US SEC Actions Due to Harmed Investors

JSON

Enforcement actions against persons and firms that had harmed investors

This dataset contains information about SEC enforcement actions where the defendants or respondents were ordered to pay financial judgments. In these instances, the SEC may work to distribute these funds to investors who were harmed.

Data overview

Entities:
Total1,640
Searchable820
Targets820
Entity types:
Legal entities820
Countries:
United States820
Publisher:Securities and Exchange Commission (SEC) · United States

The federal securities laws empower the Securities and Exchange Commission (SEC) with broad authority over all aspects of the securities industry. The SEC’s mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation.

Collections:in OpenSanctions Default · Regulatory Watchlists · Warrants and Criminal Entities
Information:www.sec.gov
Source data:www.sec.gov · HTML
Coverage:added · frequency: daily
Last processed:2025-12-05 23:47:02 · v. 20251205234702-eus
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 entities763.53 KB
names.txtTarget names text file17.54 KB
senzing.jsonSenzing entity format374.28 KB
targets.nested.jsonTargets as nested JSON774.74 KB
targets.simple.csvTargets as simplified CSV170.54 KB

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
Family Legacy Capital Credit Management LLCLegal entityUnited States
Hedrik F. JordaanLegal entityUnited States
One Thousand & One Voices Management LLCLegal entityUnited States
Gregory A. ZandloLegal entityUnited States
North East Asset Management Group Inc.Legal entityUnited States
Advanced Emissions Solutions Inc.Legal entityUnited States
Clifford Todd BoroLegal entityUnited States
Itai Royi LiptzLegal entityUnited States
Rimar Capital LLCLegal entityUnited States
Rimar Capital USA Inc.Legal entityUnited States
Alexander J. DillonLegal entityUnited States
Cosmin I. PanaitLegal entityUnited States
Dominion Energy South Carolina Inc.Legal entityUnited States
GPL Management LLCLegal entityUnited States
GPL Ventures LLCLegal entityUnited States
Code on GitHub
OverviewDownloadAPIRecent additions
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