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:
Total33,999
Searchable15,079
Targets15,079
Entity types:
Legal entities15,079
Countries:
United States15,079
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:2026-03-11 02:02:02 · v. 20260311020202-nkz
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 entities27.5 MB
names.txtTarget names text file313.23 KB
senzing.jsonSenzing entity format6.47 MB
targets.nested.jsonTargets as nested JSON27.7 MB
targets.simple.csvTargets as simplified CSV2.86 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
Advantage Capital CorporationLegal entityUnited States
Andrey TkatchenkoLegal entityUnited States
ANGELYNE TAJUANA COLLINSLegal entityUnited States
ANTHONY MARK FARNSWORTHLegal entityUnited States
B-TRADE SERVICES LLCLegal entityUnited States
Barbara Dalton RussellLegal entityUnited States
BNP PARIBAS BROKERAGE SERVICES INC.Legal entityUnited States
Bradley Woods & Co. Ltd.Legal entityUnited States
Bradley Woods & Co. Ltd. Daniel RippLegal entityUnited States
BRIAN D. DURHAMLegal entityUnited States
BRIAN J. ROSSLegal entityUnited States
BROWN BROTHERS HARRIMAN & CO.Legal entityUnited States
BROWN BROTHERS HARRIMAN & CO. HAROLD A. CRAWFORDLegal entityUnited States
CAMERON BEALELegal entityUnited States
CARDINAL CAPITAL MANAGEMENT INC.Legal entityUnited States
Code on GitHub
OverviewDownloadAPIRecent additions
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