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 |
|---|---|---|---|
| October 14, 2003 | SD03006 | In the Matter of the Continued Membership of Sponsoring Firm 1 | Redacted Decision, Statutory Disqualification, Denials |
| October 14, 2003 | SD03005 | In the Matter of the Continued Association of X | Redacted Decision, Statutory Disqualification, Denials |
| October 14, 2003 | SD03002 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| October 14, 2003 | SD03007 | In the Matter of the Continued Association of X | Redacted Decision, Statutory Disqualification, Denials |
| September 09, 2003 | C01000003 | U.S. Rica Financial, Inc. and Vinh Huu Nguyen | Disciplinary Decision |
| August 11, 2003 | C10000122 | Vincent J. Puma | Disciplinary Decision |
| August 11, 2003 | FPI020002 | Bret Steinhart | Disciplinary Decision |
| August 08, 2003 | C02010041 | Anthony H. Barkate | Disciplinary Decision |
| May 21, 2003 | FPI010004 | Toni Valentino | Disciplinary Decision |
| May 19, 2003 | C3A010009 | Mark H. Love | Disciplinary Decision |
| May 13, 2003 | C07010037 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Disciplinary Decision, Redacted Decision |
| May 07, 2003 | CAF010009 | Dane S. Faber | Disciplinary Decision |
| May 07, 2003 | CMS000015 | Amr "Tony" Elgindy and Key West Securities, Inc. | Disciplinary Decision |
| May 06, 2003 | C05010017 | James S. Davenport | Disciplinary Decision |
| April 25, 2003 | CAF010013 | Timothy J. Ryan | Disciplinary Decision |
| January 03, 2003 | C10010146 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Disciplinary Decision, Redacted Decision |
| November 27, 2002 | C01000037 | Pacific On-Line Trading & Securities, Inc., & Timothy Alan McAdams | Disciplinary Decision |
| November 13, 2002 | CMS000142 | Ko Securities, Inc. | Disciplinary Decision |
| October 27, 2002 | CAF980002 | John Fiero & Fiero Brothers, Inc. | Disciplinary Decision |
| October 21, 2002 | C10000122 | Vincent J. Puma | Disciplinary Decision |
| October 17, 2002 | C8A010020 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Disciplinary Decision, Redacted Decision |
| August 13, 2002 | C05010012 | Wendell D. Belden | Disciplinary Decision |
| July 29, 2002 | CAF000045 | Morgan Stanley DW Inc., et al. | Disciplinary Decision |
| June 03, 2002 | CAF000030 | Manual M. Bello | Disciplinary Decision |
| May 06, 2002 | CAF000015 | Josephthal & Co. Inc. | Disciplinary Decision |