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:
Total32,629
Searchable14,511
Targets14,511
Entity types:
Legal entities14,511
Countries:
United States14,511
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:2026-01-28 02:02:02 · v. 20260128020202-fqt
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 entities26.32 MB
names.txtTarget names text file302.13 KB
senzing.jsonSenzing entity format6.23 MB
targets.nested.jsonTargets as nested JSON26.52 MB
targets.simple.csvTargets as simplified CSV2.75 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
Alexis LertoraLegal entityUnited States
Allen HershbergLegal entityUnited States
AMERICA'S GROWTH CAPITAL LLCLegal entityUnited States
AMERITAS INVESTMENTS CORP.Legal entityUnited States
Andrew B. ElsofferLegal entityUnited States
ANDREW SIRICOLegal entityUnited States
ANTHONY CHARLES TROIALegal entityUnited States
ARMEN KARAPETYANLegal entityUnited States
ASHLEY L. ROBINSONLegal entityUnited States
AURA FINANCIAL SERVICES INC. LEONARD FARBERLegal entityUnited States
BASIS FINANCIAL LLCLegal entityUnited States
BASIS FINANCIAL LLC ARMEN KARAPETYANLegal entityUnited States
BEDMINSTER FINANCIAL GROUP LTD.Legal entityUnited States
BEDMINSTER FINANCIAL GROUP LTD. ROBERT M. VAN PELTLegal entityUnited States
BENJAMIN LEE COYNERLegal entityUnited States
Code on GitHub
OverviewDownloadAPIRecent additions
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