<!DOCTYPE html>
<html lang="en" dir="ltr">
  <head>
    <meta charset="utf-8" />
<meta name="MobileOptimized" content="width" />
<meta name="HandheldFriendly" content="true" />
<meta name="viewport" content="width=device-width, initial-scale=1.0" />
<meta name="id" content="142686" />
<meta name="date" content="2018-04-10T21:22:10" />
<link rel="icon" href="/themes/custom/secgov/favicon.ico" type="image/vnd.microsoft.icon" />
<link rel="canonical" href="https://www.sec.gov/sec-action-lookup-information" />
<link rel="shortlink" href="https://www.sec.gov/node/142686" />
<script src="/files/google_tag/primary/google_tag.script.js?sd9efa" defer></script>

    <meta name="origin" content="Drupal" />
    <meta name="viewport" content="width=device-width initial-scale=1.0 maximum-scale=3.0" />
    <title>SEC.gov | SEC Action Lookup – Individuals</title>
    <script>window.env = "production";</script>
    <link rel="stylesheet" media="all" href="/files/css/css_MgRniMmnJVbkRMwT8X_aLg7R7z2Tz56uxCoOh0R4Evk.css?delta=0&language=en&theme=secgov&include=eJxljV0OwiAQhC_UypHIQjcU3XYbZmnE00ujvOjjfPMn1LSaDzXLwsXHCtMtv7i4JBpIZliTvKcJHH1hYQLDjRhZ1h0TGow3F7p35ZKeox2BH3LHvDL1rz8-gB7X6gfx0_r7wy2lHiS3r3wDgW9G2g" />
<link rel="stylesheet" media="all" href="/files/css/css_qIRHHeJDFCaUMjFbMXXKyB9RwPkpu4bJePyRBSpUie4.css?delta=1&language=en&theme=secgov&include=eJxljV0OwiAQhC_UypHIQjcU3XYbZmnE00ujvOjjfPMn1LSaDzXLwsXHCtMtv7i4JBpIZliTvKcJHH1hYQLDjRhZ1h0TGow3F7p35ZKeox2BH3LHvDL1rz8-gB7X6gfx0_r7wy2lHiS3r3wDgW9G2g" />

    <script src="/files/js/js_ZR7IgTyJkG8aareVUdeKuOQQtTr88wGWJyAHxg0IbaA.js?scope=header&delta=0&language=en&theme=secgov&include=eJxljV0OwiAQhC_UypHIQjcU3XYbZmnE00ujvOjjfPMn1LSaDzXLwsXHCtMtv7i4JBpIZliTvKcJHH1hYQLDjRhZ1h0TGow3F7p35ZKeox2BH3LHvDL1rz8-gB7X6gfx0_r7wy2lHiS3r3wDgW9G2g"></script>

  </head>
  <body class="default-view path-node node--type-secarticle">

    <a href="#main-content" class="visually-hidden focusable" tabindex="1">
      Skip to main content
    </a>
    <noscript><iframe src="https://www.googletagmanager.com/ns.html?id=GTM-TD3BKV" height="0" width="0" style="display:none;visibility:hidden"></iframe></noscript>
      <div class="dialog-off-canvas-main-canvas" data-off-canvas-main-canvas>
    


<div class="page-container">
<div id="page-wrapper">
  <div id="page" >
    <div class="page-header" role="banner">
      <div class="header-content">
        <div id="global-header" class="region region-header">
    
<div id="block-digitalgovsearch" class="block global-header-digitalgov-search">
  
    
        <div class="body"><!--<div class="hide-for-small" id="global-search">
<form accept-charset="UTF-8" action="//secsearch.sec.gov/search" class="clearfix" id="global-search-form" method="get" name="form_iQueryForm">
<fieldset><legend></legend> <label class="overlabel" for="global-search-box">Search SEC.gov</label> <input name="utf8" type="hidden" value="?" /> <input class="affiliate" name="affiliate" type="hidden" value="secsearch" /> <input aria-autocomplete="list" aria-haspopup="true" autocomplete="off" class="usagov-search-autocomplete ui-autocomplete-input" id="global-search-box" name="query" role="textbox" tabindex="4" title="Search for" type="text" /> <span aria-hidden="true" class="button-label fa fa-search"> </span><input class="global-search-button" tabindex="5" title="Go" type="submit" value="" /></fieldset>
</form>

