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:
Total33,389
Searchable14,753
Targets14,753
Entity types:
Legal entities14,753
Countries:
United States14,753
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: weekly
Last processed:2026-06-20 19:39:28 · v. 20260620193928-jbu
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 entities27.71 MB
names.txtTarget names text file287.53 KB
senzing.jsonSenzing entity format6.29 MB
targets.nested.jsonTargets as nested JSON27.9 MB
targets.simple.csvTargets as simplified CSV2.77 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
WELLS FARGO ADVISORS LLCLegal entityUnited States
A.C.R. SECURITIES INC.Legal entityUnited States
ADAM A. PFLUMLegal entityUnited States
ALAN EDWARD KUZMALegal entityUnited States
Alastair Jamie BarnesLegal entityUnited States
ALETHEIA SECURITIES INC.Legal entityUnited States
ALFRED P. MONTGOMERYLegal entityUnited States
ANASTASIOS P. BELESISLegal entityUnited States
ANDREW MOLEFFLegal entityUnited States
Arvest Wealth ManagementLegal entityUnited States
BARRY M. COBURNLegal entityUnited States
BERNARD L. GOLEMBELegal entityUnited States
BLAKE SHANAPHYLegal entityUnited States
BOBBY WAYNE BARNETTLegal entityUnited States
BRANDON J. THOMPSONLegal entityUnited States
Code on GitHub
OverviewDownloadAPIRecent additions
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