SEC Action Lookup - Individuals (SALI)

Individuals with Court or Commission Orders Entered Against Them

VICTOR M WANG

Current Age: 59 - 61
State: Florida (per Complaint/Order Instituting Proceedings)
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:
Releases & Documents:

VICTOR M WANG

Enforcement Action: In the Matter of VICTOR M. WANG, SEC File No. 3-10346
Date Filed:
Releases & Documents:

WEI WANG

Also Known As: WANG WEI
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:
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WESLEY W WANG

Current Age: 50 - 52
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of WESLEY W. WANG, SEC File No. 3-15327
Date Filed:
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XIAOSONG WANG

Current Age: 36 - 38
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. SHUANG CHEN, WENWEN DU, LIRONG GAO, JING GUAN, TONGHUI JIA, XUEJIE JIA, VICKY LIU, HONGLEI SHI, SHUN SUI, LUJUN SUN, HUAILONG WANG, JIADONG WANG, JIAFENG WANG, JIALI WANG, XIAOSONG WANG, LINLIN WU, LIN XING, YONG YANG, JIANCHENG ZHAO, and FORREST (HK) CO., LIMITED, 1:19-cv-12127 (D. Mass.)
Date Filed:
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XIN WANG

Also Known As: LISA WANG
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. CHARLES C. LIU; XIN WANG a/k/a LISA WANG; PACIFIC PROTON THERAPY REGIONAL CENTER, LLC; PACIFIC PROTON EB-5 FUND, LLC; and BEVERLY PROTON CENTER, LLC f/k/a LOS ANGELES COUNTY PROTON THERAPY, LLC, 8:16-cv-00974 (C.D. Cal.)
Date Filed:
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YE WANG

Also Known As: YE WANG
Current Age: 40 - 42
State: Foreign Country (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. AUTOCHINA INTERNATIONAL LIMITED, HUI KAI YAN, RUI GE DONG, VICTORY FIRST LIMITED, RAINBOW YIELD LIMITED, YONG QI LI, AI XI JI, YE WANG, ZHONG WEN ZHANG, LI XIN MA, YONG LI LI, and SHU LING LI, 1:12-cv-10643 (D. Mass.)
Date Filed:
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YIN NAN WANG

Also Known As: MICHAEL WANG
Current Age: 66 - 68
State: California (per Complaint/Order Instituting Proceedings)
Enforcement Action: SECURITIES AND EXCHANGE COMMISSION v. YIN NAN "MICHAEL" WANG, WENDY KO, VELOCITY INVESTMENT GROUP, INC., BIO PROFIT SERIES I, LLC, BIO PROFIT SERIES II, LLC, BIO PROFIT SERIES III, LLC, BIO PROFIT SERIES V, LLC, and ROCKWELL REALTY MANAGEMENT, INC. , 2:13-cv-07553 (C.D. Cal.)
Date Filed:
Releases & Documents:

ZHI HUA WANG

Also Known As: WANG ZHI HUA
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:

ERIC DAVID WANGER

Current Age: 61 - 63
State: Illinois (per Complaint/Order Instituting Proceedings)
Enforcement Action: In the Matter of Eric David Wanger and Wanger Investment Management, Inc., SEC File No. 3-14676
Date Filed:
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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:
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Displaying 26 - 36 of 36

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.

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