SEC Action Lookup – Individuals
April 10, 2018
To run a search, the Last Name box must be populated. Be sure to include at least two letters in the Last Name box. You are not required to enter a First Name, but if you do, you must enter at least two letters in the First Name box.
Keep in mind that your results will only include individuals from actions filed during the Time Period referenced below. Your results will only include those individuals against whom a judgment or order has been issued.
Your search results are sorted alphabetically by the Last Name of the individual.
Federal Court Actions and Administrative Proceedings
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. For background about these types of actions, see About the Division of Enforcement.
Your search results will only include individuals from SEC actions filed between October 1, 2011 and November 20, 2018. This feature will be updated periodically to add individuals from newly-filed actions and individuals from actions filed before October 1, 2011.
Your search results will include individuals against whom a judgment or order has been issued. 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. Your results will also not include individuals named in district court actions as “relief defendants.”
Your search may contain multiple results for the same individual if that individual was charged in multiple actions. For example, an individual charged in both a federal court action and an administrative proceeding filed in the Time Period will have two results.
State and Current Age
In your search results, the individual’s State is based on the information in the charging document (the Complaint or Order Instituting Proceedings). The individual’s State is not necessarily his or her current state of residence. The individual’s Current Age is also based on the charging document and is updated automatically to reflect the approximate age of the individual as of the search date.
For additional information about SEC federal court actions and administrative proceedings, see the Enforcement page on SEC.gov. There, you can search for documents related to SEC actions by using the “Search Litigation Materials” feature located at the bottom of that page.
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.
Report an Issue
To report an issue about this search feature, please email firstname.lastname@example.org