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Firms and individuals that have faced FINRA disciplinary actions
This dataset comprises firms and individuals against whom FINRA has taken disciplinary actions for violations of its rules, federal securities laws, rules, and regulations or the rules of the Municipal Securities Rulemaking Board.
Documentation of disciplinary actions found here can include official complaints, decisions, and settlement agreements.
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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 · Warrants and Criminal Entities | ||||||
| Information: | www.finra.org | ||||||
| Source data: | www.finra.org · HTML | ||||||
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| Last checked: | · updated daily | ||||||
| Errors: | 1 Error | ||||||
| Warnings: | 1 Warning |
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 | 25.48 MB | |
names.txt | Target names text file | 259.83 KB | |
senzing.json | Senzing entity format | 5.56 MB | |
statistics.json | Dataset statistics | 683 B | |
targets.nested.json | Targets as nested JSON | 25.66 MB | |
targets.simple.csv | Targets as simplified CSV | 2.42 MB |
Help: Using the data · format reference · get support · commercial licensing
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: |
The following targeted entities have been added to this data source most recently:
| Added | Name | Type | Countries |
|---|---|---|---|
| 1 | Legal entity | United States | |
| CARLOS MARK SILVA | Legal entity | United States | |
| CHARLES BARNETT DAVIS JR. | Legal entity | United States | |
| CHARLES R. MARKS | Legal entity | United States | |
| CHARLES RODNEY GEORGE | Legal entity | United States | |
| CHERYL DANIEL | Legal entity | United States | |
| Choosri Lao | Legal entity | United States | |
| CHRIS CALIA | Legal entity | United States | |
| Christine A. Murphy | Legal entity | United States | |
| CHRISTOPHER D. NOWAK | Legal entity | United States | |
| Christopher Edward Bond | Legal entity | United States | |
| CHRISTOPHER F. FOSTER | Legal entity | United States | |
| CHRISTOPHER M. HAWN | Legal entity | United States | |
| Citigroup Global Markets lnc. | Legal entity | United States | |
| Claudio Leonardo Villa | Legal entity | United States |
OpenSanctions is free for non-commercial users. Businesses must acquire a data license to use the dataset.