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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:
Total29,478
Searchable13,105
Targets13,105
Entity types:
Legal entities13,105
Countries:
United States13,105
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 Warrants and Criminal Entities · OpenSanctions Default
Information:www.finra.org
Source data:www.finra.org · HTML
Last changed:
Date added:
Last checked: · updated daily

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 entities25.66 MB
names.txtTarget names text file260.95 KB
senzing.jsonSenzing entity format5.59 MB
statistics.jsonDataset statistics683 B
targets.nested.jsonTargets as nested JSON25.83 MB
targets.simple.csvTargets as simplified CSV2.44 MB

Help: Using the data · format reference · get support · commercial 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
CHRISTOPHER M. VOELKERLegal entityUnited States
CHRISTOPHER THOMPSONLegal entityUnited States
Cindy Maria FuzieLegal entityUnited States
Clark Dodge and Co. Inc.Legal entityUnited States
CONSOLIDATED FINANCIAL INVESTMENTS INC.Legal entityUnited States
CONTINENTAL INVESTORS SERVICES INC.Legal entityUnited States
DALE G FROEHLICHLegal entityUnited States
DALLAS R. SEAGRAVES IILegal entityUnited States
DAN JON CARPENTERLegal entityUnited States
DAN K. LYLegal entityUnited States
DANIEL A. BUCHALTERLegal entityUnited States
DANIEL FORREST BARRETTLegal entityUnited States
DANIEL J. BALBERLegal entityUnited States
Daniel M. KingLegal entityUnited States
Daniel N. WingerLegal entityUnited States