<p class="options"><a class="option-link" href="http://www.sec.gov/edgar/searchedgar/companysearch.html" tabindex="6">Company Filings</a> | <a class="option-link" href="http://www.sec.gov/search/search.htm" tabindex="7">More Search Options</a></p>
</div>-->
<div class="block block--search block--search-form" id="global-search" role="search">
<form accept-charset="UTF-8" action="//secsearch.sec.gov/search" class="clearfix" id="global-search-form" method="get" name="form_iQueryForm">
<fieldset><legend></legend>
<div class="search-box-container"><label class="overlabel" for="global-search-box">Search SEC.gov</label> <input name="utf8" type="hidden" value="?" /> <input class="affiliate" name="affiliate" type="hidden" value="secsearch" /> <input aria-autocomplete="list" aria-haspopup="true" autocomplete="off" class="usagov-search-autocomplete ui-autocomplete-input" id="global-search-box" name="query" role="textbox" title="Search for" type="text" /> <span aria-hidden="true" class="button-label fa fa-search"> </span> <input class="global-search-button" title="Go" type="submit" value="" /></div>
</fieldset>
</form>

<div class="menu-name-menu-utility-menu">
<p class="options"><span><a class="option-link" href="/edgar/searchedgar/companysearch">Company Filings</a></span> <!--<span><a class="option-link" href="http://www.sec.gov/search/search.htm">More Search Options</a></span>--></p>
</div>
</div>
</div>
  </div>
<div id="block-secgov-branding" class="site-branding block region__inner system_branding_block">
  <div class="block--menu-block">
    <div class="menu-block-wrapper menu-name-main-menu">
      
            
      
    <div class="banner-seal">
    <a href="/" title="SEC Emblem" rel="home" tabindex="2">
      <img src="/files/sec-logo.png" alt="SEC Emblem" />
    </a>
  </div>
  
    <div class="banner-org-name">
      <a href="/" title="U.S. Securities and Exchange Commission" rel="home" tabindex="3">U.S. Securities and <br>Exchange Commission</a>
  </div>
   

    <button id="mobile-menu-toggle" class="is-closed" aria-label="Menu Toggle">
    <span class="svg-icon svg-icon-sm" aria-hidden="true">q</span>
  </button>

    </div>
  </div>
</div>
  </div>


      </div>

      <div class="global-navigation" id="global-navigation">

        <div class="desktop-menu">
            <div class="navigation-wrapper region region-global-navigation">
    <div id="block-secgov-main-menu" class="block region__inner main">
  <div class="block--menu-block">
    <div class="menu-block-wrapper menu-name-main-menu">
      
            
          
    
              <ul id="home-menu" class="menu">
                          <li class="menu__item is-expanded expanded" >
                <a href="/about" title="About" class="menu__link">About</a>
                                <ul class="menu">
                          <li class="menu__item is-active is-leaf leaf ">
                <a href="/about/careers" title="Careers" class="menu__link">Careers</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/about/commissioners" title="Commissioners" class="menu__link">Commissioners</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/contact-information/sec-directory" title="Contact" class="menu__link">Contact</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/reports" title="Reports and Publications" class="menu__link">Reports and Publications</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/about/about-securities-laws" title="Securities Laws" class="menu__link">Securities Laws</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/about/mission" title="Mission" class="menu__link">Mission</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/about/commission-votes" title="Commission Votes" class="menu__link">Commission Votes</a>
              </li>
        </ul>
  
