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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:
Total31,506
Searchable13,968
Targets13,968
Entity types:
Legal entities13,968
Countries:
United States13,968
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:2025-02-22 02:02:03
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 entities27.81 MB
names.txtTarget names text file277.91 KB
senzing.jsonSenzing entity format6 MB
targets.nested.jsonTargets as nested JSON28 MB
targets.simple.csvTargets as simplified CSV2.6 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 B. WILBANKSLegal entityUnited States
ABIGAIL WHITTLELegal entityUnited States
ALAN B. LEVINLegal entityUnited States
ALLAN RICHARD JOYCELegal entityUnited States
ANDREW D. CARAVALegal entityUnited States
ANN GAY PHELPSLegal entityUnited States
ANTHONY MILLERLegal entityUnited States
ARGENTUS SECURITIES LLC (F/K/A SUMMIT ALLIANCE SECURITIES LLC AND SIG SECURITIES INC.)Legal entityUnited States
Ashlee Nicole GodfreyLegal entityUnited States
BCP SECURITIES LLCLegal entityUnited States
BERTRAM J. ELGERSMALegal entityUnited States
BLUE MOON FINANCIAL LLCLegal entityUnited States
BNY MELLON SECURITIES LLCLegal entityUnited States
BRENDA LOIS HOBSONLegal entityUnited States
Brian F. GimelsonLegal entityUnited States
OverviewDownloadAPIRecent additions
OpenSanctions · Find sanctions targets and persons of interest
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