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:
Total33,644
Searchable14,651
Targets14,651
Entity types:
Legal entities14,651
Countries:
United States14,651
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:
2026-09-26 12:14:17 · v. 20260926121417-hcc · 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 entities28.43 MB
names.txtTarget names text file291.98 KB
senzing.jsonSenzing entity format6.22 MB
targets.nested.jsonTargets as nested JSON28.63 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
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
BLAKE SHANAPHYLegal entityUnited States
KEVIN W. QUINNLegal entityUnited States
Norman FuchsLegal entityUnited States
Truist Investment Services Inc.Legal entityUnited States
Windsor Street Capital L.P.Legal entityUnited States
Bertram JohnsonLegal entityUnited States
Charles J. EhnotLegal entityUnited States
Code on GitHub
OverviewDownloadAPIRecent additions
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