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:
Total1,740
Searchable869
Targets869
Entity types:
Legal entities869
Countries:
United States869
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:
2026-10-07 23:47:05 · v. 20261007234705-kiq · 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 entities858.07 KB
names.txtTarget names text file18.52 KB
senzing.jsonSenzing entity format394.73 KB
targets.nested.jsonTargets as nested JSON869.95 KB
targets.simple.csvTargets as simplified CSV180.01 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 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
Anish ParvataneniLegal entityUnited States
Anthony CaineLegal entityUnited States
LJM Funds Management Ltd.Legal entityUnited States
LJM Partners Ltd.Legal entityUnited States
Platinum Wealth Partners Inc.Legal entityUnited States
Raymond Lawrence Lent (dba The Putney Financial GroupLegal entityUnited States
Registered Investment Advisors)Legal entityUnited States
Vanguard Advisers IncLegal entityUnited States
GlennCap LLCLegal entityUnited States
James BurlesonLegal entityUnited States
Jonathan Vincent GlennLegal entityUnited States
Zymergen Inc.Legal entityUnited States
David B. BodnerLegal entityUnited States
Moshe “Mark” FeuerLegal entityUnited States
Murray A. HuberfeldLegal entityUnited States
Code on GitHub
OverviewDownloadAPIRecent additions
OpenSanctions · Supreme Data on Supreme Leaders
OpenSanctions Datenbanken GmbH · info@opensanctions.org · https://opensanctions.org/meeting