FINRA Disciplinary Actions Online

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.

Read these important notes about the scope of FINRA Disciplinary Actions Online and the documents contained within the database.

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

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