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.
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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 | ||||||
| Coverage: | added · frequency: weekly | ||||||
| Last processed: | 2026-10-29 11:11:05 · v. 20261029111105-nof · 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 | 4.53 MB | |
names.txt | Target names text file | 183.42 KB | |
senzing.json | Senzing entity format | 5.38 MB | |
targets.nested.json | Targets as nested JSON | 4.53 MB | |
targets.simple.csv | Targets as simplified CSV | 1.81 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 |
|---|---|---|---|
| MARK WILLIAM FOWLER | Person | United States | |
| MICHAEL MONTALVO | Person | United States | |
| DIMITRIOS K MICHELIS | Person | United States | |
| Manuel Fernandez2 | Person | United States | |
| JOSEPH FRANK LAUZON | Person | United States | |
| TRAVIS PRICE ALEXANDER | Person | United States | |
| ANTONIO SANDOVAL | Person | United States | |
| ERIC STEVEN SMITH | Person | United States | |
| Jacob Spencer | Person | United States | |
| DAVID SPENCER COOPER | Person | United States | |
| WILLIAM EARLE HILL | Person | United States | |
| CLINTON EDMUND GALLOWAY | Person | United States | |
| WILLIAM BERNARD TUNINK | Person | United States | |
| WILLIAM DAVID MILLER | Person | United States | |
| DAVID THOMAS HIXON | Person | 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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