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.
Tool
Partnering 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.
Agent Guides
Claude
- Connect ToolRouter to Claude: claude mcp add toolrouter -- npx -y toolrouter-mcp
- Ask Claude: "Search for SEC enforcement actions against [firm or individual name]"
- Claude returns any enforcement actions with violation types and sanctions
ChatGPT
- Add ToolRouter to ChatGPT using the MCP JSON configuration
- Ask: "Have there been any SEC enforcement actions against [name or firm]?"
- ChatGPT returns results with plain-language explanations of each violation
Copilot
- Add ToolRouter to your Copilot MCP configuration
- In Copilot Chat: "Search for SEC enforcement actions against [entity name]"
- Copilot returns structured enforcement data with violation types and sanctions
OpenClaw
- Connect ToolRouter to OpenClaw: openclaw mcp add toolrouter -- npx -y toolrouter-mcp
- Provide a list of entity names to screen
- Ask: "Search for SEC enforcement actions against each entity and flag any results"
Related Use Cases
Monitor Federal Register Notices
Search the Federal Register for proposed rules, final regulations, and agency notices affecting your industry.