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:
Total32,958
Searchable14,579
Targets14,579
Entity types:
Legal entities14,579
Countries:
United States14,579
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:2025-11-05 02:02:03 · v. 20251105020203-fps
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 entities29.14 MB
names.txtTarget names text file289.99 KB
senzing.jsonSenzing entity format6.21 MB
targets.nested.jsonTargets as nested JSON29.34 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
ADRIENNE RENEE WILKERSONLegal entityUnited States
ALAN B. LEVINLegal entityUnited States
ALAN GOLDLegal entityUnited States
ALEXIS J. POLLARDLegal entityUnited States
ALVIN S. MIRMANLegal entityUnited States
AMERICAN EASTERN SECURITIES INC.Legal entityUnited States
ANDREW J. WHELANLegal entityUnited States
Anthony J. RussoLegal entityUnited States
Arthur EspinozaLegal entityUnited States
AS SUCCESSOR TO WELLS FARGO INVESTMENTS LLCLegal entityUnited States
AXA ADVISORS INC.Legal entityUnited States
Barbara J. WatersLegal entityUnited States
BENJAMIN Y. WHITELegal entityUnited States
BLAINE C. DAVISLegal entityUnited States
BRENDON W. MYERSLegal entityUnited States
Code on GitHub
OverviewDownloadAPIRecent additions
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