              </li>
                    <li class="menu__item is-expanded expanded" >
                <a href="/about/divisions" title="Divisions & Offices" class="menu__link">Divisions & Offices</a>
                                <ul class="menu">
                          <li class="menu__item is-active is-leaf leaf ">
                <a href="/page/corpfin-section-landing" title="Corporation Finance" class="menu__link">Corporation Finance</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/page/enforcement-section-landing" title="Enforcement" class="menu__link">Enforcement</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/investment-management" title="Investment Management" class="menu__link">Investment Management</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/dera" title="Economic and Risk Analysis" class="menu__link">Economic and Risk Analysis</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/divisions/trading-markets" title="Trading and Markets" class="menu__link">Trading and Markets</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/page/aljsectionlanding" title="Office of Administrative Law Judges" class="menu__link">Office of Administrative Law Judges</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/exams" title="Examinations" class="menu__link">Examinations</a>
              </li>
        </ul>
  
              </li>
                    <li class="menu__item is-expanded expanded" >
                <a href="/page/litigation" title="Enforcement" class="menu__link">Enforcement</a>
                                <ul class="menu">
                          <li class="menu__item is-active is-leaf leaf ">
                <a href="/litigation/litreleases" title="Litigation Releases" class="menu__link">Litigation Releases</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/litigation/admin" title="Administrative Proceedings" class="menu__link">Administrative Proceedings</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/litigation/opinions" title="Opinions and Adjudicatory Orders" class="menu__link">Opinions and Adjudicatory Orders</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/divisions/enforce/friactions" title="Accounting and Auditing" class="menu__link">Accounting and Auditing</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/litigation/suspensions" title="Trading Suspensions" class="menu__link">Trading Suspensions</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/enforcement/how-investigations-work" title="How Investigations Work" class="menu__link">How Investigations Work</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/divisions/enforce/receiverships" title="Receiverships" class="menu__link">Receiverships</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/enforce/information-for-harmed-investors" title="Information for Harmed Investors" class="menu__link">Information for Harmed Investors</a>
              </li>
        </ul>
  
              </li>
                    <li class="menu__item is-expanded expanded" >
                <a href="/page/regulation" title="Regulation" class="menu__link">Regulation</a>
                                <ul class="menu">
                          <li class="menu__item is-active is-leaf leaf ">
                <a href="/rules/rulemaking-activity" title="Rulemaking Activity" class="menu__link">Rulemaking Activity</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/rules/rulemaking-activity?aId=&search=&rulemaking_status=178631&division_office=All&regulation_year=" title="Proposed Rules" class="menu__link">Proposed Rules</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/rules/rulemaking-activity?aId=&search=&rulemaking_status=177456&division_office=All&regulation_year=" title="Final Rules" class="menu__link">Final Rules</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/rules/rulemaking-activity?aId=&search=&rulemaking_status=178151&division_office=All&regulation_year=" title="Interim Final Temporary Rules" class="menu__link">Interim Final Temporary Rules</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/rules/other" title="Other Orders and Notices" class="menu__link">Other Orders and Notices</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/rules/sro" title="Self-Regulatory Organizations" class="menu__link">Self-Regulatory Organizations</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/regulation/staff-interpretations" title="Staff Interpretations" class="menu__link">Staff Interpretations</a>
              </li>
        </ul>
  
              </li>
                    <li class="menu__item is-expanded expanded" >
                <a href="/education" title="Education" class="menu__link">Education</a>
                                <ul class="menu">
                          <li class="menu__item is-active is-leaf leaf ">
                <a href="/education/investor-education" title="Investor Education" class="menu__link">Investor Education</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/education/glossary" title="Glossaries" class="menu__link">Glossaries</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/education/smallbusiness" title="Small Business Capital Raising " class="menu__link">Small Business Capital Raising </a>
              </li>
        </ul>
  
