US SEC actions due to harmed investors

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

Entity types:
Legal entities751
United States751
Publisher:US 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 Warrants and Criminal Entities · OpenSanctions Default
Source data:www.sec.gov · HTML
Last changed:
Last checked: · updated daily

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 entities671.37 KB
names.txtTarget names text file16.04 KB
senzing.jsonSenzing entity format341.42 KB
statistics.jsonDataset statistics622 B
targets.nested.jsonTargets as nested JSON681.64 KB
targets.simple.csvTargets as simplified CSV154.23 KB

Help: Using the data · format reference · get support · commercial 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:

DavidLegal entityUnited States
Esq.Legal entityUnited States
KaplanLegal entityUnited States
Anna SarabianLegal entityUnited States
Fieldman Rolapp & Associates Inc.Legal entityUnited States
Salomon Whitney LLCLegal entityUnited States
Aon Investments USA Inc.Legal entityUnited States
Claire P. ShaughnessyLegal entityUnited States
David TaylorLegal entityUnited States
fka Aon Hewitt Investment Consulting Inc.Legal entityUnited States
Raymond Allan FineLegal entityUnited States
Oppenheimerfunds Distributor Inc.Legal entityUnited States
7s Oil and Gas LLCLegal entityUnited States
A Chicago Convention Center LLCLegal entityUnited States
A-round Investment, SALegal entityUnited States