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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 · frequency: daily | ||||||
| Last processed: | 2025-03-24 02:02:05 | ||||||
| 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 | 28.7 MB | |
names.txt | Target names text file | 285.81 KB | |
senzing.json | Senzing entity format | 6.12 MB | |
targets.nested.json | Targets as nested JSON | 28.89 MB | |
targets.simple.csv | Targets as simplified CSV | 2.67 MB |
Help: Using the data · model reference · delta updates · support · change log · 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 |
|---|---|---|---|
| AandF FINANCIAL SECURITIES INC. | Legal entity | United States of America | |
| AARON B. WILBANKS | Legal entity | United States of America | |
| ACCESS SECURITIES INC. | Legal entity | United States of America | |
| ADOREAN BOLEANCU | Legal entity | United States of America | |
| Alan N. Lichtenstein | Legal entity | United States of America | |
| Alexander Blau | Legal entity | United States of America | |
| Alfonse Joseph Stazzone | Legal entity | United States of America | |
| ALLISON D. SALKE | Legal entity | United States of America | |
| ALVAREZ & MARSAL SECURITIES LLC | Legal entity | United States of America | |
| Amanda Lynn Williams | Legal entity | United States of America | |
| AMERICAN GENERAL SECURITIES INC. | Legal entity | United States of America | |
| ANDRES BARCENAS JR. | Legal entity | United States of America | |
| ANDREW ISRAEL | Legal entity | United States of America | |
| ANDREW J. FRANZ | Legal entity | United States of America | |
| ANGELYNE TAJUANA COLLINS | Legal entity | United States of America |
OpenSanctions is free for non-commercial users. Businesses must acquire a data license to use the dataset.