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:
Total33,932
Searchable14,967
Targets14,967
Entity types:
Legal entities14,967
Countries:
United States14,967
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:
2026-08-11 13:38:26 · v. 20260811133826-bbh
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 entities28.18 MB
names.txtTarget names text file291.68 KB
senzing.jsonSenzing entity format6.37 MB
targets.nested.jsonTargets as nested JSON28.38 MB
targets.simple.csvTargets as simplified CSV2.81 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
ALLEN B. HOLEMANLegal entityUnited States
John E. HerbertLegal entityUnited States
KEVIN M. BROWNELegal entityUnited States
RODNEY PRESTON MICHAELLegal entityUnited States
CONVERGEX PRIME SERVICES LLCLegal entityUnited States
DeCarla MathisLegal entityUnited States
A. GARY SHILLING & CO. INC.Legal entityUnited States
ADAM A. PFLUMLegal entityUnited States
ADAM JAROD UTZLegal entityUnited States
ALBERT GARY SHILLINGLegal entityUnited States
ALLEN WILLIAM FOILESLegal entityUnited States
AMIR AQEELLegal entityUnited States
ANDREW J. PRAVLIKLegal entityUnited States
ANGELO ACHILLES ARMENTALegal entityUnited States
AS SUCCESSOR TO WELLS FARGO INVESTMENTS LLCLegal entityUnited States
Code on GitHub
OverviewDownloadAPIRecent additions
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