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:
Total32,742
Searchable14,483
Targets14,483
Entity types:
Legal entities14,483
Countries:
United States of America14,483
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:2025-07-14 02:10:15 · v. 20250714021015-jlm
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 entities28.94 MB
names.txtTarget names text file287.79 KB
senzing.jsonSenzing entity format6.15 MB
targets.nested.jsonTargets as nested JSON29.14 MB
targets.simple.csvTargets as simplified CSV2.68 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
A. GARY SHILLING & CO. INC.Legal entityUnited States of America
Aaron Capital Inc.Legal entityUnited States of America
ABHISHEK UPPALLegal entityUnited States of America
ADAM A. PFLUMLegal entityUnited States of America
Adam Thomas MarquardtLegal entityUnited States of America
Al T. DohertyLegal entityUnited States of America
ALAN GOLDLegal entityUnited States of America
ALAN J. BECKERLegal entityUnited States of America
Alan PriceLegal entityUnited States of America
ALBERT GARY SHILLINGLegal entityUnited States of America
Alberto J. VargasLegal entityUnited States of America
Alfredo CabaLegal entityUnited States of America
ALLAN RICHARD JOYCELegal entityUnited States of America
ALLEN MICHAEL KAYLegal entityUnited States of America
ALLEN WILLIAM FOILESLegal entityUnited States of America