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:
Releases & Documents:

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:
Releases & Documents:

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:
Releases & Documents:

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:
Releases & Documents:

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:
Releases & Documents:

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:
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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:
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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:
Releases & Documents:

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:
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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:
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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:
Releases & Documents:

WILLIAM WHELAN

Enforcement Action: In the Matter of William Whelan, SEC File No. 3-11808
Date Filed:
Releases & Documents:

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:
Releases & Documents:

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:
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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:
Releases & Documents:

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:
Releases & Documents:

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:
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Displaying 1426 - 1450 of 1469

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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