See also case number 1:99-cv-06895 (N.D. Ill.) (Change of venue).
SEC Action Lookup - Individuals (SALI)
Individuals with Court or Commission Orders Entered Against Them
CRAIG K HJALMARSON
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Lorsin, Inc., Loretta M. Lockhart, Craig K. Hjalmarson, Russell Management, Inc., George R. Siembida, Harold Engel, Jr., Microcap Marketing, Inc., and Shane M. Nelson, SEC File No. 3-11310
Date Filed:
ARTHUR S HOFFMAN
Current Age: 47 - 49
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. ARTHUR S. HOFFMAN, 2:22-cv-00296 (D. Ariz.)
Date Filed:
ARTHUR S HOFFMAN
Current Age: 47 - 49
State: Arizona (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ARTHUR S. HOFFMAN, SEC File No. 3-21078
Date Filed:
DONALD E HOFFMAN JR
Current Age: 71 - 73
State: Pennsylvania (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of ICAP Securities USA LLC, Ronald A. Purpora, Gregory F. Murphy, Peter M. Agola, Ronald Boccio, Kevin Cunningham, Donald E. Hoffman, Jr., and Anthony Parisi, SEC File No. 3-13726
Date Filed:
GEORGE ROBERT HOFFMAN
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. GENESIS LEASING IX, INC., KADIE CORP., GEORGE ROBERT HOFFMAN, LISA KLINGER PAONESSA, BRIAN DOMINICK PAONESSA, RAINWATER INVESTMENT GROUP HOLDINGS XI LLC, EXCALIBUR INVESTMENT GROUP PAIF II, INC., EXCALIBUR INVESTMENT GROUP HOLDINGS, INC., EXCALIBUR INVESTMENT GROUP, INC., TRIDENT/KD INVESTMENT GROUP, INC. and ENDEAVOR INVESTMENT GROUP, INC., 9:01-cv-09111 (S.D. Fla.)
Date Filed:
JENIFER E HOFFMAN
Current Age: 47 - 49
State: Florida (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. JENIFER E. HOFFMAN, JOHN C. BOSCHERT, and BRYAN T. ZUZGA, 5:13-cv-00455 (M.D. Fla.)
Date Filed:
KERRY L HOFFMAN
Current Age: 65 - 67
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: UNITED STATES SECURITIES AND EXCHANGE COMMISSION v. THOMAS V. CONWELL AND KERRY L. HOFFMAN, 1:19-cv-04409 (N.D. Ill.)
Date Filed:
KERRY L HOFFMAN
Current Age: 64 - 66
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of KERRY L. HOFFMAN, SEC File No. 3-20201
Date Filed:
MICHAEL CARL HOFFMAN
Current Age: 61 - 63
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of MICHAEL CARL HOFFMAN, SEC File No. 3-12734
Date Filed:
ROBERT T HOFFMAN
Current Age: 75 - 77
State: Utah (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. LOUIS E. RIVELLI, RODNEY B. JOHNSON, STEPHEN G. BURKE, TERESA W. AYERS, CRAIG L. STEVENSON, ROBERT T. HOFFMAN, 1:05-cv-01039 (D. Colo.)
Date Filed:
RONALD H HOFFMAN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. STRUCTURAL DYNAMICS RESEARCH CORPORATION, RONALD J. FRIEDSAM, RONALD H. HOFFMAN, ROBERT A. FISCHER, TONY TOLANI AND RICHARD J. LAJOIE, JR., 1:97-cv-00352 (S.D. Ohio)
Date Filed:
RONALD H HOFFMAN
Current Age: 76 - 78
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of RONALD H. HOFFMAN, CPA, SEC File No. 3-9304
Date Filed:
JOHN B HOFFMANN
Current Age: 83 - 85
State: New York (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JOHN B. HOFFMANN and KEVIN J. McCAFFREY, SEC File No. 3-11930
Date Filed:
KLAUS HOFMANN
Current Age: 66 - 68
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. KLAUS HOFMANN, 1:21-cv-07407 (S.D.N.Y.)
Date Filed:
JAMES R HOLDMAN
Current Age: 68 - 70
State: Louisiana (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JAMES R. HOLDMAN, SEC File No. 3-16691
Date Filed:
DIXON R HOLMAN
Current Age: 62 - 64
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of JUDY M. RUPAY and DIXON R. HOLMAN, SEC File No. 3-11049
Date Filed:
MARK D HOLT
Also Known As: Mark D. Holthusen
Current Age: 55 - 57
State: Minnesota (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Mark D. Holt (a/ka Mark D. Holthusen), SEC File No. 3-17685
Date Filed:
DARRYL M HOLZMAN
State: Nevada (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DARRYL M. HOLZMAN AND CHRISTINE MCKIERNAN, 2:99-cv-00001 (D. Nev.)
Date Filed:
CHARLES RICHARD HOMA
Current Age: 75 - 77
State: Georgia (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CHARLES RICHARD HOMA, ET AL., 1:99-cv-10557 (S.D.N.Y.)
Date Filed:
Other Information:
JEFFREY S HONIGMAN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. VICTOR M. WANG, GREGG A. THALER, CHARLES T. BENNETT,and JEFFREY S. HONIGMAN, 1:99-cv-04917 (E.D.N.Y.)
Date Filed:
JEFFREY S HONIGMAN
Enforcement Action: In the Matter of JEFFREY S. HONIGMAN, SEC File No. 3-10381
Date Filed:
GARY HUBSCHMAN
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. RON MESSENGER, JAMES T. RUSH, SCOTT K. BARTON and GARY HUBSCHMAN, 4:01-cv-02022 (S.D. Tex.)
Date Filed:
MARK HUETTEMAN
Current Age: 61 - 63
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. DAVID MALMSTEDT and MARK HUETTEMAN, 5:02-cv-02427 (N.D. Cal.)
Date Filed:
DAVID L HUFFMAN
Current Age: 57 - 59
State: Texas (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of CLETE D. MADDEN, CPA, and DAVID L. HUFFMAN, CPA, SEC File No. 3-12252
Date Filed:
JOSHUA VANCE HUFFMAN
Also Known As: J. V. HUFFMAN, JR.
Current Age: 61 - 63
State: North Carolina (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. BILTMORE FINANCIAL GROUP, INC., JOSHUA VANCE HUFFMAN, JR. a/k/a J. V. HUFFMAN, JR., 5:08-cv-00136 (W.D.N.C.)
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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