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 15, 2017 | 2011025444501 | Wood (Arthur W.) Company, Inc. | Disciplinary Decision |
| March 15, 2017 | 2009017440201 | APPEALED: Louis Ottimo | Disciplinary Decision |
| March 15, 2017 | 2010025087302 | APPEALED: Thaddeus J. North | Disciplinary Decision |
| March 13, 2017 | 2011027926301 | Matthew Joseph Sheerin | Disciplinary Decision |
| March 08, 2017 | SD-2117 | Craig Scott Taddonio as a General Securities Representative with Meyers Associates, L.P. (n/k/a Windsor Street Capital, LP) | Statutory Disqualification |
| January 25, 2017 | SD-2062 | Oppenheimer & Co., Inc. | Statutory Disqualification, Approvals |
| January 13, 2017 | 2013036799501 | J. Michael Casas | Disciplinary Decision |
| January 13, 2017 | 2011026346206 | Jaoshiang Luo | Disciplinary Decision |
| January 10, 2017 | 2012033362101 | Thomas Edmund Connors | Disciplinary Decision |
| January 06, 2017 | 2012030724101 | Fox Financial Management Corporation, Brian A. Murphy, James E. Rooney, Jr. | Disciplinary Decision |
| January 04, 2017 | 2014041319201 | Miguel Ortiz | Disciplinary Decision |
| October 11, 2016 | 2009020941801 | APPEALED: Lek Securities Corporation | Disciplinary Decision |
| October 03, 2016 | 2012032519101 | Robert Earl Holaday | Disciplinary Decision |
| September 08, 2016 | SD-2048 | Citigroup Global Markets Inc. | Statutory Disqualification |
| August 23, 2016 | 2011025675501 | APPEALED: Kimberly Springsteen-Abbott | Disciplinary Decision |
| August 03, 2016 | 2011025851501 | APPEALED: KCD Financial, Inc. | Disciplinary Decision |
| July 21, 2016 | 2010022601501 | Jack Brian Weinstock | Disciplinary Decision |
| July 20, 2016 | 2009020465801 | APPEALED: Keith D. Geary | Disciplinary Decision |
| July 20, 2016 | SD-2044 | Xavier Capdepon | Statutory Disqualification, Denials |
| July 19, 2016 | 2011028502101 | North Woodward Financial Corp. and Douglas A. Troszak | Disciplinary Decision |
| July 18, 2016 | 2012033351801 | Paolo Franca Iida | Disciplinary Decision |
| July 18, 2016 | 2012034389202 | APPEALED: Bernard G. McGee | Disciplinary Decision |
| June 17, 2016 | SD-2026 | RBS Securities, Inc. | Statutory Disqualification |
| May 20, 2016 | SD-2027 | APPEALED: Christopher Cota with Capital Financial Services, Inc. | Statutory Disqualification, Denials |
| May 16, 2016 | 2010022977801 | APPEALED: David B. Tysk | Disciplinary Decision |