Last modified: September 26, 2016
FINRA's Arbitration Awards database enables users to perform Web-based searches for FINRA and historical NASD arbitration awards free of charge, seven days a week. Also available through the site are historical awards for New York Stock Exchange, the American Stock Exchange, the Philadelphia Stock Exchange, and the Municipal Securities Rulemaking Board. Users may search for awards by Case Number, Document Text, Date of Award (by date range), Forum, Document Type, or a combination of search parameters. Awards can be viewed online, printed, or downloaded as text-searchable PDF files.
- Changes to Arbitration Awards Online. FINRA reserves the right to modify or discontinue Arbitration Awards Online with or without notice to you. FINRA will not be liable to you or any third party should it exercise its right to modify or discontinue Arbitration Awards Online. If you object to any such changes, your sole recourse will be to cease access to Arbitration Awards Online and any data accessed through Arbitration Awards Online. Continued use of Arbitration Awards Online or Arbitration Awards Online data following notice of any such changes will indicate your acknowledgement of such changes and satisfaction with Arbitration Awards Online as so modified.
- to assist you, your clients or your organization in determining whether to continue to conduct securities or commodities business with FINRA member firms or their associated persons;
- to assist you, your clients or your organization in judicial proceedings or arbitration proceedings relating to securities or commodities transactions;
- to assist you, your clients or your organization in complying with securities or financial services laws, rules and regulations; or
- for purposes consistent with the promotion of just and equitable principles of trade and the protection of investors and the public interest.
All other uses are prohibited.
- decompile, reverse engineer, disassemble, modify, distribute, or create derivative works or improvements from Arbitration Awards Online or any portion thereof, or attempt to discover any source code, protocols, or other trade secrets in Arbitration Awards Online;
- obtain or attempt to obtain unauthorized access to FINRA’s network;
- incorporate Arbitration Awards Online into any hardware or software device;
- use, export, or re-export Arbitration Awards Online in violation of applicable laws or regulations;
- sell, lease, loan, distribute, transfer, or sublicense Arbitration Awards Online or the data contained therein or access thereto or derive income from the use or provision thereof, whether for direct commercial or monetary gain or otherwise;
- develop or create a database of data using Arbitration Awards Online or the data contained therein;
- use any process to monitor or copy Arbitration Awards Online in bulk, or to make voluminous, excessive or repetitive requests for data, or use any data mining, scraping or harvesting tools (including robots) or any similar data gathering or extraction tools;
- use any device, software or routine to bypass any software or hardware that prohibits volume, excessive or repetitive requests for data;
- attempt to interfere or interfere with the proper working of Arbitration Awards Online, including taking any action that imposes an unreasonable or disproportionately large load on Arbitration Awards Online or FINRA;
- alter or modify, or create derivative works or improvements from, Arbitration Awards Online data;
- use Arbitration Awards Online or Licensed Marks in a manner that infringes, violates or misappropriates FINRA’s, its affiliates, or a third party’s intellectual property rights;
- display Arbitration Awards Online or the Licensed Marks on any website or in any manner that disparages FINRA or is otherwise threatening, vulgar or inappropriate as FINRA determines, in its sole discretion; or
- use Arbitration Awards Online for any purposes for which you have not been granted written permission by FINRA.
FINRA, in its sole discretion, may approve or reject any requests.
- Disclaimers; Limitation of Liability.
- YOU ACKNOWLEDGE AND AGREE THAT ARBITRATION AWARDS ONLINE IS PROVIDED "AS IS" AND "AS AVAILABLE" WITH ALL FAULTS AND THAT YOUR USE OF ARBITRATION AWARDS ONLINE SHALL BE AT YOUR SOLE RISK. TO THE FULLEST EXTENT PERMITTED BY LAW, FINRA, ITS OFFICERS, DIRECTORS, EMPLOYEES, AGENTS, AFFILIATES, AND LICENSORS (THE “FINRA PARTIES”) DISCLAIM ALL WARRANTIES, EXPRESS OR IMPLIED, IN CONNECTION WITH ARBITRATION AWARDS ONLINE AND YOUR USE THEREOF. FINRA MAKES NO WARRANTIES OR REPRESENTATIONS ABOUT THE QUALITY, ACCURACY OR COMPLETENESS OF ARBITRATION AWARDS ONLINE AND ASSUMES NO LIABILITY OR RESPONSIBILITY FOR ANY: (I) ERRORS OR OMMISSIONS IN ANY CONTENT; (II) TECHNICAL ERRORS AFFECTING ARBITRATION AWARDS ONLINE IN ANY WAY; (III) BUGS, VIRUSES, TROJAN HORSES, OR THE LIKE WHICH MAY BE TRANSMITTED TO OR THROUGH ARBITRATION AWARDS ONLINE BY ANY THIRD PARTY; AND/OR (IV) LOSS OR DAMAGE OF ANY KIND INCURRED AS A RESULT OF THE USE OF ARBITRATION AWARDS ONLINE.
- NO ADVICE, INFORMATION, OR DATA, WHETHER ORAL OR WRITTEN, OBTAINED BY YOU FROM FINRA OR THROUGH OR FROM USE OF ARBITRATION AWARDS ONLINE SHALL BE INTENDED TO PROVIDE ANY LEGAL, TAX, INVESTMENT OR FINANCIAL ADVICE OR TO BE COMPLETE ON ANY SUBJECT MATTER CONTAINED THEREIN.