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 |
|---|---|---|---|
| April 26, 2002 | C10000037 | George M. Goritz | Disciplinary Decision |
| April 03, 2002 | C10000210 | James Henry Bond, III | Disciplinary Decision |
| March 27, 2002 | C8A000059 | Roger A. Hanson | Disciplinary Decision |
| March 26, 2002 | C10010005 | Jeffrey B. Hodde | Disciplinary Decision |
| March 20, 2002 | CAF000033 | Dennis Sturm | Disciplinary Decision |
| March 20, 2002 | C10000026 | Damien R. Douglas | Disciplinary Decision |
| March 20, 2002 | CAF000029 | In the Matter of Department of Enforcement, Complainant v. Respondent 1 | Disciplinary Decision, Redacted Decision |
| January 03, 2002 | C07000033 | Franklyn Ross Michelin & L.H. Ross & Co., Inc. | Disciplinary Decision |
| January 01, 2002 | SD02002 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2002 | SD02009 | In the Matter of the Continued Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2002 | SD02003 | In the Matter of the Continued Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2002 | SD02007 | In the Matter of the Continued Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2002 | SD02010 | In the Matter of the Continued Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2002 | SD02004 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2002 | SD02008 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2002 | SD02001 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| December 13, 2001 | C9A000027 | Luther A. Hanson | Disciplinary Decision |
| December 13, 2001 | C10000165 | Stephen D. Carcaterra | Disciplinary Decision |
| December 03, 2001 | C07000003 | Jack H. Stein | Disciplinary Decision |
| November 01, 2001 | C02000037 | Paul John Hoeper | Disciplinary Decision |
| August 16, 2001 | C05990026 | Christopher M. Block & Jeffrey S. Burke | Disciplinary Decision |
| August 15, 2001 | C8A990081 | James B. Chase | Disciplinary Decision |
| August 06, 2001 | C05990035 | John Lawson Greer, III | Disciplinary Decision |
| June 22, 2001 | CAF990018 | Ryan Mark Reynolds | Disciplinary Decision |
| June 04, 2001 | C8A980097 | Michael F. Flannigan & Protective Group Securities Corporation | Disciplinary Decision |