Cottrill Research, LLC

New Tool Searches Individuals Charged in SEC Actions

New Tool Searches Individuals Charged in SEC Actions

The SEC recently launched the SEC Action Lookup for Individuals (SALI) that 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.

Search results 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. 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.

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