              </li>
                    <li class="menu__item is-expanded expanded" >
                <a href="/edgar" title="Filings" class="menu__link">Filings</a>
                                <ul class="menu">
                          <li class="menu__item is-active is-leaf leaf ">
                <a href="/edgar/search-and-access" title="EDGAR – Search & Access" class="menu__link">EDGAR – Search & Access</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/edgar/filer-information" title="EDGAR – Information for Filers" class="menu__link">EDGAR – Information for Filers</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/edgar/searchedgar/companysearch" title="Company Filing Search" class="menu__link">Company Filing Search</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/filings/edgar-guide" title="How to Search EDGAR" class="menu__link">How to Search EDGAR</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/forms" title="Forms List" class="menu__link">Forms List</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/edgar/about" title="About EDGAR" class="menu__link">About EDGAR</a>
              </li>
        </ul>
  
              </li>
                    <li class="menu__item is-expanded expanded" >
                <a href="/newsroom" title="News" class="menu__link">News</a>
                                <ul class="menu">
                          <li class="menu__item is-active is-leaf leaf ">
                <a href="/news/pressreleases" title="Press Releases" class="menu__link">Press Releases</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/news/speeches-statements" title="Speeches and Statements" class="menu__link">Speeches and Statements</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/securities-topics" title="Securities Topics" class="menu__link">Securities Topics</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/news/upcoming-events" title="Upcoming Events" class="menu__link">Upcoming Events</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/news/sec-webcasts" title="Webcasts" class="menu__link">Webcasts</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/news/sec-videos" title="SEC Videos" class="menu__link">SEC Videos</a>
              </li>
                    <li class="menu__item is-active is-leaf leaf ">
                <a href="/news/media-gallery" title="Media Gallery" class="menu__link">Media Gallery</a>
              </li>
        </ul>
  
              </li>
        </ul>
  

  
    </div>
  </div>
</div>
  </div>


        </div>

        <div class="mobile-menu" style="display: none;">
          
              <ul id="main-menu" class="menu">
                      <li class="menu__item is-expanded expanded">
      
        <a href="" class="menu__link">U.S. Securities and Exchange Commission</a>
                                <ul class="menu">
                      <li class="menu__item is-active is-leaf leaf">
      
        <a href="/about/divisions" class="menu__link" data-drupal-link-system-path="node/91856">Divisions & Offices</a>
              </li>

                  <li class="menu__item is-active is-leaf leaf">
      
        <a href="/litigation.shtml" class="menu__link">Enforcement</a>
              </li>

                  <li class="menu__item is-active is-leaf leaf">
      
        <a href="/rules.shtml" class="menu__link">Regulation</a>
              </li>

                  <li class="menu__item is-active is-leaf leaf">
      
        <a href="/education" title="Education" class="menu__link" data-drupal-link-system-path="node/261726">Education</a>
              </li>

                  <li class="menu__item is-active is-leaf leaf">
      
        <a href="/edgar" class="menu__link" data-drupal-link-system-path="node/91901">Filings</a>
              </li>

                  <li class="menu__item is-active is-leaf leaf">
      
        <a href="/news" class="menu__link">Newsroom</a>
              </li>

        </ul>
  
              </li>

                  <li class="menu__item is-expanded expanded">
      
        <a href="/news" class="menu__link">Newsroom</a>
                                <ul class="menu">
                      <li class="menu__item is-active is-leaf leaf">
      
        <a href="/news/pressreleases" class="menu__link" data-drupal-link-system-path="news/pressreleases">Press Releases</a>
              </li>

                  <li class="menu__item is-active is-leaf leaf">
      
        <a href="/news/testimony" class="menu__link">Testimony</a>
              </li>

        </ul>
  
              </li>

                  <li class="menu__item is-expanded expanded">
      
        <a href="/about/sec-rss" class="menu__link" data-drupal-link-system-path="node/111801">RSS Feeds</a>
                                <ul class="menu">
                      <li class="menu__item is-active is-leaf leaf">
      
