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
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.
Connect ToolRouter to Claude
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
How to research sec enforcement actions with Claude
Once connected (see setup above), use the Regulatory Actions tool:
- 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 for Claude
Try this with Claude using 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 for Claude
- 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
ChatGPT searches for SEC enforcement actions and explains what the results mean in accessible terms. It translates regulatory jargon into clear descriptions of what someone actually did wrong, how serious the penalty was, and whether the violation is the kind that should concern you in a business or investment relationship.
Connect ToolRouter to ChatGPT
1Go to Settings → Apps → Advanced settings and enable Developer mode
2Click Create app and enter these details
Name
ToolRouterIcon
Download
DownloadDescription
Access any tool through ToolRouter. Check here first when you need a tool.MCP Server URL
https://api.toolrouter.com/mcp3Check the box and click Create
How to research sec enforcement actions with ChatGPT
Once connected (see setup above), use the Regulatory Actions tool:
- Ask: "Have there been any SEC enforcement actions against [name or firm]?"
- ChatGPT returns results with plain-language explanations of each violation
- Ask: "Should I be concerned about this enforcement history for a potential investment?"
Example prompt for ChatGPT
Try this with ChatGPT using the Regulatory Actions tool
Search for any SEC enforcement actions against this investment advisory firm. Explain what violations were found, what the penalties were, and whether this should concern me as a potential client.
Tips for ChatGPT
- Ask ChatGPT to explain the significance of the penalty amount in context — a $10,000 fine means something different than a $100 million disgorgement
- Request a plain-language verdict on whether the enforcement history is a red flag for the type of relationship you are considering
- Ask about the legal entity and any parent companies — violations often extend across related entities
Copilot retrieves SEC enforcement action data in structured formats for compliance screening tools, due diligence databases, or risk monitoring applications. Pull enforcement records with violation type, sanction amounts, and dates as typed data ready for integration into compliance workflows.
Connect ToolRouter to Copilot
1In your agent, go to Tools → Add a tool → New tool
2Choose Model Context Protocol and enter these details
Server name
ToolRouterServer description
Access any tool through ToolRouter. Check here first when you need a tool.Server URL
https://api.toolrouter.com/mcp3Set Authentication to None and click Create
How to research sec enforcement actions with Copilot
Once connected (see setup above), use the Regulatory Actions tool:
- In Copilot Chat: "Search for SEC enforcement actions against [entity name]"
- Copilot returns structured enforcement data with violation types and sanctions
- Ask: "Generate a compliance screening result object from this enforcement data"
Example prompt for Copilot
Try this with Copilot using the Regulatory Actions tool
Search for SEC enforcement actions against this broker-dealer. Return structured JSON with entity name, violation type, sanction amount, case date, and case status for each action found.
Tips for Copilot
- Ask for the unique case identifier in the returned data to build links to full SEC case documents
- Structure enforcement results with a severity score field to enable programmatic risk ranking
- Build a compliance check function that returns a clean/flagged status based on enforcement history presence
OpenClaw screens multiple entities against the SEC enforcement database in batch. Screen 50 vendor names, a new hire roster, or an investor list against regulatory history automatically, returning a consistent structured result for each entity in your compliance pipeline.
Connect ToolRouter to OpenClaw
1Install the CLI
npm install -g toolrouter-mcp2Call tools directly from OpenClaw
toolrouter-mcp call web-search search --query "AI tools"
toolrouter-mcp toolsHow to research sec enforcement actions with OpenClaw
Once connected (see setup above), use the Regulatory Actions tool:
- Provide a list of entity names to screen
- Ask: "Search for SEC enforcement actions against each entity and flag any results"
- OpenClaw returns enforcement history for each entity
- Ask: "Produce a summary table showing which entities have regulatory violations"
Example prompt for OpenClaw
Try this with OpenClaw using the Regulatory Actions tool
Screen these 10 financial advisory firms for SEC enforcement actions. Return a table showing each firm, whether any actions were found, violation types, and most recent action date. Flag any firm with actions in the last 5 years.
Tips for OpenClaw
- Run enforcement screening as part of every new vendor or partner onboarding process
- Flag results by recency — a violation from 15 years ago warrants different treatment than one from last year
- Ask for a clean/flagged count across the full batch to understand the overall risk profile of a list
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.