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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:
Total31,949
Searchable14,150
Targets14,150
Entity types:
Legal entities14,150
Countries:
United States14,150
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:2024-11-21 02:02:08
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 entities28.21 MB
names.txtTarget names text file281.66 KB
senzing.jsonSenzing entity format6.08 MB
targets.nested.jsonTargets as nested JSON28.4 MB
targets.simple.csvTargets as simplified CSV2.63 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
ADAM S. FRITZSCHELegal entityUnited States
ADMINISTRATIVE SYSTEMS INC.Legal entityUnited States
Ahmad M. MakloufLegal entityUnited States
Akinfolarin O. SessiLegal entityUnited States
Albert Harkless IIILegal entityUnited States
ALICE MAY RICELegal entityUnited States
ALLAN BRUCE ROSENTHALLegal entityUnited States
ANCORA SECURITIES INC.Legal entityUnited States
Andrew Robert DoughertyLegal entityUnited States
ANTHONY B. KERRIGONELegal entityUnited States
Anthony P. MashintonioLegal entityUnited States
ANTHONY RALPH CARDINOLegal entityUnited States
ANTHONY S. KOPPENHEFFERLegal entityUnited States
ARGENTUS SECURITIES LLC (F/K/A SUMMIT ALLIANCE SECURITIES LLC AND SIG SECURITIES INC.)Legal entityUnited States
Arthur B. McQuaideLegal entityUnited States
OverviewDownloadAPIRecent additions
OpenSanctions · Find sanctions targets and persons of interest
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