        <a href="/news/pressreleases.rss" class="menu__link" data-drupal-link-system-path="news/pressreleases.rss">Press Releases</a>
              </li>

                  <li class="menu__item is-active is-leaf leaf">
      
        <a href="/news/statements.rss" class="menu__link" data-drupal-link-system-path="news/statements.rss">Public Statements</a>
              </li>

                  <li class="menu__item is-active is-leaf leaf">
      
        <a href="/news/speeches.rss" class="menu__link" data-drupal-link-system-path="news/speeches.rss">Speeches</a>
              </li>

                  <li class="menu__item is-active is-leaf leaf">
      
        <a href="/news/testimony.rss" class="menu__link" data-drupal-link-system-path="news/testimony.rss">Testimony</a>
              </li>

        </ul>
  
              </li>

        </ul>
  



                        
                  </div>

      </div>
    </div>
          <div class="highlighted">
        <aside role="complementary" class="message section clearfix">
            <div class="region region-highlighted">
    <div data-drupal-messages-fallback class="hidden"></div>

  </div>


        </aside>
      </div>
    
    
                                
        
        
        
    
    <div class="page-content">
      <div id="main-wrapper" class="layout-main-wrapper layout-container clearfix">

                  

      
      
            <div id="sidebar-first" class="sidebar">
          <aside role="complementary" class="local-nav">
            <nav role="navigation">
                            
                      </nav>

          </aside>
        </div>
                    <div id="content-wrapper" class="layout-main">

      <a id="main-content" tabindex="-1"></a>

    
    		
    
    
              <div id="content" class="content">
            <div class="main-content region region-content">
    <div id="block-secgov-content">
  
    
      
  
  <article class="article" role="article">
  
    

    <div class="article-content">
                




          
<div id="page-title">
<h1 class="article-type">
  
        
                                                                                                                                                                                                          
                                    <span class="hide">Other</span>
                                    
                                                                                                                                    </h1>
<!-- Subscribe link, RSS, Email -->
<div id="addthis-icons">
  <div class="addthis-wrapper">
    <div class="hide-for-print appIconsDetail" style="visibility: visible;">
      <div class="addthis_toolbox addthis_default_style hide-for-small" data-ui-click="true">
        <a class="addthis_button_print at300b" title="Print Page" href="#" tabindex="0">
          <span class="fa fa-print"></span>
        </a>
        <a class="addthis_button_mailto at300b" target="_blank" title="Email Page" href="#" tabindex="0">
          <span class="fa fa-envelope"></span>
        </a>
      <div class="atclear"></div>
    </div>
    <div class="addthis_toolbox addthis_default_style addthis_32x32_style hide-for-medium-up show-for-small addthis_mobile">
      <a class="addthis_button_mailto at300b" target="_blank" title="Email Page" href="#" tabindex="0">
        <span class="fa fa-envelope"></span>
      </a>
    </div>
    <div class="atclear"></div>
    </div>
  </div>
</div>
</div>

              <div class="content aside other">
              
        <div >
        <h1 class="article-title">SEC Action Lookup – Individuals</h1>
                </div>

        
                  <p class="article-publishdate">
                            April 10, 2018
                       </p>
        
                <p class="release-number"></p>
              
      <div class="article-content-body">
      
            <div class="article-body"><h3>Search Tips</h3>

<p>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.</p>

<p>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.</p>

<p>Your search results are sorted alphabetically by the Last Name of the individual.</p>

<h3>Federal Court Actions and Administrative Proceedings</h3>

<p>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.</p>

<h3>Time Period</h3>

<p>Your search results will only include individuals charged in SEC actions filed between October 1, 1995 and March 31, 2024. This feature will be updated periodically to add individuals from newly-filed actions.</p>

<h3>Individuals Included</h3>

<p>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.</p>

<p>Your results will <u>not</u> 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.”</p>

<p>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.</p>

<h3>State and Current Age</h3>

<p>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 <u>not</u> 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.</p>

