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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:
Total31,456
Searchable13,947
Targets13,947
Entity types:
Legal entities13,947
Countries:
United States13,947
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 · update frequency: daily
Last processed:2024-12-03 02:02:06
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 entities27.74 MB
names.txtTarget names text file277.31 KB
senzing.jsonSenzing entity format5.99 MB
targets.nested.jsonTargets as nested JSON27.93 MB
targets.simple.csvTargets as simplified CSV2.59 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
ANDREA SELANDERLegal entityUnited States
AUSDAL FINANCIAL PARTNERS INC.Legal entityUnited States
BRIAN S. BREWERLegal entityUnited States
CARSON WOODSLegal entityUnited States
CHARLES DIDOMENICOLegal entityUnited States
Daniel HoeflingerLegal entityUnited States
DAVID APPELLegal entityUnited States
DAVID B. MEDANSKYLegal entityUnited States
DERWARD KYLE RICHARDSONLegal entityUnited States
FORESIDE DISTRIBUTORS SERVICES LPLegal entityUnited States
GLENN A. MOFFITTLegal entityUnited States
GUY ROBERT INGLESLegal entityUnited States
HP SECURITIES INC.Legal entityUnited States
JASON EDWARD GREENSPONLegal entityUnited States
JEROME S. KRAUSELegal entityUnited States
OverviewDownloadAPIRecent additions
OpenSanctions · Find sanctions targets and persons of interest
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