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:
Total31,824
Searchable14,105
Targets14,105
Entity types:
Legal entities14,105
Countries:
United States14,105
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:2025-10-22 02:09:32 · v. 20251022020932-fmq
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 entities28.09 MB
names.txtTarget names text file280.71 KB
senzing.jsonSenzing entity format6.01 MB
targets.nested.jsonTargets as nested JSON28.28 MB
targets.simple.csvTargets as simplified CSV2.65 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
ADAM R. GOLDSTEINLegal entityUnited States
ADNAN HAROON MOMINLegal entityUnited States
ALEKSANDR YUSUPOVLegal entityUnited States
ALEXIS J. RIVERALegal entityUnited States
Ameriprise advisor services inc.Legal entityUnited States
AMIE THERESA ROGERSLegal entityUnited States
ANDREW P. SCHNEIDERLegal entityUnited States
ANNA BRUNOLegal entityUnited States
Anthony P. MashintonioLegal entityUnited States
Antonio AlmeidaLegal entityUnited States
ANTONIO GARCIALegal entityUnited States
Armando VargasLegal entityUnited States
BARRETT & COMPANYLegal entityUnited States
BASIC INVESTORS INC.Legal entityUnited States
Bentley Edward BlackmonLegal entityUnited States
Code on GitHub
OverviewDownloadAPIRecent additions
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