US FINRA Enforcement Actions

JSON

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:
Total33,908
Searchable15,049
Targets15,049
Entity types:
Legal entities15,049
Countries:
United States15,049
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
Tags:sector.financial
Coverage:added · frequency: daily
Last processed:2025-12-20 02:10:45 · v. 20251220021045-nyu
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 entities27.42 MB
names.txtTarget names text file313.06 KB
senzing.jsonSenzing entity format6.46 MB
targets.nested.jsonTargets as nested JSON27.62 MB
targets.simple.csvTargets as simplified CSV2.85 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
A.C.R. SECURITIES INC.Legal entityUnited States
Aarti Hinal PatelLegal entityUnited States
AEGIS CAPITAL CORP KEVIN C. MCKENNALegal entityUnited States
Al T. DohertyLegal entityUnited States
ANDREW S. PROPHETLegal entityUnited States
ANDREW TODD YOCUMLegal entityUnited States
Angel Lynn SimpsonLegal entityUnited States
ANTHONY CAMPENLegal entityUnited States
ANTHONY F. DUDZINSKI JR.Legal entityUnited States
ARIANE CAPITAL PARTNERS LLCLegal entityUnited States
ARIE BARONLegal entityUnited States
Arive Capital Markets LLCLegal entityUnited States
ASENSIO BROKERAGE SERVICES INC.Legal entityUnited States
ASENSIO BROKERAGE SERVICES INC. MANUEL PETER ASENSIOLegal entityUnited States
AURA FINANCIAL SERVICES INC. LEONARD FARBERLegal entityUnited States
Code on GitHub
OverviewDownloadAPIRecent additions
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