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, 2008 | SD08008 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2008 | SD08004 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2008 | SD08005 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2008 | SD08007 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2008 | SD08001 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2008 | SD08006 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| December 27, 2007 | E8A2004095901 | Jason A. Craig | Disciplinary Decision |
| December 20, 2007 | C9B040098 | Scott Epstein | Disciplinary Decision |
| December 14, 2007 | C05050015 | Kevin P. Calandro and James W. Browne | Disciplinary Decision |
| December 04, 2007 | C05020055 | Michael F. Siegel | Disciplinary Decision |
| October 18, 2007 | C10030095 | John Audifferen | Disciplinary Decision |
| October 11, 2007 | E0220030425-01 | Geoffrey Ortiz | Disciplinary Decision |
| September 28, 2007 | 200500631501 | Bryan L. Claggett | Disciplinary Decision |
| September 14, 2007 | C07050042 | Wanda P. Sears | Disciplinary Decision |
| August 12, 2007 | CAF030014 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Disciplinary Decision, Redacted Decision |
| July 31, 2007 | 20060058633 | NAC Redacted Membership Decision 20060058633 | Membership Decision |
| July 27, 2007 | E072004072501 | Andrew J. Hardin | Disciplinary Decision |
| July 27, 2007 | E9A2004001901 | Douglas J. Toth | Disciplinary Decision |
| July 26, 2007 | C07050029 | Anthony Cipriano | Disciplinary Decision |
| July 25, 2007 | C8A050055 | Daniel W. Bukovcik | Disciplinary Decision |
| July 25, 2007 | C02040016 | Philippe N. Keyes | Disciplinary Decision |
| July 10, 2007 | E9A2004001901 | Douglas J. Toth | Disciplinary Decision |
| May 24, 2007 | C02040032 | Dana N. Frankfort | Disciplinary Decision |
| May 11, 2007 | C05020055 | Michael F. Siegel | Disciplinary Decision |
| May 07, 2007 | C04050014 | Dennis P. Cooper | Disciplinary Decision |