Tag Archives: SEC Action Lookup for Individuals
SEC Launches Additional Investor Protection Search Tool
05/02/2018 The SEC’s “SALI” Tool Will Allow Investors to Identify Individuals Subject to Judgments or Orders in Enforcement Actions FOR IMMEDIATE RELEASE 2018-78 Washington D.C. — The Securities and Exchange Commission today announced the launch of an additional online search feature that enables investors to research whether the person trying to sell them investments… Read More »