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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: | 2025-07-17 02:02:03 · v. 20250717020203-myo | ||||||
| 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 | 28.49 MB | |
names.txt | Target names text file | 283.63 KB | |
senzing.json | Senzing entity format | 6.06 MB | |
targets.nested.json | Targets as nested JSON | 28.68 MB | |
targets.simple.csv | Targets as simplified CSV | 2.64 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 |
|---|---|---|---|
| Academy Securities Inc. | Legal entity | United States of America | |
| ADOLFO LEON URIBE | Legal entity | United States of America | |
| ADVISORS CLEARING NETWORK INC. | Legal entity | United States of America | |
| Allen & Company of Florida Inc. | Legal entity | United States of America | |
| ALPS Distributors Inc. | Legal entity | United States of America | |
| Alterna Securities Inc. | Legal entity | United States of America | |
| American Funds and Trusts Inc. | Legal entity | United States of America | |
| American Funds & Trusts Inc. | Legal entity | United States of America | |
| Amina Kennedy | Legal entity | United States of America | |
| ANDREW MARK RUBY | Legal entity | United States of America | |
| ANGELOS STEPHEN TSIGOUNIS | Legal entity | United States of America | |
| ANTHONY J. GASPERO | Legal entity | United States of America | |
| ARCHIPELAGO TRADING SERVICES INC. | Legal entity | United States of America | |
| Arnab Sarkar | Legal entity | United States of America | |
| AURIGA USA LLC | Legal entity | United States of America |
OpenSanctions is free for non-commercial users. Businesses must acquire a data license to use the dataset.