SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
CHRIS DAMON
Also Known As: CHRISTOPHER DAMON
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PREMIER LINKS, INC., DWAYNE MALLOY, CHRIS DAMON, THEIRRY RUFFIN a/k/a THEIRRY REGAN, 1:14-cv-07375 (E.D.N.Y.)
Date Filed:
PATRICK JOSEPH DANAHER
Current Age: 61 - 63
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PATRICK JOSEPH DANAHER, JOHN THOMAS DOHERTY, ROBERT PAUL WITTMAN, and TIMOTHY FREDRICK WARD, 1:01-cv-08431 (S.D.N.Y.)
Date Filed:
HEIDI DECONDE CLINES
Also Known As: HEIDI DECONDE
Current Age: 79 - 81
State: Virginia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. WALL STREET MANAGEMENT GROUP, ROBERT CIOFALO, CALVIN MOORE, THOMAS CLINES, HEIDI DECONDE CLINES, and KATHLEEN CONNELL, 1:01-cv-00726 (S.D.N.Y.)
Date Filed:
LAWRENCE ALLEN DESHETLER
Current Age: 72 - 74
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of LAWRENCE ALLEN DESHETLER, SEC File No. 3-18854
Date Filed:
PASCAL DESROCHES
Current Age: 59 - 61
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of James W. Barge, Pascal Desroches, and Wayne H. Pace, SEC File No. 3-11862
Date Filed:
CHAD DEUCHER
Current Age: 50 - 52
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARQUIS PROPERTIES, LLC, CHAD DEUCHER, and RICHARD CLATFELTER, 2:16-cv-00040 (D. Utah)
Date Filed:
CHAD DEUCHER
Current Age: 50 - 52
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHAD DEUCHER, SEC File No. 3-17723
Date Filed:
VINCENT DEUSCHEL
Current Age: 64 - 66
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of VINCENT DEUSCHEL and TUCKER ANTHONY, INC., SEC File No. 3-10396
Date Filed:
BRIAN C DOHERTY
Current Age: 54 - 56
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of BRIAN C. DOHERTY, SEC File No. 3-21315
Date Filed:
GEORGE B DOHERTY
Current Age: 61 - 63
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GEORGE B. DOHERTY, SEC File No. 3-14384
Date Filed:
JOHN THOMAS DOHERTY
Current Age: 65 - 67
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PATRICK JOSEPH DANAHER, JOHN THOMAS DOHERTY, ROBERT PAUL WITTMAN, and TIMOTHY FREDRICK WARD, 1:01-cv-08431 (S.D.N.Y.)
Date Filed:
PATRICK J DOHERTY
Enforcement Action: In the Matter of PATRICK J. DOHERTY, SEC File No. 3-8946
Date Filed:
ROBERT MICHAEL DOHERTY
Current Age: 60 - 62
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MERVIN GEORGE FIESSEL and ROBERT MICHAEL DOHERTY, 1:06-cv-01260 (E.D. Va.)
Date Filed:
ANDREW R DOUGHERTY
Current Age: 34 - 36
State: Iowa (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ANDREW R. DOUGHERTY, SEC File No. 3-21207
Date Filed:
CHRISTOPHER D DOUGHERTY
Current Age: 50 - 52
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CHRISTOPHER D. DOUGHERTY; C&D PROFESSIONAL SERVICES, INC. dba C&N WEALTH MANAGEMENT; JTA FARM ENTERPRISES, LLC; and JTA REAL ESTATE HOLDINGS, LLC, 3:19-cv-00769 (S.D. Cal.)
Date Filed:
CHRISTOPHER D DOUGHERTY
Current Age: 50 - 52
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHRISTOPHER D. DOUGHERTY, SEC File No. 3-19354
Date Filed:
JOHN P DOUGHERTY
Current Age: 86 - 88
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PATRICIA A. BUGENHAGEN, JAMES L. SHISLER, JAMES R. GALLAGHER, ESTATE OF TIMOTHY P. GALLAGHER, RICHARD J. MERMAN, JOHN P. DOUGHERTY and FRED D. SHAPIRO, 2:01-cv-06538 (E.D. Pa.)
Date Filed:
RYAN JAMES DOUGHERTY
Current Age: 43 - 45
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of William Joseph Kouser Jr., CPA, and Ryan James Dougherty, CPA, SEC File No. 3-17898
Date Filed:
TIM DOUGHERTY
Current Age: 45 - 47
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. NATIONAL LAMPOON, INC., DANIEL S. LAIKIN, DENNIS S. BARSKY, EDUARDO RODRIGUEZ and TIM DOUGHERTY, 2:08-CV-05790 (E.D. Pa.)
Date Filed:
DAVID DRESCHER
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GÖRAN HEDÉN AND CERTAIN UNKNOWN PURCHASERS OF COMMON STOCK OF PINKERTON’S, INC., 1:99-cv-01418 (S.D.N.Y.)
Date Filed:
JAMES A DROHEN
Current Age: 52 - 54
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ERIC J. McPHAIL, DOUGLAS A. PARIGIAN, JOHN J. GILMARTIN, DOUGLAS CLAPP, JAMES A. DROHEN, JOHN C. DROHEN, and JAMIE A. MEADOWS, 1:14-cv-12958 (D. Mass.)
Date Filed:
JOHN C DROHEN
Current Age: 54 - 56
State: Rhode Island (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ERIC J. McPHAIL, DOUGLAS A. PARIGIAN, JOHN J. GILMARTIN, DOUGLAS CLAPP, JAMES A. DROHEN, JOHN C. DROHEN, and JAMIE A. MEADOWS, 1:14-cv-12958 (D. Mass.)
Date Filed:
MARC T DUCHESNE
Current Age: 62 - 64
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. MARC T. DUCHESNE, JEFFREY A. HAYDEN, GREGORY A. MOFFITT, ROBERT S. PARSLEY, AND NATIONWIDE CAPITAL CORPORATION, 1:07-cv-01475 (D.D.C.)
Date Filed:
CHARLES J DUSHEK
Current Age: 80 - 82
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. CHARLES J. DUSHEK, CHARLES S. DUSHEK, and CAPITAL MANAGEMENT ASSOCIATES, INC., 1:13-cv-03669 (N.D. Ill.)
Date Filed:
CHARLES J DUSHEK
Current Age: 80 - 82
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHARLES J. DUSHEK, SEC File No. 3-15630
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.
When making decisions about investments and investment professionals, you should not solely use this tool. For other resources and tools, see Information for the Individual Investor or visit Investor.gov.