUTION, INC., CYBER KIDS BEST EDUCATION LTD., RAYLA MELCHER SANTOS, HUNG WAI ("HOWARD") SHERN, RUI LING ("FLORENCE") LEUNG, DALIANG ("DAVID") GUO, YAO LIN, CHIH HSUAN "KIKI" LIN, WEN CHEN HWANG (AKA "WENDY LEE"), TONI TONG CHEN, CHEONGWHA "HEYWOOD" CHANG, JOAN CONGYI MA (AKA "JC MA"), AND HEIDI MAO LIU (AKA "HEIDI MAO"), 1:13-cv-05584 (E.D.N.Y.)
Date Filed:
HUNG WAI SHERN
Also Known As: HOWARD SHERN
Current Age: 66 - 68
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of HUNG WAI “HOWARD” SHERN, SEC File No. 3-21220
Date Filed:
MARION SHERRILL
Current Age: 76 - 78
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MARION SHERRILL, SEC File No. 3-11332
Date Filed:
MARION D SHERRILL
Current Age: 76 - 78
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARION D. SHERRILL, 1:05-cv-00386 (N.D. Ga.)
Date Filed:
MARION D SHERRILL
Current Age: 76 - 78
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MARION D. SHERRILL, SEC File No. 3-12255
Date Filed:
ALEXANDER SHESHUNOFF SR
Current Age: 84 - 86
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ALEXANDER SHESHUNOFF, SR., SEC File No. 3-9040
Date Filed:
JOSEPH J SHEW
Current Age: 59 - 61
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOHN GIESECKE, JR., JOSEPH J. SHEW and JOHN R. DESIMONE, 2:02-cv-07471 (C.D. Cal.)
Date Filed:
JOSEPH J SHEW
Current Age: 58 - 60
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOSEPH J. SHEW, CPA, SEC File No. 3-10913
Date Filed:
CHAUNCEY SHEY
Current Age: 66 - 68
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CHAUNCEY SHEY, 3:07-cv-04605 (N.D. Cal.)
Date Filed:
ALEX SHEYFER
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MAX C. TANNER, DENNIS EVANS, MARK A. TAYLOR, SR., KEVIN KIRKPATRICK, KENNETH KURTZ, KEVIN J. RUGGIERO, MICHAEL BOSTON, ALEX SHEYFER, and ALEXANDER ZALMENENKO, 1:02-cv-00306 (S.D.N.Y.)
Date Filed:
ANTHONY R SICHENZIO
Current Age: 62 - 64
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOSEPH M. LAURA, ANTHONY R. SICHENZIO, and WALTER GIL DE RUBIO, 1:18-cv-05075 (E.D.N.Y.)
Date Filed:
ANTHONY R SICHENZIO
Current Age: 62 - 64
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ANTHONY R. SICHENZIO, SEC File No. 3-21720
Date Filed:
MICHELLE SILVERSTEIN
Also Known As: MICHELLE SILVERSTEIN BISNOFF
Current Age: 57 - 59
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ESOS RINGS, INC.; and MICHELLE SILVERSTEIN aka MICHELLE SILVERSTEIN BISNOFF, 2:23-cv-07553 (C.D. Cal.)
Date Filed:
WILLIAM SLICHENMYER
Current Age: 66 - 68
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AVEO PHARMACEUTICALS, INC., TUAN HA-NGOC, DAVID JOHNSTON, and WILLIAM SLICHENMYER, 1:16-cv-10607 (D. Mass.)
Date Filed:
SEAN EDWARD ST. HEART
Current Age: 48 - 50
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SEAN EDWARD ST. HEART, 3:01-cv-00649 (D.D.C.)
Date Filed:
MICHAEL J STARKWEATHER
Current Age: 40 - 42
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MICHAEL J. STARKWEATHER and ANDIAMO CORPORATION, 1:19-cv-05528 (E.D.N.Y.)
Date Filed:
DWIGHT H STEPHENS
State: Arizona (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:
DWIGHT H STEPHENS
Current Age: 79 - 81
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. FRIENDLY POWER CO., LLC, FRIENDLY POWER CO., INC., FRIENDLY POWER FRANCHISE CO., SCOTT J. LEVINE, SABRINA LEVINE, CYBER-TECH MARKETING & CONSULTING, INC., DWIGHT H. STEPHENS, PACKARD ENERGY GROUP, INC., AND RICH MANAGEMENT CORP., 1:98-cv-02902 (S.D. Fla.)
Date Filed:
ROBERT PATRICK STEPHENS
Current Age: 69 - 71
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Robert Patrick Stephens, SEC File No. 3-15543
Date Filed:
STEELE V STEPHENS
Current Age: 61 - 63
State: Arkansas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of STEELE V. STEPHENS, SEC File No. 3-17168
Date Filed:
WILLIAM M STEPHENS
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of WILLIAM M. STEPHENS, SEC File No. 3-10231
Date Filed:
WILLIAM M STEPHENS
Current Age: 71 - 73
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of William M. Stephens, SEC File No. 3-15233
Date Filed:
JOSHUA STEPHENS-ANSELM
Current Age: 34 - 36
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Joshua Stephens-Anselm, SEC File No. 3-20147
Date Filed:
JOSEPH E STEPHENSON
Current Age: 84 - 86
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOSEPH E. STEPHENSON, Individually and Doing Business as STEPHENSON INVESTMENT OPPORTUNITIES, SEC File No. 3-10153
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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