SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
JAMES WHEELER
Current Age: 63 - 65
State: Washington (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JAMES WHEELER and MICROHOLDINGS US, INC., 1:11-cv-12117 (D. Mass.)
Date Filed:
MATTHEW WILLIAM WHEELER
Current Age: 40 - 42
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MATTHEW WILLIAM WHEELER, SEC File No. 3-21522
Date Filed:
PATRICK O WHEELER
Current Age: 65 - 67
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PATRICK O. WHEELER, STEVEN S. GALLERS and ROBERT L. CARBERRY, 0:02-cv-60131 (S.D. Fla.)
Date Filed:
RONDALD L WHEET
State: South Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. REVOLUTIONS MEDICAL CORP. and RONDALD L. WHEET, 1:12-cv-03298 (N.D. Ga.)
Date Filed:
ANDREW J WHELAN
Current Age: 82 - 84
State: Maryland (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of BioElectronics Corp., IBEX, LLC, St. John’s, LLC, Andrew J. Whelan, Kelly A. Whelan, CPA, and Robert P. Bedwell, CPA, SEC File No. 3-17104
Date Filed:
EDWARD T WHELAN
Current Age: 73 - 75
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. LOWELL GENE “BOB” HANCHER, COMMERCE STREET VENTURE GROUP, INC., EDWARD T. WHELAN, and GRACE HOLDINGS, INC., 5:11-cv-04005 (N.D. Iowa)
Date Filed:
JOHN H WHELAN
Current Age: 69 - 71
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JOHN SAMSON, JOHN G. A. MUNRO, IAN N. CAMPBELL, and JOHN H. WHELAN, 1:06-cv-01217 (D.D.C.)
Date Filed:
KELLY A WHELAN
Current Age: 56 - 58
State: Virginia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of BioElectronics Corp., IBEX, LLC, St. John’s, LLC, Andrew J. Whelan, Kelly A. Whelan, CPA, and Robert P. Bedwell, CPA, SEC File No. 3-17104
Date Filed:
RICHARD C WHELAN
Current Age: 59 - 61
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BRETT L. BOUCHY and RICHARD C. WHELAN, 2:96-cv-02629 (D. Ariz.)
Date Filed:
RICHARD C WHELAN
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of BRETT L. BOUCHY and RICHARD C. WHELAN, SEC File No. 3-10627
Date Filed:
WILLIAM WHELAN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RESOURCE DEVELOPMENT INTERNATIONAL, LLC, DAVID EDWARDS, JAMES EDWARDS, JADE ASSET MANAGEMENT, LTD, SOUND FINANCIAL SERVICES, INC, INTERCOASTAL GROUP, LLC, INTERCOASTAL GROUP II, LLC, KEVIN LYNDS, GERALD J. STOCK, BLACKWOLF HOLDINGS, LLC and WILLIAM WHELAN, 3:02-cv-00605 (N.D. Tex.)
Date Filed:
WILLIAM WHELAN
Enforcement Action: In the Matter of William Whelan, SEC File No. 3-11808
Date Filed:
COLIN WHELEHAN
Current Age: 34 - 36
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. COLIN WHELEHAN and SHEREN TSAI, 1:16-cv-07398 (S.D.N.Y.)
Date Filed:
COLIN WHELEHAN
Current Age: 34 - 36
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Colin Whelehan, SEC File No. 3-17592
Date Filed:
CHRISTOPHER D WHETMAN
Current Age: 56 - 58
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHRISTOPHER D. WHETMAN, CPA, SEC File No. 3-16821
Date Filed:
KENNETH S WHITEHEAD
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Kenneth S. Whitehead, SEC File No. 3-17594
Date Filed:
TRUDIE D WHITEHEAD
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of TRUDIE D. WHITEHEAD, SEC File No. 3-10601
Date Filed:
C SHELDON WHITTELSEY IV
Also Known As: SHELDON WHITTELSEY
Current Age: 60 - 62
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. J. DONALD NICHOLS, JEB L. HUGHES and C. SHELDON WHITTELSEY, IV, 1:02-cv-00478 (N.D. Ga.)
Date Filed:
JEANETTE B WILCHER
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. HITSGALORE.COM, INC., STEPHEN J. BRADFORD, LIFE FOUNDATION TRUST and JEANETTE B. WILCHER, 8:01-cv-01133 (C.D. Cal.)
Date Filed:
GEORGE KENNETH WITHERSPOON JR
Current Age: 60 - 62
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BÓVEDA ASSET MANAGEMENT, INC., and GEORGE KENNETH WITHERSPOON, JR., 1:21-cv-05321 (N.D. Ga.)
Date Filed:
GEORGE KENNETH WITHERSPOON JR
Current Age: 59 - 61
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of George Kenneth Witherspoon, Jr., SEC File No. 3-20846
Date Filed:
GRANT WITHERSPOON
Current Age: 27 - 29
State: Colorado (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JORDAN QSAR, GRANT WITHERSPOON, AUSTIN BERNARD, and CHASE LAMBERT, 3:24-cv-00570 (S.D. Cal.)
Date Filed:
LLOYD E WOLLMERSHAUSER
Also Known As: THE PENNYSTOCKMAN
Current Age: 78 - 80
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of LLOYD E. WOLLMERSHAUSER, A/K/A THE PENNYSTOCKMAN, SEC File No. 3-10438
Date Filed:
STEPHEN WANG SANG WONG
Also Known As: STEPHEN WANG SANG WONG
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. WELL ADVANTAGE LIMITED, CERTAIN UNKNOWN TRADERS IN THE SECURITIES OF NEXEN, INC. IN AN ACCOUNT OF PHILLIP SECURITIES PTE LTD., CERTAIN UNKNOWN TRADERS IN THE SECURITIES OF NEXEN, INC. IN AN ACCOUNT OF CITIBANK NA AlC HK 4, and CERTAIN UNKNOWN TRADERS IN THE SECURITIES OF NEXEN, INC. IN AN ACCOUNT OF CSI CAPITAL MANAGEMENT LIMITED, 1:12-cv-05786 (S.D.N.Y.)
Date Filed:
CHARLES M WORTHEY
Current Age: 63 - 65
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PATSY J. ALDREDGE, ROBERT L. BENTON, JR., HOWARD M. COURTNEY, JERRY F. HANCOCK, II, HERMAN D. SMALL, DAN W. STONE, and CHARLES M. WORTHEY, 6:05-cv-00008 (M.D. Ga.)
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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