JSON

US FINRA Enforcement Actions

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:
Total29,845
Searchable13,270
Targets13,270
Entity types:
Legal entities13,270
Countries:
United States of America13,270
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
Coverage:added · frequency: daily
Last processed:2025-03-26 02:02:02
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 entities26.22 MB
names.txtTarget names text file264.46 KB
senzing.jsonSenzing entity format5.65 MB
targets.nested.jsonTargets as nested JSON26.4 MB
targets.simple.csvTargets as simplified CSV2.47 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 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:

Recent additions

The following targeted entities have been added to this data source most recently:

AddedNameTypeCountries
2017054848101Legal entityUnited States of America
ADAM A. PFLUMLegal entityUnited States of America
Adam H. EzrilovLegal entityUnited States of America
ADAM JAROD UTZLegal entityUnited States of America
ALDO NESTOR MARCHENALegal entityUnited States of America
Alfredo CabaLegal entityUnited States of America
ALLIANZ LIFE FINANCIAL SERVICES LLCLegal entityUnited States of America
ANGELA L. BOUNDSLegal entityUnited States of America
Anthony Edward GuaimanoLegal entityUnited States of America
Anthony PaceLegal entityUnited States of America
ARGENTUS SECURITIES LLC (F/K/A SUMMIT ALLIANCE SECURITIES LLC AND SIG SECURITIES INC.)Legal entityUnited States of America
BAHRAM MIRHASHEMILegal entityUnited States of America
BEVERLY G. LOCHARDLegal entityUnited States of America
BRAD D. WILSONLegal entityUnited States of America
Bradley Thomas WastlerLegal entityUnited States of America
OverviewDownloadAPIRecent additions
OpenSanctions · Find sanctions targets and persons of interest
OpenSanctions Datenbanken GmbH · info@opensanctions.org · https://opensanctions.org/meeting