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, 2005 | SD05004 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2005 | SD05007 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2005 | SD05001 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2005 | SD05005 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2005 | SD05009 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2005 | SD05010 | In the Matter of X as a Limited Representative – Corporate Securities Representative | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2005 | SD05003 | In the Matter of the Continued Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2005 | SD05006 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| December 21, 2004 | C8B030012 | Mark F. Mizenko | Disciplinary Decision |
| December 20, 2004 | CMS000142 | Ko Securities, Inc. | Disciplinary Decision |
| December 09, 2004 | CMS020143 | Joseph A. Geraci, II | Disciplinary Decision |
| December 02, 2004 | C02020055 | VMR Capital Markets US | Disciplinary Decision |
| November 22, 2004 | CAF030008 | Frank Peter Quattrone | Disciplinary Decision |
| October 12, 2004 | SD04005 | In the Matter of the Continued Association of X | Redacted Decision, Statutory Disqualification, Denials |
| September 07, 2004 | C3B020015 | Davrey Financial Services, Inc. | Disciplinary Decision |
| August 20, 2004 | C10030003 | In the Matter of Department of Enforcement, Complainant vs. Respondent Firm | Disciplinary Decision, Redacted Decision |
| August 16, 2004 | CAF010021 | J. Alexander Securities, Inc. | Disciplinary Decision |
| August 16, 2004 | C01020025 | Brookes McIntosh Bendetsen | Disciplinary Decision |
| August 12, 2004 | C9B020032 | Rooney A. Sahai | Disciplinary Decision |
| August 09, 2004 | C01020025 | Brookes McIntosh Bendetsen | Disciplinary Decision |
| August 09, 2004 | C3B020013 | Christopher R. Van Dyk | Disciplinary Decision |
| July 30, 2004 | C06020003 | Eric H. Dieffenbach and Michel A. Rooms | Disciplinary Decision |
| May 13, 2004 | C9A020052 | Guang Lu | Disciplinary Decision |
| May 11, 2004 | C01020014 | Paul Joseph Benz | Disciplinary Decision |
| April 27, 2004 | C10020060 | Andrew C. Knight | Disciplinary Decision |