About this Feature
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 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.