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 |
|---|---|---|---|
| March 05, 2019 | 2014039839101 | Jim Jinkook Seol | Disciplinary Decision |
| January 29, 2019 | 2015044823501, 2015044823502 | Craig Scott Taddonio, Brent Morgan Porges, Edward Beyn | Disciplinary Decision |
| January 16, 2019 | 2013035130101 | APPEALED: Cantone Research, Inc., Anthony Cantone, and Christine Cantone | Disciplinary Decision |
| January 08, 2019 | 2013037522501 | APPEALED: Trevor Michael Saliba, Sperry Randall Younger, Richard Daniel Tabizon, and Arthur Mansourian | Disciplinary Decision |
| January 08, 2019 | 2015046759201 | Todd B. Wyche | Disciplinary Decision |
| December 20, 2018 | SD-2157 | Allan Wolfe | Statutory Disqualification, Approvals |
| November 29, 2018 | SD-2095 | Ronald B. Smith | Statutory Disqualification, Approvals |
| November 21, 2018 | SD-2203 | Gates Capital Corporation | Statutory Disqualification, Approvals |
| October 11, 2018 | 2012030731802 | APPEALED: William H. Murphy & Co., Inc., and William H. Murphy | Disciplinary Decision |
| October 04, 2018 | 2013037401001 | Stanley Clayton Niekras | Disciplinary Decision |
| October 03, 2018 | 2012033832501 | Matthew David Rubin | Disciplinary Decision |
| October 02, 2018 | 2014042291901 | APPEALED: Gopi Krishna Vungarala | Disciplinary Decision |
| August 17, 2018 | SD-2151 | Jesse B. Shelmire, IV with Stonegate Capital Markets, Inc. | Statutory Disqualification, Approvals |
| July 20, 2018 | 2014041724601 | APPEALED: Scottsdale Capital Advisors Corporation, John Joseph Hurry, Timothy Brian DiBlasi, and Darrel Michael Cruz | Disciplinary Decision |
| June 25, 2018 | SD-2183 | David Girton | Statutory Disqualification, Approvals |
| June 18, 2018 | SD-2181 | WNJ Capital,Inc. | Statutory Disqualification, Approvals |
| May 24, 2018 | SD-2132 | APPEALED: Kimberly Springsteen-Abbott | Statutory Disqualification, Denials |
| May 23, 2018 | 2012034393801 | Aon Miller | Disciplinary Decision |
| May 23, 2018 | 2012030564701 | Newport Coast Securities, Inc., Andre La Barbera, Douglas Leone | Disciplinary Decision |
| May 21, 2018 | 2014043001601 | Allen Holeman | Disciplinary Decision |
| May 17, 2018 | 2015044960501 | Michael Todd Clements | Disciplinary Decision |
| May 14, 2018 | SD-2172 | APPEALED: Windsor Street Capital, L.P. (f/k/a Meyers Associates, L.P.) | Statutory Disqualification, Denials |
| April 05, 2018 | SD-2150 | David P. Brown | Statutory Disqualification, Approvals |
| March 28, 2018 | 2011030293503 | Richard Gomez | Disciplinary Decision |
| March 19, 2018 | 2014040876001 | Kenneth J. Mathieson | Disciplinary Decision |