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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:
Total32,121
Searchable14,223
Targets14,223
Entity types:
Legal entities14,223
Countries:
United States of America14,223
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:2025-04-15 02:02:04
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 entities28.38 MB
names.txtTarget names text file282.99 KB
senzing.jsonSenzing entity format6.06 MB
targets.nested.jsonTargets as nested JSON28.57 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
AARON LEE BOEHMLegal entityUnited States of America
ADAM ROBERT RITZERLegal entityUnited States of America
ALEXIS J. POLLARDLegal entityUnited States of America
ANDREA SELANDERLegal entityUnited States of America
Andrew Markman ArthurLegal entityUnited States of America
ANTHONY LEE TURBEVILLELegal entityUnited States of America
ANTON YERESHKINLegal entityUnited States of America
ANTONIO G. BOLINAOLegal entityUnited States of America
AVI COHENLegal entityUnited States of America
BENJAMIN MALECHELegal entityUnited States of America
BETTY LAI JOHNSONLegal entityUnited States of America
BILAL BASRAILegal entityUnited States of America
BILLY D. BLANTONLegal entityUnited States of America
BOSE INC.Legal entityUnited States of America
BRET R. BAILEYLegal entityUnited States of America
OverviewDownloadAPIRecent additions
OpenSanctions · Find sanctions targets and persons of interest
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