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Filtered: Companies US FINRA Enforcement Actions

Search guide · Data current as of 2026-02-19

BBVA Securities Inc.
Company · Regulator action · United States
BNP PARIBAS SECURITIES CORP
Company · Regulator action · United States
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Organization · Financial crime · Regulator action · United States
COBALT CAPITAL INC.
Company · Regulator action · Regulator warning · Canada · United States
GOLDMAN SACHS EXECUTION AND CLEARING, L.P.
Organization · Regulator action · United States
CAPITAL INSTITUTIONAL SERVICES INC.
Organization · Regulator action · United States
JONESTRADING INSTITUTIONAL SERVICES LLC
Organization · Regulator action · United States
Curvature Securities LLC
Organization · Regulator action · United States
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
Organization · Regulator action · United States
Industrial and Commercial Bank of China Financial Services LLC
Organization · Regulator action · United States
RBS SECURITIES INC
Company · Financial crime · Regulator action · United States
Tullett Prebon Financial Services LLC
Organization · Regulator action · United States
The Leaders Group Inc.
Company · Regulator action · United States
Merrill Lynch, Pierce, Fenner & Smith Inc.
Legal entity · Financial crime · Regulator action · United States
J.P. Morgan Securities LLC
Legal entity · Financial crime · Regulator action · United States
Sterne, Agee & Leach Inc.
Legal entity · Regulator action · United States
Morgan Stanley & Co. LLC
Legal entity · Financial crime · Regulator action · United States
WILLIAM B FRETZ JR
Legal entity · Financial crime · Regulator action · United States
Centaurus Financial Inc.
Legal entity · Financial crime · Regulator action · United States
Anastasios "Tommy" P. Belesis
Legal entity · Financial crime · Regulator action · United States
PENSON FINANCIAL SERVICES INC
Legal entity · Financial crime · Regulator action · United States
INTERACTIVE BROKERS L.L.C.
Company · Regulator action · United States
CITIGROUP GLOBAL MARKETS INC
Legal entity · Financial crime · Regulator action · United States
Credit Suisse Securities (USA) LLC
Legal entity · Regulator action · United States
H. BECK INC
Legal entity · Regulator action · United States

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Equivalent request

GET https://api.opensanctions.org/search/default?datasets=us_finra_actions&schema=Company

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Topics

14,798Regulator action 40Financial crime 12Bank 1Regulator warning

Data sources

14,798US FINRA Enforcement Actions 40US SEC Actions Due to Harmed Investors 10Business Identifier Code (BIC) Reference Data 4US Federal Reserve Enforcement Actions 1EU ESMA Sanctions 1PermID Open Data 1Singapore MAS Enforcement Actions 1US CFTC Enforcement Actions

Countries

14,798United States 1Canada

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