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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.
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| 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: | 2024-09-19 02:02:07 | ||||||
| Last change: |
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 name | Export type | Size | |
|---|---|---|---|
entities.ftm.json | FollowTheMoney entities | 26.75 MB | |
names.txt | Target names text file | 272.28 KB | |
senzing.json | Senzing entity format | 5.87 MB | |
targets.nested.json | Targets as nested JSON | 26.94 MB | |
targets.simple.csv | Targets as simplified CSV | 2.54 MB |
Help: Using the data · data model reference · delta updates · get support · commercial licensing
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: |
The following targeted entities have been added to this data source most recently:
| Added | Name | Type | Countries |
|---|---|---|---|
| 1717 CAPITAL MANAGEMENT COMPANY | Legal entity | United States | |
| A.C.R. SECURITIES INC. | Legal entity | United States | |
| A.R. Schmeidler and Co. Inc. | Legal entity | United States | |
| AARON D. SMALL | Legal entity | United States | |
| AARON D. VALLETT | Legal entity | United States | |
| ABHISHEK GHUWALEWALA | Legal entity | United States | |
| ACCELERATED CAPITAL GROUP | Legal entity | United States | |
| Adam Denny Estes | Legal entity | United States | |
| ADAM S. FRITZSCHE | Legal entity | United States | |
| ADRIAN ROBERT BARR | Legal entity | United States | |
| Advantage Capital Corporation | Legal entity | United States | |
| ADVEST INC. | Legal entity | United States | |
| AKBER SYED | Legal entity | United States | |
| AKEEM F. BELLO | Legal entity | United States | |
| ALAN E. BARTHOLEMY JR. | Legal entity | United States |
OpenSanctions is free for non-commercial users. Businesses must acquire a data license to use the dataset.