Check FDIC Bank Failure Records
Look up FDIC bank failure history to research whether a bank or its predecessor failed and under what circumstances.
Research SEC Enforcement Actions
Search the SEC enforcement database to check whether an individual or firm has regulatory violations on record.
Quick answer: Use the Regulatory Actions tool through ToolRouter to research sec enforcement actions directly from Claude, ChatGPT, Microsoft Copilot, and OpenClaw — connect once, then drive it with plain-language prompts. No code required.
ToolPartnering with a financial advisor, hiring a broker-dealer, or investing through a fund manager without checking their regulatory history is a meaningful oversight. SEC enforcement actions are public record, but searching them requires knowing the right database and wading through case documents to find what actually happened.
Regulatory Actions searches the SEC enforcement database and returns any actions filed against an individual or entity. Each result includes the nature of the violation, the sanctions applied, and the date — giving you a clear picture of whether someone has a disciplinary history without manual EDGAR or PACER navigation.
Compliance officers, investors conducting due diligence, and financial journalists use this to surface enforcement history in seconds rather than searching through multiple regulatory portals.
How to research sec enforcement actions with Claude, ChatGPT, Microsoft Copilot, and OpenClaw
Connect ToolRouter
1Open connector settings Open Settings
2Add a custom connector with these details
Name
ToolRouterURL
https://api.toolrouter.com/mcp3Let Claude set you up Open Claude
Claude searches for enforcement actions and then helps you interpret the results. It explains what each type of violation means in practice, assesses the severity of the sanctions, and identifies whether a pattern of violations suggests a systemic issue versus a one-off incident — going beyond a list of results to an analytical judgment.
How to research sec enforcement actions
Once connected (see setup above), use the Regulatory Actions tool — the same steps work with Claude, ChatGPT, Microsoft Copilot, OpenClaw, and any MCP client:
- Ask Claude: "Search for SEC enforcement actions against [firm or individual name]"
- Claude returns any enforcement actions with violation types and sanctions
- Ask: "How serious are these violations and what sanctions were applied?"
- Ask: "Are there any patterns across multiple actions that suggest ongoing compliance issues?"
Example prompt
Try this with the Regulatory Actions tool
Search for SEC enforcement actions against Theranos and its founders. Summarise the violations, sanctions, and timeline. What does the enforcement history reveal about the nature of the fraud?
Tips
- Search both the individual and the firm they worked for — enforcement actions may be filed separately
- Ask Claude to distinguish between civil and administrative actions — the enforcement type affects severity
- Check the date of the most recent action — older violations matter less if the record is clean for 10+ years
Frequently Asked Questions
How do I research sec enforcement actions with an AI assistant?
Search the SEC enforcement database to check whether an individual or firm has regulatory violations on record. Connect the Regulatory Actions tool to Claude, ChatGPT, Microsoft Copilot, and OpenClaw through ToolRouter, then ask the assistant in plain language. For example: Ask Claude: "Search for SEC enforcement actions against [firm or individual name]" Claude returns any enforcement actions with violation types and sanctions
Which AI assistants can research sec enforcement actions?
Claude, ChatGPT, Microsoft Copilot, and OpenClaw can all research sec enforcement actions using the Regulatory Actions tool through ToolRouter, with no API keys or coding required.
What does the Regulatory Actions tool do?
Search SEC enforcement actions, CFPB complaints, FDIC bank failures, and Federal Register notices.
Related Use Cases
Monitor Federal Register Notices
Search the Federal Register for proposed rules, final regulations, and agency notices affecting your industry.