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 |
|---|---|---|---|
| May 02, 2014 | 2008012925001 | APPEALED: The Dratel Group, Inc. and William M. Dratel | Disciplinary Decision |
| April 24, 2014 | 2011029760201 | Charles Schwab & Company, Inc. | Disciplinary Decision |
| March 27, 2014 | SD-1975 | Patrick Dukette | Statutory Disqualification, Approvals |
| March 05, 2014 | 2009017527501 | Steven R. Tomlinson | Disciplinary Decision |
| February 25, 2014 | 2011025643201 | Ronald E. Walblay | Disciplinary Decision |
| February 21, 2014 | 2011029152401 | William Bruce Smith | Disciplinary Decision |
| February 20, 2014 | 2009018076101 | Blair Alexander West | Disciplinary Decision |
| February 19, 2014 | SD-1812 | Mitchell T. Toland | Statutory Disqualification, Denials |
| January 31, 2014 | SD-1794 | RBC Capital Markets, LLC | Statutory Disqualification |
| January 16, 2014 | SD-1750 | Joseph Popp | Statutory Disqualification |
| December 31, 2013 | 2009018771602 | Robert H. Watkins | Disciplinary Decision |
| December 31, 2013 | 2009016764901 | Robert Durant Tucker | Disciplinary Decision |
| December 26, 2013 | 20070082049 | Robert Marcus Lane and Jeffrey G. Lane | Disciplinary Decision |
| December 17, 2013 | 2008016437801 | Hugh Vincent Murray III | Disciplinary Decision |
| December 17, 2013 | 2006005259801 | John Joseph Plunkett | Disciplinary Decision |
| October 02, 2013 | 2008011762801 | Mitchell H. Fillet | Disciplinary Decision |
| October 01, 2013 | 2007010902501 | Jeffrey B. Pierce | Disciplinary Decision |
| July 25, 2013 | 20060053785-02 | Robert N. Drake | Disciplinary Decision |
| April 26, 2013 | 2008015934801 | Alan Jay Davidofsky | Disciplinary Decision |
| April 24, 2013 | 2009019369302 | Jeff Ng | Disciplinary Decision |
| March 04, 2013 | 2009017439601 | Timothy Joseph Golonka | Disciplinary Decision |
| February 26, 2013 | 2007010158001 | CapWest Securities, Inc.: Appealed | Disciplinary Decision |
| February 22, 2013 | 2006005318801 | Kent M. Houston | Disciplinary Decision |
| February 15, 2013 | 2007010580702 | Dennis Thomas Palmeri, Jr. | Disciplinary Decision |
| February 15, 2013 | 2008014621701 | Thomas Weisel Partners, LLC and Stephen H. Brinck, Jr. | Disciplinary Decision |