SEC Action Lookup – Individuals

SEC ActionLookup

About this Feature

The SEC Action Lookup 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, 2014 and March 31, 2018.  This feature will be updated periodically to add individuals from newly-filed actions and individuals from actions filed before October 1, 2014.

Search results will include individuals against whom a court has entered at judgement or the Commission has issued an order.  This includes individuals who settled, defaulted, or contested their actions, provided a judgement 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 judgement or order has been issued.

When making descisions about investments and investment professionals, you should not solely us this tool.  For other resources and tools, see Information for the Individual Investor or visit Investor.gov.