How to Research SEC Enforcement Actions with Claude
Research SEC enforcement actions with Claude and ToolRouter. Check regulatory history for advisors, brokers, and firms.
Tool
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
Steps
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
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
- 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