<h3>Other Resources</h3>

<p>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.</p>

<p>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 <a data-entity-substitution="canonical" data-entity-type="node" data-entity-uuid="19aa8f73-c39a-441a-bda2-d31cd35040b0" href="/node/72581" title="www.investor.gov/">Investor.gov</a>.</p>

<h3>Report an Error</h3>

<p>If you believe this search feature has returned a result that contains an error, you can report the error to seclookup@sec.gov. Please note that you may not receive a response from this mailbox.</p>

<p></p>
</div>
      
                          </div>

              
                <div class="article-more-topics">
          
        </div>
                              </div>

          <div id="sidebar-second">
		
                <div class="block related-materials">
          
        </div>
              </div>
            </div>

    <div class="article-date modified">
          Modified: April 17, 2024
      </div>
  
</article>

  </div>

  </div>


        </div>
      
        
      
      </div>

      
    </div>
    </div>

          <footer class="page-footer">
                  <div class="page-footer-top">
              <div class="region region-footer-top">
    
<div id="block-globalfooterstayconnectedfooter" class="block stay-connected-footer">
  
    
        <div class="body"><p class="data-exempt" id="stay-connected-footer"><a href="/news/socialmedia.shtml"><span>SOCIAL MEDIA</span></a><br class="new-line" />
<a href="https://twitter.com/SECGov"><span class="fa fa-lg fa-twitter"><span class="visually-hidden">1</span></span> <span class="hide-for-small">Twitter </span></a> <a href="https://www.facebook.com/SECgov"><span class="fa fa-lg fa-facebook"><span class="visually-hidden">2</span></span> <span class="hide-for-small">Facebook</span></a> <a href="https://www.instagram.com/secgov"><span class="fa fa-lg fa-instagram"><span class="visually-hidden">2</span></span> <span class="hide-for-small">Instagram</span></a> <a href="/about/secrss.shtml"><span class="fa fa-lg fa-rss"><span class="visually-hidden">3</span></span><span class="hide-for-small">RSS</span></a> <a href="http://www.youtube.com/user/SECViews"><span class="fa fa-lg fa-youtube-play"><span class="visually-hidden">4</span></span><span class="hide-for-small">YouTube</span></a><br class="hide-for-medium-up" />
<a href="https://www.linkedin.com/company/us-securities-and-exchange-commission?trk=company_name"><span class="fa fa-lg fa-linkedin"><span class="visually-hidden">6</span></span><span class="hide-for-small">LinkedIn</span></a> <!--<a href="//www.pinterest.com/secgov"><span class="fa fa-lg fa-pinterest-p"><span class="visually-hidden">7</span></span> <span class="hide-for-small">Pinterest</span></a>--> <a href="//public.govdelivery.com/accounts/USSEC/subscriber/new"><span class="fa fa-lg fa-envelope"><span class="visually-hidden">8</span></span> <span class="hide-for-small">Email Updates</span> </a></p>
</div>
  </div>

  </div>


          </div>
                <div class="page-footer-cols">
          <div>
    <nav role="navigation" aria-labelledby="block-aboutthesec-menu" id="block-aboutthesec">
            
  <h2 id="block-aboutthesec-menu">About The SEC</h2>
  

        
              <ul class="section-menu menu">
              <li class="menu__item is-active is-leaf leaf item-budget-&-performance">
        <a href="/about/offices/ofm/ofm-documents" class="menu__link" data-drupal-link-system-path="node/111606">Budget & Performance</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-careers">
        <a href="/about/careers" class="menu__link" data-drupal-link-system-path="node/41311">Careers</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-commission-votes">
        <a href="/about/commission-votes" class="menu__link" data-drupal-link-system-path="node/111231">Commission Votes</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-contact">
        <a href="/contact-information/sec-directory" class="menu__link" data-drupal-link-system-path="node/102846">Contact</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-contracts">
        <a href="/page/oacqsectionlanding" class="menu__link" data-drupal-link-system-path="node/3841">Contracts</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-data-resources">
        <a href="/sec-data-resources" class="menu__link" data-drupal-link-system-path="node/191566">Data Resources</a>
              </li>

