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US FINRA Enforcement Actions

Firms and individuals that have faced FINRA disciplinary actions

This dataset comprises firms and individuals against whom FINRA has taken disciplinary actions for violations of its rules, federal securities laws, rules, and regulations or the rules of the Municipal Securities Rulemaking Board.

Documentation of disciplinary actions found here can include official complaints, decisions, and settlement agreements.

Data overview

Entities:
Total31,999
Searchable14,182
Targets14,182
Entity types:
Legal entities14,182
Countries:
United States14,182
Publisher:Financial Industry Regulatory Authority (FINRA) · United States

FINRA is authorized by Congress to protect America's investors by making sure the broker-dealer industry operates fairly and honestly.

Collections:in OpenSanctions Default · Regulatory Watchlists · Warrants and Criminal Entities
Information:www.finra.org
Source data:www.finra.org · HTML
Coverage:added · frequency: daily
Last processed:2024-12-21 02:15:22
Last change:

Bulk download

Downloads contain the full set of entities contained in this dataset. You can fetch a simplified tabular form, or detailed, structured data in JSON format. Updated files will be provided once a day at the same location.

File nameExport typeSize
entities.ftm.jsonFollowTheMoney entities28.25 MB
names.txtTarget names text file281.8 KB
senzing.jsonSenzing entity format6.09 MB
targets.nested.jsonTargets as nested JSON28.44 MB
targets.simple.csvTargets as simplified CSV2.64 MB

Help: Using the data · model reference · delta updates · support · change log · licensing

Using the API

You can query the data in this dataset via the application programming interface (API) endpoints below. Please read the introduction for documentation and terms of service.

Use the Reconciliation API in OpenRefine:
For full-text search, use the /search endpoint:
For entity matching, use the /match endpoint:

Recent additions

The following targeted entities have been added to this data source most recently:

AddedNameTypeCountries
A.R. SCHMEIDLER & CO. INC.Legal entityUnited States
Aaron Capital Inc.Legal entityUnited States
ABHISHEK UPPALLegal entityUnited States
ADAM A. PFLUMLegal entityUnited States
ADAM JAROD UTZLegal entityUnited States
ADP Clearing and Outsourcing Services Inc.Legal entityUnited States
ADRIENNE MARIE LLAMASLegal entityUnited States
ALBERT HANLegal entityUnited States
ALBERT ROBERTS STRICKLERLegal entityUnited States
Alejandro Federico Marin Aigster ("Marin")Legal entityUnited States
ALEXANDRIA PRIFTIS WESTLegal entityUnited States
Amanda Lynn WilliamsLegal entityUnited States
American Funds and Trusts Inc.Legal entityUnited States
American Funds & Trusts Inc.Legal entityUnited States
AMIR E. PERMEHLegal entityUnited States
OverviewDownloadAPIRecent additions
OpenSanctions · Find sanctions targets and persons of interest
OpenSanctions Datenbanken GmbH · info@opensanctions.org · https://opensanctions.org/meeting