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FINRA Utility Menu

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For the Public

FINRA DATA

FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.

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For Industry Professionals

FINPRO

Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

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FINRA GATEWAY

Firm compliance professionals can access filings and requests, run reports and submit support tickets.

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DR PORTAL

Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal.

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  1. Rules & Guidance
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Adjudication and Decisions

Date of Decision Proceeding No. Title Type Order No.
July 20, 2017 2012034936005 David Joseph Escarcega Disciplinary Decision
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