FINRA Disciplinary Actions Online Search Help

The Disciplinary Actions Online database allows you to search for specific cases or multiple cases that fit combinations of criteria you define. If your search yields too many results—or does not return any results—try one or more of the following suggestions.

  • If your search yields too many results, enter additional search criteria.
  • If your search does not yield any results, use fewer search fields.
  • Search using only the case number, which is unique to each case. This provides the most accurate results.
  • Increase the date range to expand your results, or decrease it to narrow them.
  • Check your search criteria for errors or misspellings.
  • If searching for an exact phrase, use quotation marks (e.g., "Jane Doe" or "failure to supervise").
  • If searching by rule number does not return the case you are looking for, the action may reference a rule that has since been superseded by a new FINRA rule—check the Rule Conversion Charts section of the FINRA Rule Consolidation page.

A disciplinary action may be unavailable if the action:

  • is not a FINRA action;
  • has not yet been published to the database; or
  • is not eligible for publication pursuant to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information).

If you continue to have trouble locating a specific action, email FINRA with your questions or comments.

Return to the Disciplinary Actions Online database.