About this Feature
Your search results will only include individuals charged in SEC administrative proceedings filed between October 1, 1995 and October 1, 2020, and SEC federal court actions filed between October 1, 2003 and October 1, 2020. This feature will be updated periodically to add individuals from newly-filed actions and individuals from actions pre-dating the time periods above.
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.