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US SEC Actions Due to Harmed Investors

Enforcement actions against persons and firms that had harmed investors

This dataset contains information about SEC enforcement actions where the defendants or respondents were ordered to pay financial judgments. In these instances, the SEC may work to distribute these funds to investors who were harmed.

Data overview

Entities:
Total1,562
Searchable781
Targets781
Entity types:
Legal entities781
Countries:
United States781
Publisher:Securities and Exchange Commission (SEC) · United States

The federal securities laws empower the Securities and Exchange Commission (SEC) with broad authority over all aspects of the securities industry. The SEC’s mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation.

Collections:in OpenSanctions Default · Regulatory Watchlists · Warrants and Criminal Entities
Information:www.sec.gov
Source data:www.sec.gov · HTML
Coverage:added · frequency: daily
Last processed:2024-12-20 23:47:02
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 entities692.54 KB
names.txtTarget names text file16.63 KB
senzing.jsonSenzing entity format356.98 KB
targets.nested.jsonTargets as nested JSON703.22 KB
targets.simple.csvTargets as simplified CSV160.23 KB

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
PreIPO CorpLegal entityUnited States
Tyson WilliamsLegal entityUnited States
Back to Green Mining LLCLegal entityUnited States
Richard UrciuoliLegal entityUnited States
Summit Planning Group IncLegal entityUnited States
PHX Financial Inc.Legal entityUnited States
Theorem Fund Services LLCLegal entityUnited States
Pinnacle Investments LLCLegal entityUnited States
John Robert Jones Jr.Legal entityUnited States
Kik Interactive Inc.Legal entityUnited States
Stoner Cats 2 LLCLegal entityUnited States
Synchronoss Technologies Inc.Legal entityUnited States
Sterling Watters Capital Advisors LLCLegal entityUnited States
Sterling Watters Capital Management IncLegal entityUnited States
Sterling Watters Group LPLegal entityUnited States
OverviewDownloadAPIRecent additions
OpenSanctions · Find sanctions targets and persons of interest
OpenSanctions Datenbanken GmbH · info@opensanctions.org · https://opensanctions.org/meeting