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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.
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| 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: |
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 name | Export type | Size | |
|---|---|---|---|
entities.ftm.json | FollowTheMoney entities | 28.94 MB | |
names.txt | Target names text file | 287.79 KB | |
senzing.json | Senzing entity format | 6.15 MB | |
targets.nested.json | Targets as nested JSON | 29.14 MB | |
targets.simple.csv | Targets as simplified CSV | 2.68 MB |
Help: Using the data · model reference · delta updates · support · change log · licensing
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: |
The following targeted entities have been added to this data source most recently:
| Added | Name | Type | Countries |
|---|---|---|---|
| A. GARY SHILLING & CO. INC. | Legal entity | United States of America | |
| Aaron Capital Inc. | Legal entity | United States of America | |
| ABHISHEK UPPAL | Legal entity | United States of America | |
| ADAM A. PFLUM | Legal entity | United States of America | |
| Adam Thomas Marquardt | Legal entity | United States of America | |
| Al T. Doherty | Legal entity | United States of America | |
| ALAN GOLD | Legal entity | United States of America | |
| ALAN J. BECKER | Legal entity | United States of America | |
| Alan Price | Legal entity | United States of America | |
| ALBERT GARY SHILLING | Legal entity | United States of America | |
| Alberto J. Vargas | Legal entity | United States of America | |
| Alfredo Caba | Legal entity | United States of America | |
| ALLAN RICHARD JOYCE | Legal entity | United States of America | |
| ALLEN MICHAEL KAY | Legal entity | United States of America | |
| ALLEN WILLIAM FOILES | Legal entity | United States of America |
OpenSanctions is free for non-commercial users. Businesses must acquire a data license to use the dataset.