FINRA Disciplinary Actions Online Database

Search for FINRA Disciplinary Actions

You can conduct a search for FINRA disciplinary actions that were issued during 2005 or later, and are eligible for publication pursuant to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information). Results will also include opinions issued by the SEC and federal appellate courts that relate to FINRA disciplinary actions that have been appealed.

 

Search the FINRA Disciplinary Actions Online database using any combination of the following criteria:

  • Case Number
  • Document Text
  • Date Range
  • Document Type
  • Individual Name or CRD#
  • Firm Name or CRD#

 

 

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