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:
Total33,645
Searchable14,646
Targets14,646
Entity types:
Legal entities14,646
Countries:
United States14,646
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: weekly
Last processed:
2026-10-03 02:02:04 · v. 20261003020204-ncc · change statistics...
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 entities28.45 MB
names.txtTarget names text file292.1 KB
senzing.jsonSenzing entity format6.21 MB
targets.nested.jsonTargets as nested JSON28.65 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 these API endpoints:

For entity matching, use the /match endpoint:
For full-text search, use the /search endpoint:
Use the Reconciliation API in OpenRefine:
Read the API docs
Authentication, endpoints and usage examples

Recent additions 

The following targeted entities have been added to this data source most recently:

AddedNameTypeCountries
ALLEN B. HOLEMANLegal entityUnited States
Harvey Alan BrodeLegal entityUnited States
John W. HowellLegal entityUnited States
Robert Wayne ThompsonLegal entityUnited States
RODNEY PRESTON MICHAELLegal entityUnited States
Rudy AnguianoLegal entityUnited States
Thomas Shelby BridgesLegal entityUnited States
John E. HerbertLegal entityUnited States
KEVIN P. CALANDROLegal entityUnited States
PARK CAPITAL SECURITIES LLCLegal entityUnited States
RICHARD W. ENGENLegal entityUnited States
ROBERT N. GEST JR.Legal entityUnited States
ALEX ETTERLegal entityUnited States
Andrew S. WaltersLegal entityUnited States
ANTHONY J. JOHNSONLegal entityUnited States
Code on GitHub
OverviewDownloadAPIRecent additions
OpenSanctions · Supreme Data on Supreme Leaders
OpenSanctions Datenbanken GmbH · info@opensanctions.org · https://opensanctions.org/meeting