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 |
|---|---|---|---|
| July 28, 1998 | C02970027 | Nancy H. Martin | Disciplinary Decision |
| July 24, 1998 | C07970045 | Ted D. Wells | Disciplinary Decision |
| July 22, 1998 | C8B960042 | In the Matter of District Business Conduct Committee For District No. 8, Complainant, vs. Respondent 1 | Disciplinary Decision, Redacted Decision |
| July 22, 1998 | C8B960042 | John A. Chepak | Disciplinary Decision |
| July 13, 1998 | CMS920091 | Michael J. Markowski & Joseph F. Riccio | Disciplinary Decision |
| July 09, 1998 | C01970012 | Monterey Bay Securities, Inc., & Kenneth Mark Doolittle | Disciplinary Decision |
| July 09, 1998 | C01970012 | In the Matter of District Business Conduct Committee for District No. 1, Complainant, vs. Respondent Firm 1 and Respondent 2 | Disciplinary Decision, Redacted Decision |
| July 08, 1998 | C10970007 | Lawrence P. Bruno, Jr. | Disciplinary Decision |
| July 02, 1998 | C07950058 | International Trading Group, Inc., & Daniel E. Carter | Disciplinary Decision |
| July 02, 1998 | C07950058 | In the Matter of District Business Conduct Committee For District No. 7 Complainant, vs. Respondent Firm 1 and Respondent 2 | Disciplinary Decision, Redacted Decision |
| July 02, 1998 | C01970017 | Glen McKinley Richars, III | Disciplinary Decision |
| July 02, 1998 | C01970012 | Monterey Bay Securities, Inc., & Kenneth Mark Doolittle | Disciplinary Decision |
| July 01, 1998 | C07970051 | Richard Timothy Greene | Disciplinary Decision |
| June 29, 1998 | No Complaint Number | Carlisle Investment Group, Ltd. | Disciplinary Decision |
| June 12, 1998 | C10930017 | Rafael Pinchas | Disciplinary Decision |
| June 12, 1998 | C9B950010 | Eliezer Gurfel | Disciplinary Decision |
| June 10, 1998 | C3A960009 | In the Matter of District Business Conduct Committee for District No. 3, Complainant, vs. Respondent Firm and Mr. Robert L. Stevens | Disciplinary Decision, Redacted Decision |
| June 04, 1998 | C07970024 | Michael L. Yancey | Disciplinary Decision |
| May 13, 1998 | C3A960040 | In the Matter of District Business Conduct Committee for District No. 3, Complainant, vs. Respondent 1 | Disciplinary Decision, Redacted Decision |
| March 22, 1998 | C8A960040 | In the Matter of District Business Conduct Committee For District No. 8, Complainant, vs. Respondent Firm 1, and Respondent 2 | Disciplinary Decision, Redacted Decision |
| March 22, 1998 | C8A960040 | Podesta & Co. & Carol P. Foley | Disciplinary Decision |
| March 12, 1998 | C3A960040 | Cindy M. Goldberg | Disciplinary Decision |
| March 06, 1998 | C02970007 | Aaron Eugene Granath | Disciplinary Decision |
| March 06, 1998 | C07960085 | Adam S. Levy | Disciplinary Decision |
| February 27, 1998 | CMS950110 | La Jolla Capital Corp. & Harold Bailey Gallison, Jr. | Disciplinary Decision |