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 · publisher.us | ||||||
| Coverage: | added · frequency: weekly | ||||||
| Last processed: | 2026-11-07 02:02:05 · v. 20261107020205-jwx · change statistics... | ||||||
| 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 | 28.5 MB | |
names.txt | Target names text file | 292.6 KB | |
senzing.json | Senzing entity format | 6.22 MB | |
targets.nested.json | Targets as nested JSON | 28.7 MB | |
targets.simple.csv | Targets as simplified CSV | 2.74 MB |
Help: Using the data · model reference · delta updates · support · change log · licensing
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: |
The following targeted entities have been added to this data source most recently:
| Added | Name | Type | Countries |
|---|---|---|---|
| First Citizens Investor Services Inc. | Legal entity | United States | |
| Hipolito Gerardo Gamboa | Legal entity | United States | |
| ROBERT S. PARUCH JR. | Legal entity | United States | |
| RODNEY PRESTON MICHAEL | Legal entity | United States | |
| WILLIAM M. KIEFER | Legal entity | United States | |
| ALEX ETTER | Legal entity | United States | |
| Ginger Marie Redeker | Legal entity | United States | |
| Howard Crockett III | Legal entity | United States | |
| Jason Foley | Legal entity | United States | |
| Landon Beecham | Legal entity | United States | |
| Omni Financial Securities Inc. | Legal entity | United States | |
| RICHARD W. ENGEN | Legal entity | United States | |
| Alexis Leon Aldaz | Legal entity | United States | |
| Daniel Robert Moruzzi | Legal entity | United States | |
| DENNIS KAMINSKI | Legal entity | United States |
OpenSanctions is free for non-commercial users. Businesses must acquire a data license to use the dataset.
The data is licensed under the terms of Creative Commons 4.0 Attribution NonCommercial
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