FINRA Disciplinary Actions Scraper

Extract disciplinary actions from FINRA's official enforcement database — covering broker sanctions, permanent bars, suspensions, fines, and consent orders against registered individuals and firms.

Built for compliance teams, due diligence analysts, legal researchers, and financial data aggregators who need structured, queryable enforcement data from FINRA.

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What data does this actor extract?

Each record includes:

Field	Description
case_id	Official FINRA case identifier
individual_name	Name of the sanctioned broker or individual
firm_name	Associated broker-dealer or firm
document_type	AWC, Decision, Order of Acceptance, etc.
action_date	Date the disciplinary action was issued
sanctions	Fine amount, suspension length, bar type
document_url	Direct link to the official PDF filing

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Use cases

• Broker background checks — screen financial professionals before hiring or partnering
• Compliance screening — automated monitoring of FINRA enforcement actions for AML/KYC workflows
• Due diligence — verify the disciplinary history of advisors before onboarding clients
• Legal research — track enforcement trends across document types and date ranges
• Financial journalism — investigate enforcement patterns against specific firms or individuals
• Data enrichment — cross-reference with CPA Leads Scraper or CFP Board Scraper to flag disciplined professionals in your lists

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Input

{
  "search": "smith",
  "firms": "Morgan Stanley",
  "dateFrom": "2023-01-01",
  "dateTo": "2024-12-31",
  "documentType": "All",
  "maxItems": 500
}

All fields are optional. Running with no input returns the full paginated dataset.

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Output sample

{
  "case_id": "2023078945601",
  "individual_name": "John D. Smith",
  "firm_name": "Morgan Stanley Smith Barney LLC",
  "document_type": "AWC",
  "action_date": "2024-03-15",
  "sanctions": "Fined $10,000; Suspended 30 days",
  "document_url": "https://www.finra.org/sites/default/files/fda_documents/2023078945601.pdf"
}

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Pricing

Charged per extracted disciplinary action record (disciplinary-record event). Minimum charge applies per run.

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Related actors

• 🇺🇸 CPA Leads Scraper USA — 720,000+ licensed CPAs with emails, phones, firm data
• 📋 CFP Board Scraper — 71,000+ Certified Financial Planners with planning services, languages, AUM minimums
• 🔍 GitHub Star Gazer — enrich GitHub stargazers with contact data

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Legal & compliance

This actor accesses only publicly available data from FINRA's official website. FINRA publishes disciplinary actions as part of its investor protection mandate under FINRA Rule 8313. No authentication required. No private data is accessed.

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Need a ready-to-use dataset?

Don't want to run the scraper yourself? A pre-built, regularly refreshed FINRA Disciplinary Actions dataset is available for direct purchase. Contact via Apify for bulk licensing or dataset delivery.