US FINRA Enforcement Actions

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:
Total32,237
Searchable14,261
Targets14,261
Entity types:
Legal entities14,261
Countries:
United States of America14,261
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:2025-07-17 02:02:03 · v. 20250717020203-myo
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 entities28.49 MB
names.txtTarget names text file283.63 KB
senzing.jsonSenzing entity format6.06 MB
targets.nested.jsonTargets as nested JSON28.68 MB
targets.simple.csvTargets as simplified CSV2.64 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
Academy Securities Inc.Legal entityUnited States of America
ADOLFO LEON URIBELegal entityUnited States of America
ADVISORS CLEARING NETWORK INC.Legal entityUnited States of America
Allen & Company of Florida Inc.Legal entityUnited States of America
ALPS Distributors Inc.Legal entityUnited States of America
Alterna Securities Inc.Legal entityUnited States of America
American Funds and Trusts Inc.Legal entityUnited States of America
American Funds & Trusts Inc.Legal entityUnited States of America
Amina KennedyLegal entityUnited States of America
ANDREW MARK RUBYLegal entityUnited States of America
ANGELOS STEPHEN TSIGOUNISLegal entityUnited States of America
ANTHONY J. GASPEROLegal entityUnited States of America
ARCHIPELAGO TRADING SERVICES INC.Legal entityUnited States of America
Arnab SarkarLegal entityUnited States of America
AURIGA USA LLCLegal entityUnited States of America