For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
The National Adjudicatory Council (NAC) is a FINRA committee that reviews initial decisions rendered in FINRA disciplinary and membership proceedings. While a decision is on appeal, the sanction is not actively enforced against the firm or individual. The NAC may affirm, dismiss, modify, or reverse any finding, or remand for further proceedings. The NAC may affirm, modify, reverse, increase, or reduce any sanction or impose any other fitting sanction.
Unless FINRA's Board of Governors decides to review the NAC's appellate decision, the NAC's decision represents FINRA's final action. A firm or individual can appeal FINRA's decision to the Securities and Exchange Commission.
| Date of Decision | Proceeding No. | Title | Type |
|---|---|---|---|
| January 01, 2009 | SD09001 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2009 | SD09003 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| December 16, 2008 | E9A2004048801 | Brian J. Kelly | Disciplinary Decision |
| December 12, 2008 | C10040052 | Scott Mathis | Disciplinary Decision |
| December 10, 2008 | E8A2005014902 | North Woodward Financial Corp. and Douglas A. Troszak | Disciplinary Decision |
| October 09, 2008 | CMS030182 | Richard F. Kresge | Disciplinary Decision |
| October 06, 2008 | 2005001305701 | Harvest Capital Investments, LLC and Dennis Cotto | Disciplinary Decision |
| October 02, 2008 | 2005001819101 | Domestic Securities Inc. | Disciplinary Decision |
| September 23, 2008 | CMS040202 | Marshall J. Field | Disciplinary Decision |
| August 26, 2008 | CAF040058 | Andrew Gonchar and Polyvios Polyviou | Disciplinary Decision |
| August 20, 2008 | E8A2002109804 | Joseph A. Zaragoza | Disciplinary Decision |
| August 15, 2008 | E1020040926-01 | America First Associates Corp. and Joseph Ricupero | Disciplinary Decision |
| August 13, 2008 | E8A2003091501 | Roy M. Strong | Disciplinary Decision |
| August 12, 2008 | E102004083702 | John C. Correro | Disciplinary Decision |
| August 07, 2008 | CMS040165 | Ara Proudian | Disciplinary Decision |
| May 20, 2008 | C07050050 | Stephen P. Dunbar | Disciplinary Decision |
| April 30, 2008 | CE3050003 | American Fund Distributors, Inc. | Disciplinary Decision |
| April 30, 2008 | E9B2003026301 | Carl Martin Trevisan | Disciplinary Decision |
| March 12, 2008 | CAF040052 | Jericho Nicolas, Angel Cruz and Anthony Joseph Martinez | Disciplinary Decision |
| March 07, 2008 | 2005002570601 | Paul Douglas Paratore | Disciplinary Decision |
| February 20, 2008 | E8A20050252 | CMG Institutional Trading, LLC and Shawn D. Baldwin | Disciplinary Decision |
| January 08, 2008 | CAF020048 | Vincent M. Uberti | Disciplinary Decision |
| January 04, 2008 | C3B050012 | Ronald Pellegrino | Disciplinary Decision |
| January 01, 2008 | SD08002 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2008 | SD08008 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |