See also case number 6:11-cv-06169 (W.D.N.Y.) (Change of venue).
SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
ROBERT J THERRIEN
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROBERT J. THERRIEN, 1:07-cv-11364 (D. Mass.)
Date Filed:
APOSTOLOS TROVIAS
Also Known As: THEBULL
Current Age: 33 - 35
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. APOSTOLOS TROVIAS, 1:21-cv-05925 (S.D.N.Y.)
Date Filed:
JOHN TURCHETTA
Current Age: 88 - 90
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOHN TURCHETTA, 1:08-cv-00819 (D.D.C.)
Date Filed:
T JONATHON TURNER
Also Known As: JON BARRI BROTHERS, JONATHON TURNER
Current Age: 57 - 59
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CASTLEBERRY FINANCIAL SERVICES GROUP, LLC, T. JONATHON TURNER, f/k/a “JON BARRI BROTHERS,” and NORMAN M. STRELL, 9:19-cv-80244 (S.D. Fla.)
Date Filed:
WILLIAM M UCHEREK
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. WILLIAM M. UCHEREK, 4:02-cv-02003 (N.D. Cal.)
Date Filed:
WILLIAM M UCHEREK
Current Age: 79 - 81
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of WILLIAM M. UCHEREK, SEC File No. 3-10870
Date Filed:
MICHAEL A USHER
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SKY SCIENTIFIC, INC., W.A. DOROW, JR., JERRY L. FOSTER, GILBERT MARSHALL & CO., INC., MICHAEL A. USHER, STRATEGIC RESOURCE MANAGEMENT, INC., WILLIAM A. MOLER, DANIEL R. LEHL, THOMAS PATRICK MEEHAN, DOUGLAS A. GLASER, SMITH, BENTON & HUGHES, INC., MICHAEL ZAMAN, GEORGE T. HELLEN, ROBERT SCHLIEN, AMERICAN CAPITAL NETWORK, INC., PHILIP M. GEORGESON, MELVIN L. LEVINE, and WILLIAM DAVID JONES, SEC File No. 3-9201
Date Filed:
MICHAEL CAMERON VAN ALPHEN
Current Age: 43 - 45
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MICHAEL CAMERON VAN ALPHEN, SEC File No. 3-14631
Date Filed:
RONALD VAN DEN HEUVEL
Current Age: 70 - 72
State: Wisconsin (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. RONALD VAN DEN HEUVEL, and GREEN BOX NA DETROIT, LLC, 1:17-cv-01261 (E.D. Wis.)
Date Filed:
GARY VAN WAEYENBERGHE
State: Indiana (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. FIRST CHOICE MANAGEMENT SERVICES, INC. and GARY VAN WAEYENBERGHE, 3:00-cv-00446 (N.D. Ind.)
Date Filed:
ANIL VARUGHESE
Current Age: 47 - 49
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CLEAN CARE TECHNOLOGIES, INC., EDWARD KLEIN, AL NAZON AND ANIL VARUGHESE, 1:08-cv-01719 (S.D.N.Y.)
Date Filed:
RICHARD P VATCHER
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RICHARD P. VATCHER, 1:02-cv-11245 (D. Mass.)
Date Filed:
ROBERT P VERHEECKE
Current Age: 72 - 74
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BLUE COAT SYSTEMS, INC. and ROBERT P. VERHEECKE, 5:08-cv-05127 (N.D. Cal.)
Date Filed:
ROBERT P VERHEECKE
Current Age: 72 - 74
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ROBERT P. VERHEECKE (CPA), SEC File No. 3-13305
Date Filed:
ERIK T VOORHEES
Current Age: 39 - 41
Enforcement Action: In the Matter of Erik T. Voorhees, SEC File No. 3-15902
Date Filed:
SERGEI VORONCHENKO
Current Age: 50 - 52
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. THOMAS FLETCHER & CO. INC, THOMAS FLETCHER & COMPANY, INC., SERGEI VORONCHENKO, ROMAN THAKER, ALEX BERG, JOHN DONADIO, and PADRAIG MCGLYNN, 1:02-cv-09355 (S.D.N.Y.)
Date Filed:
E SHERMAN WARNER
Also Known As: SHERMAN WARNER
Current Age: 55 - 57
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. THOMPSON CONSULTING, INC., KYLE J. THOMPSON, E. SHERMAN WARNER and DAVID C. CONDIE, 2:08-cv-00171 (D. Utah)
Date Filed:
E SHERMAN WARNER
Also Known As: SHERMAN WARNER
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of E. SHERMAN WARNER, SEC File No. 3-14020
Date Filed:
ANTHONY WEERESINGHE
Current Age: 61 - 63
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. USTOCKTRADE LLC and ANTHONY WEERESINGHE, 1:23-cv-06756 (S.D.N.Y.)
Date Filed:
ANTHONY MICHAEL WETHERBEE
Current Age: 78 - 80
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of O’Connor & Company Securities, Inc. and Anthony Michael Wetherbee, SEC File No. 3-18131
Date Filed:
FREDERICK E WHEAT JR
Current Age: 64 - 66
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RONALD F. LEGRAND and FREDERICK E. WHEAT, JR., 2:11-cv-00474 (S.D. W. Va.)
Date Filed:
STEPHEN B WHEATLEY
Current Age: 61 - 63
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JAMMIN’ JAVA CORP., dba MARLEY COFFEE, SHANE G. WHITTLE, WAYNE S. P. WEAVER, MICHAEL K. SUN, RENE BERLINGER, STEPHEN B. WHEATLEY, KEVIN P. MILLER, MOHAMMED A. AL-BARWANI, ALEXANDER J. HUNTER, and THOMAS E. HUNTER, 2:15-cv-08921 (C.D. Cal.)
Date Filed:
ARTHUR W WHEELER
Current Age: 76 - 78
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AMERICAN HEALTHCARE PROVIDERS, INC., ARTHUR W. WHEELER, LARS M. KRAM, ANGEL L. LORIE JR., LUIS F. LORIE, AND MICHAEL ANTHONY LESTER 01 CV 7649, 1:01-cv-07649 (S.D.N.Y.)
Date Filed:
CHRISTOPHER WHEELER
Current Age: 56 - 58
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CHRISTOPHER WHEELER and OTCSTOCKEXCHANGE.COM, 1:11-cv-00289 (S.D.N.Y.)
Date Filed:
Other Information:
ERIC J WHEELER
Current Age: 43 - 45
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. NOVUS TECHNOLOGIES, LLC, RALPH W. THOMPSON, JR., DUANE C. JOHNSON, RCH2, LLC, ROBERT CASEY HALL and ERIC J. WHEELER, 2:07-cv-00235 (D. Utah)
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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