SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
LINDA F STEPHENSON
Current Age: 83 - 85
State: Wisconsin (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Jon D. Hammes, Albert Gary Shilling, Allan H. Stefl, and Linda F. Stephenson, SEC File No. 3-11351
Date Filed:
OWEN K STEPHENSON
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. FIRST AMERICANS BANK LTD., NATIVE AMERICAN FREE TRADE ASSOCIATION, ANB TRUST, ANB LIMITED, OWEN K. STEPHENSON and RON SPARKS, 5:98-cv-00645 (W.D. Okla.)
Date Filed:
TRAVIS STEPHENSON
Current Age: 38 - 40
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RONALD C. MONTANO, TRAVIS STEPHENSON, ANTONIO GIACCA and MICHAEL WRIGHT, 6:18-cv-01606 (M.D. Fla.)
Date Filed:
J STEPHEN STOUT
Also Known As: STEPHEN STOUT
State: Michigan (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ALFRED M. BAUER and J. STEPHEN STOUT, SEC File No. 3-9034
Date Filed:
ELLIOT STUMACHER
Current Age: 65 - 67
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ELLIOT STUMACHER, SEC File No. 3-9432
Date Filed:
NORMAN STUMACHER
Current Age: Over 90
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Norman Stumacher, CPA, SEC File No. 3-12781
Date Filed:
NORMAN STUMACHER
Current Age: Over 90
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of NORMAN STUMACHER, CPA, SEC File No. 3-13231
Date Filed:
NORMAN STUMACHER
Current Age: Over 90
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. NORMAN STUMACHER, 0:08-cv-61518 (S.D. Fla.)
Date Filed:
DONALD M STUTHERS
Current Age: 55 - 57
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DONALD M. STUTHERS, SEC File No. 3-17718
Date Filed:
JEFFREY SUCHECKI
Current Age: 45 - 47
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Jeffrey Suchecki, SEC File No. 3-22458
Date Filed:
PATRICK SWISHER
Current Age: 69 - 71
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PATRICK SWISHER AND SWISHER INTERNATIONAL, 3:01-cv-00521 (W.D.N.Y.)
Date Filed:
KING CHUEN TANG
Also Known As: CHEN TANG
Current Age: 54 - 56
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. KING CHUEN TANG a/k/a CHEN TANG, RONALD YEE, ZISEN YU, JOSEPH SETO, MING SIU, KING S. TANG a/k/a JAMES K. TANG, and YING KIT YU a/k/a EDDIE YU, 3:09-cv-05146 (N.D. Cal.)
Date Filed:
GORDON RICHARD TAUBENHEIM
Current Age: 85 - 87
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GORDON RICHARD TAUBENHEIM, SEC File No. 3-10074
Date Filed:
DONALD R TESCHER
Current Age: 79 - 81
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROBERT L. SPALLINA, THOMAS J. PALERMO, BRIAN H. MARKOWITZ, STEVEN G. ROSEN, and DONALD R. TESCHER, 3:15-cv-07118 (D.N.J.)
Date Filed:
DAVID E TETHER
Current Age: 73 - 75
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DAVID E. TETHER, 2:07-cv-00488 (M.D. Fla.)
Date Filed:
DAVID A THATCHER
Current Age: 68 - 70
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DAVID A. THATCHER and TIMOTHY J. GANLEY, 3:02-cv-00621 (N.D. Cal.)
Date Filed:
DAVID A THATCHER
Current Age: 68 - 70
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DAVID A. THATCHER, SEC File No. 3-10747
Date Filed:
JAMES H THATCHER
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARK DAVID SHAPIRO, PHILIP B. MURPHY, THOMAS GERALD DAHLEN, JR., ALBERT M. ABBOOD, and JAMES H. THATCHER, 4:05-cv-00364 (E.D. Tex.)
Date Filed:
RACHELLE A THATCHER
Current Age: 67 - 69
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RACHELLE A. THATCHER, SEC File No. 3-20083
Date Filed:
SCOTT FRAISER THENEN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DANIEL RAE MORRIS AND SCOTT FRAISER THENEN, 1:95-cv-02807 (S.D. Fla.)
Date Filed:
GEORGE THEODOROPOULOS
Also Known As: GEORGE THEODORE
Current Age: 57 - 59
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. UNIVERSITY LAB TECHNOLOGIES, INC. AND GEORGE THEODOROPOULOS, A/K/A GEORGE THEODORE, 9:07-cv-80838 (S.D. Fla.)
Date Filed:
GEORGE L THEODULE
Current Age: 64 - 66
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CREATIVE CAPITAL CONSORTIUM, LLC, A CREATIVE CAPITAL CONCEPT$, LLC, and GEORGE L. THEODULE, 9:08-cv-81565 (S.D. Fla.)
Date Filed:
GEORGE LOUIS THEODULE
Current Age: 62 - 64
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GEORGE LOUIS THEODULE, SEC File No. 3-15784
Date Filed:
MAX THERET
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SAMIR TRABOULSI, CHARBEL GHANEM, SOCOFINANCE SA, INTERNATIONAL DISCOUNT BANK & TRUST (WEST INDIES) LTD., ALAIN BOUBLIL, MAX THERET, ROBERT REIPLINGER, PATRICK GRUMAN, and JEAN-PIERRE EMDEN, 2:97-cv-05759 (S.D.N.Y.)
Date Filed:
LAWRENCE H THERIOT
State: Virginia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DOUGLAS A. MURPHY, DAVID G. KAY, and LAWRENCE H. THERIOT, 4:02-cv-02908 (S.D. Tex.)
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.
For Search Tips and more about this tool, see About this Feature in Detail.
When making decisions about investments and investment professionals, you should not solely use this tool. For other resources and tools, see Information for the Individual Investor or visit Investor.gov.