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
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:
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:
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.
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