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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:
Total32,729
Searchable14,478
Targets14,478
Entity types:
Legal entities14,478
Countries:
United States of America14,478
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:2025-06-15 02:02:04 · v. 20250615020204-jih
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 entities28.96 MB
names.txtTarget names text file287.74 KB
senzing.jsonSenzing entity format6.15 MB
targets.nested.jsonTargets as nested JSON29.15 MB
targets.simple.csvTargets as simplified CSV2.69 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.K. CAPITAL LLCLegal entityUnited States of America
A.R. SCHMEIDLER & CO. INC.Legal entityUnited States of America
Abed Adam DarwishLegal entityUnited States of America
ADAM D. MARCHLegal entityUnited States of America
Alan N. LichtensteinLegal entityUnited States of America
ALEX BETTS WILDERMUTHLegal entityUnited States of America
ALEX P. ANDERSONLegal entityUnited States of America
ALEXANDRA NEWMANLegal entityUnited States of America
Alfonse Joseph StazzoneLegal entityUnited States of America
ALFRED P. MONTGOMERYLegal entityUnited States of America
ALICIA M. MOELegal entityUnited States of America
ALVIN EDWIN GRAMENTZLegal entityUnited States of America
Amy PesinaLegal entityUnited States of America
ANDREW G. MCGRATHLegal entityUnited States of America
ANDREW P. SCHNEIDERLegal entityUnited States of America
OverviewDownloadAPIRecent additions
OpenSanctions · Find sanctions targets and persons of interest
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