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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:
Total30,920
Searchable13,718
Targets13,718
Entity types:
Legal entities13,718
Countries:
United States13,718
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 · update frequency: daily
Last processed:2024-11-02 02:02:07
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 entities26.84 MB
names.txtTarget names text file273.16 KB
senzing.jsonSenzing entity format5.89 MB
targets.nested.jsonTargets as nested JSON27.03 MB
targets.simple.csvTargets as simplified CSV2.55 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
ABEL / NOSER CORP.Legal entityUnited States
ADAM B. JENSENLegal entityUnited States
ADAM ERICKSONLegal entityUnited States
Adam I. OcnerLegal entityUnited States
aka Alexandria MontgomeryLegal entityUnited States
Al T. DohertyLegal entityUnited States
ALAN EDWARD KUZMALegal entityUnited States
ALAN F. PACELLALegal entityUnited States
ALBERT BURGESSLegal entityUnited States
ALETHEIA SECURITIES INC.Legal entityUnited States
ALEXANDER DAMIEN PLegal entityUnited States
Alexander Edward WalkerLegal entityUnited States
Alexandria BoveeLegal entityUnited States
ALEXANDRIA PRIFTIS WESTLegal entityUnited States