Mortgage & Financial Service Sanctions Source

The Sanctions file contains formal sanctions against members of financial and health care services industries by a comprehensive range of federal and state regulatory agencies.

This file provides a means to quickly investigate the background of parties, witnesses or experts, and examine affiliations of litigants.

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The following table provides details about this source.

Source Details
Source Element Details
Date Coverage From 1989 through current for most agencies
Frequency Biweekly
Update Schedule Within 24 hours of publication
Sources Abstracts are collected from various federal and state agencies

The following agencies are included:

  • FINRA (Financial Industry Regulatory Authority) formerly NASD
  • SEC (Securities and Exchange Commission)
  • HUD (actions through Mortgage Review Board)
  • Stock exchanges
  • State mortgage regulators
  • Other federal and state agencies 
Possible Record Details
  • Name of the individual or institution
  • Jurisdiction
  • Agency
  • Date
  • Case number
  • Action taken
  • Incident description
  • Status
  • Disposition
Searchable Fields
  • Last Name
  • First Name
  • Company Name
  • Case Number