        </ul>
  





  </nav>
<nav role="navigation" aria-labelledby="block-governmenttransparency-menu" id="block-governmenttransparency">
            
  <h2 id="block-governmenttransparency-menu">Transparency</h2>
  

        
              <ul class="section-menu menu">
              <li class="menu__item is-active is-leaf leaf item-accessibility-&-disability">
        <a href="/disability/sec_access" class="menu__link" data-drupal-link-system-path="node/111766">Accessibility & Disability</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-foia">
        <a href="/foia-services" class="menu__link" data-drupal-link-system-path="node/946556">FOIA</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-inspector-general">
        <a href="/oig" class="menu__link" data-drupal-link-system-path="node/41456">Inspector General</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-no-fear-act-&-eeo-data">
        <a href="/page/eeosectionlanding" class="menu__link" data-drupal-link-system-path="node/3781">No FEAR Act & EEO Data</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-ombuds">
        <a href="/ombuds" title="Ombuds" class="menu__link" data-drupal-link-system-path="node/96081">Ombuds</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-whistleblower-protection">
        <a href="/whistleblower" class="menu__link" data-drupal-link-system-path="node/99851">Whistleblower Protection</a>
              </li>

        </ul>
  





  </nav>
<nav role="navigation" aria-labelledby="block-otherwebsites-menu" id="block-otherwebsites">
            
  <h2 id="block-otherwebsites-menu">Websites</h2>
  

        
              <ul class="section-menu menu">
              <li class="menu__item is-active is-leaf leaf item-investor.gov">
        <a href="https://www.investor.gov" class="menu__link">Investor.gov</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-related-sites">
        <a href="/links" class="menu__link" data-drupal-link-system-path="node/100276">Related Sites</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-usa.gov">
        <a href="https://www.usa.gov" class="menu__link">USA.gov</a>
              </li>

        </ul>
  





  </nav>
<nav role="navigation" aria-labelledby="block-siteinformation-menu" id="block-siteinformation">
            
  <h2 id="block-siteinformation-menu">Site Information</h2>
  

        
              <ul class="section-menu menu">
              <li class="menu__item is-active is-leaf leaf item-plain-writing">
        <a href="/plainwriting" class="menu__link" data-drupal-link-system-path="node/111701">Plain Writing</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-privacy-&-security">
        <a href="/privacy" class="menu__link" data-drupal-link-system-path="node/111706">Privacy & Security</a>
              </li>

          <li class="menu__item is-active is-leaf leaf item-site-map">
        <a href="/sitemap" class="menu__link" data-drupal-link-system-path="node/111831">Site Map</a>
              </li>

        </ul>
  





  </nav>

  </div>


        </div>
      </footer>
    
                <script>
        if (typeof dataLayer != "undefined") dataLayer.push({"pageType": "SEC Action Lookup – Individuals"});
      </script>
        </div>
</div>
</div>


  </div>

    

    <a href="#" class="back-to-top"><i class="fa fa-chevron-circle-up" aria-hidden="true"></i>Return to Top</a>

