US FINRA Barred Individuals

JSON

Individuals barred by FINRA and permanently prohibited from association with any FINRA member in any capacity.

This dataset comprises individuals who are permanently barred from associating with any FINRA member firm in any capacity, following a final disciplinary decision or expedited proceeding. Entries only appear on the list once the bar is final and the Exchange Act appeal period has expired. For fuller background on individual cases, see the linked FINRA BrokerCheck records.

Data overview 

Entities:
Total9,331
Searchable9,331
Targets9,331
Entity types:
People9,331
Countries:
United States9,331
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:
2026-09-10 11:11:02 · v. 20260910111102-clr · 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 entities4.51 MB
names.txtTarget names text file183.09 KB
senzing.jsonSenzing entity format5.38 MB
targets.nested.jsonTargets as nested JSON4.51 MB
targets.simple.csvTargets as simplified CSV1.81 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
WILLIAM BERNARD TUNINKPersonUnited States
Manuel FernandezPersonUnited States
WILLIAM DAVID MILLERPersonUnited States
DAVID THOMAS HIXONPersonUnited States
WILLIAM HOHILL SONGPersonUnited States
HANSPETER SCHIEGGPersonUnited States
Francisco M GomezPersonUnited States
RYAN MITCHELL PIGGPersonUnited States
Fernando MendezPersonUnited States
CHIHYU JERRY HSUPersonUnited States
KEITH WESLEY SCHONGARPersonUnited States
William KershawPersonUnited States
DANIELLE ROSE SONNENBERGPersonUnited States
KEVIN CHRISTOPHER MCCARTHYPersonUnited States
ROBERT LEROY METZPersonUnited States
Code on GitHub
OverviewDownloadAPIRecent additions
OpenSanctions · Supreme Data on Supreme Leaders
OpenSanctions Datenbanken GmbH · info@opensanctions.org · https://opensanctions.org/meeting