Sunlight Foundation

Buried Treasure What we don't know about money in America

Enforcement Data Sets

  • Broker-dealer disciplinary records

    Financial Industry Regulatory Authority (FINRA), a self regulating organization (SRO), provides this database for searching for broker-dealers' disciplinary records and other information.

  • Dodd-Frank Meeting logs

    In the spirit of transparency, the major federal financial agencies have been posting records of their meetings with outside representatives to discuss implementation of the Dodd-Frank financial law. However, each agency posts this information at different times and in varying formats. The Dodd-Frank meeting log tracker provides a way to search all of these records in one place.

  • Investment adviser disciplinary records

    The Securities and Exchange Commission (SEC) maintains this database where consumers can search for investment advisers and their disciplinary records, as well as other information.

Reporting on Enforcement

  1. Meetings missing from CFTC website

    By Nancy Watzman Dec 7, 2011 1:32 p.m.

    A week before Commodity Futures Trading Commission (CFTC) commissioners unanimously approved new rules restricting how brokerage firms may invest customer funds, executives from Newedge, which had pushed against the rules along with the now bankrupt firm MF Global, attended several meetings with high ranking CFTC officials.

    Read all about it

  2. Bank fees are up, but disclosure is sorely lacking

    By Nancy Watzman Sep 28, 2011 9:29 a.m.

    As banks continue to raise their fees for consumer accounts, and free checking appears to be going the way of the dodo, banks have a decidedly spotty record on clearly disclosing these fees to their customers--even though they are required to do so by law.

    Read all about it

  3. One out of ten investment advisers disciplined

    By Nancy Watzman Jun 29, 2011 12:19 p.m.

    Throughout his career as a broker-dealer, Anthony Gerard Manaia has been fired twice. He’s been the subject of 18 complaints by disgruntled investors, most of whom accused him of putting their money in risky investments without their knowledge.  He’s currently under investigation for his role in a scandal around offerings by a medical financing company that a federal agency has accused of misappropriating investor funds.

    Read all about it

  4. Good investor data are hard to find

    By Nancy Watzman Jun 29, 2011 12:18 p.m.

    In a recent report to Congress, mandated by the Dodd-Frank financial overhaul law, the SEC maintained that "because selecting a broker-dealer or investment adviser is one of the most important decisions that investors face, information to help them make this choice should be easy to find, easy to use, and easy to understand."

    Read all about it

  5. Investment adviser contributions remain secret

    By Nancy Watzman Jun 16, 2011 7:50 a.m.

    Starting in March 2011, investment advisers who have government clients must keep records of campaign contributions made to elected officials or candidates. But these records are kept secret--buried in internal files, out of the public eye, and available for perusal only by certain government officials.

    Read all about it

  6. Overlooked part of Dodd-Frank law could keep information from the public

    By Nancy Watzman Feb 14, 2011 12:20 p.m.

    Buried in the massive Dodd-Frank financial law is a section that could prevent the public from obtaining records the government collects as part of its new oversight of hedge funds and other private funds managed by investment advisers.

    Read all about it

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