SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
ARTHUR HABERMAN
Current Age: 61 - 63
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: Securities and Exchange Commission v. Steven Forman, Arthur Haberman, Richard J. Westelman, 1:07-cv-11151 (D. Mass.)
Date Filed:
ROSS L HABERMAN
Current Age: 64 - 66
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of HABERMAN MANAGEMENT CORP., HABERMAN VALUE FUND, L.P., and ROSS L. HABERMAN, SEC File No. 3-13859
Date Filed:
SHAWN F HACKMAN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. KANAKARIS COMMUNICATIONS, INC., ALEXANDER FRANK KANAKARIS, DAVID R. VALENTI and SHAWN F. HACKMAN, 3:99-cv-00967 (N.D. Cal.)
Date Filed:
SHAWN F HACKMAN
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of SHAWN F. HACKMAN, ESQ., SEC File No. 3-10887
Date Filed:
CHARLES F HAGEMANN
Current Age: 60 - 62
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DAVID J. NAUGHTON, STEPHEN R. KEENUM, MARK R. AVILA, STEPHEN R. RAWLINGS, RICHARD C. REINING, ADAM E. PECK, VICTOR R. GRAUAUG, RAFFI T. KING, CHARLES F. HAGEMANN, RONALD L. GAISER, JOSEPH L. HILL and MICHAEL R. TOMPKINS, 2:00-cv-07531 (C.D. Cal.)
Date Filed:
CHARLES F HAGEMANN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHARLES F. HAGEMANN, SEC File No. 3-10508
Date Filed:
C DAVID HALLMAN
Also Known As: DAVID HALLMAN
Current Age: 70 - 72
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CDH & AFFILIATES, INC. and C. DAVID HALLMAN, 3:02-cv-00017 (N.D. Ga.)
Date Filed:
C DAVID HALLMAN
Also Known As: DAVID HALLMAN
Current Age: 70 - 72
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CDH Affiliates, Inc., and C. David Hallman, SEC File No. 3-11463
Date Filed:
ARTAK HAMAZASPYAN
Current Age: 35 - 37
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BEAXY DIGITAL, LTD., ARTAK HAMAZASPYAN, WINDY INC., NICHOLAS MURPHY, RANDOLPH BAY ABBOTT, BRAVEROCK INVESTMENTS, LLC, FUTURE DIGITAL MARKETS, INC., WINDY FINANCIAL LLC, FUTURE FINANCIAL LLC, and BRIAN PETERSON, 1:23-cv-01962 (N.D. Ill.)
Date Filed:
RICHARD T HAMMACK
Current Age: 82 - 84
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RICHARD T. HAMMACK, 1:00-cv-07623 (N.D. Ill.)
Date Filed:
RICHARD T HAMMACK
Enforcement Action: In the Matter of RICHARD T. HAMMACK, SEC File No. 3-10527
Date Filed:
TEREN SETO HANDELMAN
Also Known As: TEREN SETO HANDELMAN
Current Age: 61 - 63
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ALFRED S. TEO, SR., TEREN SETO HANDELMAN, MAAA TRUST FBO MARK, ANDREW, ALAN, and ALFRED TEO, JR., JOHN D. REIER, CHARLES D. FORTUNE, JERROLD J. JOHNSTON, MARK J. LAUZON, PHILIP SACKS, MITCHELL L. SACKS, RICHARD A. HERRON, LAWRENCE L. ROSEN, and DAVID M. ROSS, 2:04-cv-01815 (D.N.J.)
Date Filed:
JASON HARMAN
Current Age: 51 - 53
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DOUGLAS LEIGHTON, BASS POINT CAPITAL, LLC, AZURE CAPITAL CORP., MICHAEL SULLIVAN, DAVID HALL, ZACHARY HARVEY, PAUL DUTRA, JASON HARMAN, and JESSICA GERAN, 1:20-cv-10686 (D. Mass.)
Date Filed:
ANTHONY MARK HARTMAN
Current Age: 64 - 66
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JAMES THOMAS BRAMLETTE; THE PELORUS GROUP, LLC; ANTHONY MARK HARTMAN; PRIVATE PLACEMENT CAPITAL NOTES II, LLC; STONE MOUNTAIN EQUITIES, LLC; TRAVIS KOZLOWSKI; ENTELECUS FUND, LLC; AARON JOHN WERNLI, 2:18-cv-00761 (D. Utah)
Date Filed:
JAY R HARTMAN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ROSEANN MARTUCCI, JAY R. HARTMAN, and GARR MANAGEMENT SERVICES, INC., 1:96-cv-03030 (S.D.N.Y.)
Date Filed:
PETER P HARTMAN
State: Massachusetts (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. PATRICK J. LEONARD AND PETER P. HARTMAN, 1:97-cv-11310 (D. Mass.)
Date Filed:
MARTIN C HARTMANN III
Current Age: 49 - 51
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BRYAN ARIAS, HUGO A. ARIAS, ANTHONY C. CICCONE, SALVATORE CICCONE, DIANE KAYLOR, JASON A. KERYC, ANTHONY MASSARO, CHRISTOPHER E. CURRAN, RYAN K. DUNASKE, MICHAEL P. DUNNE, MARTIN C. HARTMANN III, MICHAEL D. KERYC, RONALD R. ROALDSEN, JR., AND LAURA ANN TORDY, 2:12-cv-02937 (E.D.N.Y.)
Date Filed:
MARTIN C HARTMANN III
Current Age: 49 - 51
State: New Jersey (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MARTIN C. HARTMANN III, SEC File No. 3-15420
Date Filed:
GERARD HARYMAN
Current Age: 79 - 81
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of GERARD HARYMAN, SEC File No. 3-16564
Date Filed:
JOHN V HASHMAN
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JEREMY R. LENT, JOHN V. HASHMAN, YINZI CAI, DOUGLAS WACHTEL and BRUCE RIGIONE, 4:04-cv-04088 (N.D. Cal.)
Date Filed:
BRUCE A HAUPTMAN
State: Wyoming (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Bruce A. Hauptman and Grand Teton Capital Management, LLC, SEC File No. 3-18559
Date Filed:
MARGARET HEBB
Also Known As: Margaret Whyte
Current Age: 62 - 64
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CHRISTOPHER J. KELLY, ACA and MARGARET HEBB, ACA, SEC File No. 3-14724
Date Filed:
MATTHIAS L HEILMANN
Current Age: 55 - 57
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Matthias L. Heilmann, SEC File No. 3-21732
Date Filed:
ADAM HEIMANN
Current Age: 40 - 42
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Adam Heimann, Michael Perinotti, EGM Firm Inc., and MIDAM Ventures LLC, SEC File No. 3-20614
Date Filed:
RONALD E HEINEMAN
Current Age: 66 - 68
State: Ohio (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RONALD E. HEINEMAN, SEC File No. 3-16798
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.