SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
RONG CHEN
Current Age: 56 - 58
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: U.S. SECURITIES AND EXCHANGE COMMISSION v. RONG CHEN, 2:18-cv-07840 (C.D. Cal.)
Date Filed:
RUBEN CHEN
Also Known As: RUOPIAN CHEN
Current Age: 51 - 53
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JENNIFER XUJIA WANG, and RUBEN a/k/a RUOPIAN CHEN and ZHILING FENG, 1:07-cv-03715 (S.D.N.Y.)
Date Filed:
RUBIN CHEN
Also Known As: RUBEN CHEN, RUOPIAN CHEN
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RUBIN CHEN a/k/a RUBEN CHEN a/k/a RUOPIAN CHEN, SEC File No. 3-13098
Date Filed:
SANDRA CHEN
Current Age: 55 - 57
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Anderson Bradshaw PLLC, Russell Anderson, CPA, Sandra Chen, CPA, and William Denney, CPA, SEC File No. 3-17816
Date Filed:
SHENG LI CHEN
Current Age: 39 - 41
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. WENSHENG LIN and SHENG LI CHEN, 1:17-cv-03054 (S.D.N.Y.)
Date Filed:
SHUANG CHEN
Current Age: 38 - 40
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SHUANG CHEN, WENWEN DU, LIRONG GAO, JING GUAN, TONGHUI JIA, XUEJIE JIA, VICKY LIU, HONGLEI SHI, SHUN SUI, LUJUN SUN, HUAILONG WANG, JIADONG WANG, JIAFENG WANG, JIALI WANG, XIAOSONG WANG, LINLIN WU, LIN XING, YONG YANG, JIANCHENG ZHAO, and FORREST (HK) CO., LIMITED, 1:19-cv-12127 (D. Mass.)
Date Filed:
STEVE CHEN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. STEVE CHEN, USFIA, INC., ALLIANCE FINANCIAL GROUP, INC., AMAUCTION, INC., ABORELL MGMT I, LLC, ABORELL ADVISORS I, LLC, ABORELL REIT II, LLC, AHOME REAL EST ATE, LLC, ALLIANCE NGN,INC., APOLLO REIT I, INC ., APOLLO REIT II, LLC AMKEY, INC, US CHINA CONSULTATION ASSOCIATION, and QUAIL RANCH GOLF COURSE, LLC, 2:15-cv-07425 (C.D. Cal.)
Date Filed:
TONI TONG CHEN
State: California (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:
TONI TONG CHEN
Current Age: 55 - 57
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of TONI TONG CHEN, CPA, SEC File No. 3-17329; 3-17330
Date Filed:
VICTOR CHEN
Current Age: 40 - 42
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. JAUYO ("JASON") LEE and VICTOR CHEN, 3:12-cv-05031 (N.D. Cal.)
Date Filed:
VICTORIA CHEN
Current Age: 56 - 58
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. RICHARD VERDIRAMO, VINCENT L. VERDIRAMO, ESQ., EDWARD MEYER, JR., and VICTORIA CHEN, 1:10-cv-01888 (S.D.N.Y.)
Date Filed:
YI CHEN
Current Age: 54 - 56
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of YI CHEN, CPA, SEC File No. 3-17361
Date Filed:
YONG CHEN
Also Known As: MICHAEL CHEN
Current Age: 60 - 62
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. LUCA INTERNATIONAL GROUP, LLC; LUCA RESOURCES GROUP, LLC; LUCA ENERGY FUND, LLC; ENTHOLPY EMC, INC.; BINGQING YANG; LEI (LILY) LEI; ANTHONY V. POLLACE; and YONG (MICHAEL) CHEN, 3:15-cv-03101 (N.D. Cal.)
Date Filed:
YONG CHEN
Also Known As: MICHAEL CHEN
Current Age: 59 - 61
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of YONG (MICHAEL) CHEN, SEC File No. 3-19862
Date Filed:
YUANBIAO CHEN
Current Age: 33 - 35
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. YINGHANG “JAMES” YANG and YUANBIAO CHEN, 1:20-cv-04427 (E.D.N.Y.)
Date Filed:
YUH-YUE CHEN
Current Age: 57 - 59
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. YUH-YUE CHEN, 2:19-cv-02734 (C.D. Cal.)
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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