    <div class="overlap">
  <!-- Subscribe link, RSS, Email -->
  <div id="addthis-icons-508" class="visibly-hidden">
    <div class="addthis-wrapper">
      <div class="appIconsDetail hide">
        <div class="addthis_toolbox addthis_default_style hide-for-small">
          <a class="addthis_button_print at300b" title="Print Page" href="#">
            <span class="fa fa-print"></span>
          </a>
          <a class="addthis_button_facebook at300b" title="Share on Facebook" href="#">
            <span class="fa fa-facebook"></span>
          </a>
          <a class="addthis_button_twitter at300b" title="Tweet Page" href="#">
            <span class="fa fa-twitter"></span>
          </a>
          <a class="addthis_button_mailto at300b" target="_blank" title="Email Page" href="#">
            <span class="fa fa-envelope"></span>
          </a>
          <a class="addthis_button_compact at300m" href="#" title="More Sharing Options">
            <span class="fa fa-plus"></span>
          </a>
        <div class="atclear"></div>
      </div>
      <div class="addthis_toolbox hide">
        <a class="addthis_button_facebook at300b" title="Share on Facebook" href="#">
          <span class="fa fa-facebook"></span>
        </a>
        <a class="addthis_button_twitter at300b" title="Tweet Page" href="#">
          <span class="fa fa-twitter"></span>
        </a>
        <a class="addthis_button_mailto at300b" target="_blank" title="Email Page" href="#">
          <span class="fa fa-envelope"></span>
        </a>
      </div>
      <div class="atclear"></div>
      </div>
    </div>
  </div>
</div>

    <script type="application/json" data-drupal-selector="drupal-settings-json">{"path":{"baseUrl":"\/","pathPrefix":"","currentPath":"node\/142686","currentPathIsAdmin":false,"isFront":false,"currentLanguage":"en"},"pluralDelimiter":"\u0003","suppressDeprecationErrors":true,"data":{"extlink":{"extTarget":false,"extTargetNoOverride":false,"extNofollow":false,"extNoreferrer":false,"extFollowNoOverride":false,"extClass":"0","extLabel":"(link is external)","extImgClass":false,"extSubdomains":true,"extExclude":".*\\.gov|http:\/\/www.xbrl.org\/utr\/2013-05-17\/utr.xml|http:\/\/www.xbrl.org\/dtr\/type\/numeric-2009-12-16.xsd|http:\/\/www.xbrl.org\/dtr\/type\/nonNumeric-2009-12-16.xsd|https:\/\/secir.secure.force.com\/ombudsman\/OMMSForm","extInclude":"","extCssExclude":".data-exempt","extCssExplicit":"","extAlert":true,"extAlertText":"You are now leaving the SEC Website. The link you have selected is located on another server. Please click on the OK button below to proceed to the selected site. The SEC does not endorse this web site, its sponsor, or any of the policies, activities, products, or services offered on the site or by any advertiser on the site.","mailtoClass":"0","mailtoLabel":"(link sends email)","extUseFontAwesome":false,"extIconPlacement":"append","extFaLinkClasses":"fa fa-external-link","extFaMailtoClasses":"fa fa-envelope-o","whitelistedDomains":null}},"user":{"uid":0,"permissionsHash":"be93764d3e8de6c48387d9f2c599940f17294deeee6c67667df88d64322d3b56"}}</script>
<script src="/files/js/js_mIXuAYEwDmUa0z4m8pGJvZRv8YrQPyyxhiIOgtVYu68.js?scope=footer&delta=0&language=en&theme=secgov&include=eJxljV0OwiAQhC_UypHIQjcU3XYbZmnE00ujvOjjfPMn1LSaDzXLwsXHCtMtv7i4JBpIZliTvKcJHH1hYQLDjRhZ1h0TGow3F7p35ZKeox2BH3LHvDL1rz8-gB7X6gfx0_r7wy2lHiS3r3wDgW9G2g"></script>
<script src="/themes/custom/secgov/js/third-party/addthis_widget.js?sd9efa" async></script>
<script src="/files/js/js_kgyhkKvsEJc_F08suXf_coAzuVqc6BQYtY8nFRLCflk.js?scope=footer&delta=2&language=en&theme=secgov&include=eJxljV0OwiAQhC_UypHIQjcU3XYbZmnE00ujvOjjfPMn1LSaDzXLwsXHCtMtv7i4JBpIZliTvKcJHH1hYQLDjRhZ1h0TGow3F7p35ZKeox2BH3LHvDL1rz8-gB7X6gfx0_r7wy2lHiS3r3wDgW9G2g"></script>


  </body>
  </html>