SEC Action Lookup - Individuals (SALI)

Individuals with Court or Commission Orders Entered Against Them

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:
Releases & Documents:

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:
Releases & Documents:

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:
Releases & Documents:

ALWYN T WYCHE JR

Current Age: 78 - 80
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of DANNY E. CARPENTER, ALWYN T. WYCHE, JR., PHILIP HOLLEY, and WAYNE K. SOUD, JR., SEC File No. 3-17021
Date Filed:
Releases & Documents:

MAXIM ZAKHARCHENKO

State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ARKADIY DUBOVOY, IGOR DUBOVOY, PAVEL DUBOVOY, NELIA DUBOVA, DAVID AMARYAN, ALEXANDER FEDOSEEV, ALEKSANDR GARKUSHA, OLEKSANDER IEREMENKO (a.k.a. Aleksander Eremenko), VLADISLAV KHALUPSKY, VITALY KORCHEVSKY, ROMAN LAVLINSKIY, OLEKSANDR MAKAROV, LEONID MOMOTOK, NIKOLAI SLEPENKOV, ANDRIY SUPRANONOK, IVAN TURCHYNOV, MAXIM ZAKHARCHENKO, APD DEVELOPERS, LLC, BERATTO GROUP LTD., BERING EXPLORER FUND LTD., CONCORDE BERMUDA LTD., ESCADA LOGISTICS LTD., EXANTE LTD., GLOBAL HEDGE CAPITAL GROUP, GUIBOR S.A., INTERTRADE PACIFIC S.A., MEMELLAND INVESTMENTS LTD., JASPEN CAPITAL PARTNERS LIMITED, NTS CAPITAL FUND, OCEAN PRIME INC., OMEGA 26 INVESTMENTS LTD., SOUTHEASTERN HOLDING AND INVESTMENT COMPANY LLC, COPPERSTONE ALPHA FUND, AND COPPERSTONE CAPITAL, 2:15-cv-06076 (D.N.J.)
Date Filed:
Releases & Documents:

BO ZHENG

Current Age: 38 - 40
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: U.S. Securities and Exchange Commission v. Iat Hong, Bo Zheng, and Hung Chin, 1:16-cv-09947 (S.D.N.Y.)
Date Filed:
Releases & Documents:

FENG ZHENG

Also Known As: ERIC ZHENG
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. WILLIAM G. MORTENSEN AND FENG ZHENG, 3:10-cv-01142 (N.D. Tex.)
Date Filed:
Releases & Documents:
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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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