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:
Total33,003
Searchable14,584
Targets14,584
Entity types:
Legal entities14,584
Countries:
United States14,584
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:2026-04-01 11:20:46 · v. 20260401112046-nqh
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 entities26.69 MB
names.txtTarget names text file284.46 KB
senzing.jsonSenzing entity format6.21 MB
targets.nested.jsonTargets as nested JSON26.89 MB
targets.simple.csvTargets as simplified CSV2.74 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
JUNG HAN KIMLegal entityUnited States
NATIONAL BANK OF CANADA FINANCIAL INC.Legal entityUnited States
Ronald J. KnightLegal entityUnited States
Adam C EllisonLegal entityUnited States
ADAM HENGLegal entityUnited States
AMR MOSTAFA ABOULMAGDLegal entityUnited States
BARBARA D. FIFELegal entityUnited States
Benjamin F. Edwards & Co. Inc.Legal entityUnited States
CARL KELLOGGLegal entityUnited States
Christopher Philip ArnellaLegal entityUnited States
Corey A. WhiteLegal entityUnited States
DANIEL A. KWIATKOWSKILegal entityUnited States
DANIEL J. TROLAROLegal entityUnited States
DANIEL RAY HARTLEYLegal entityUnited States
Daniel Richard HajdukLegal entityUnited States
Code on GitHub
OverviewDownloadAPIRecent additions
OpenSanctions · Supreme Data on Supreme Leaders
OpenSanctions Datenbanken GmbH · info@opensanctions.org · https://opensanctions.org/meeting