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 10, 2021 | 2018059545201 | APPEALED: Robert Juan Escobio | Disciplinary Decision |
| February 09, 2021 | SD-2243 | Wells Fargo Securities, LLC | Statutory Disqualification, Approvals |
| December 22, 2020 | 2016050205901 | Charles A. Laverty | Disciplinary Decision |
| December 17, 2020 | 2017055608101 | Kapil Maheshwari | Disciplinary Decision |
| December 17, 2020 | 2015044782401 | APPEALED: Robbi J. Jones and Kipling Jones & Company, Ltd. | Disciplinary Decision |
| October 28, 2020 | SD-2226 | Zachary S. Brodt | Statutory Disqualification, Approvals |
| September 21, 2020 | 2014039174202 | Steven E. Larson | Disciplinary Decision |
| September 18, 2020 | 2015043646501 | APPEALED: Eric S. Smith | Disciplinary Decision |
| September 17, 2020 | 2016050938301 | APPEALED: Michael Joseph Clarke | Disciplinary Decision |
| June 29, 2020 | 2014042606902 | APPEALED: Silver Leaf Partners, LLC | Disciplinary Decision |
| June 23, 2020 | 2014041860801 | Sandlapper Securities, LLC, Trevor Lee Gordon, and Jack Charles Bixler | Disciplinary Decision |
| June 15, 2020 | 2015047005801 | Brian Colin Doherty | Disciplinary Decision |
| June 15, 2020 | 2014041868001 | Dennis A. Mehringer, Jr. | Disciplinary Decision |
| March 27, 2020 | 2015047303901 | Linda C. Milberger | Disciplinary Decision |
| March 27, 2020 | 2011027666902r | Merrimac Corporate Securities, Inc. and Robert G. Nash | Disciplinary Decision |
| March 27, 2020 | 2009017440201r | APPEALED: Louis Ottimo | Disciplinary Decision |
| March 16, 2020 | 2014043863001 | Peter Orlando | Disciplinary Decision |
| December 19, 2019 | SD-2246 | Banca IMI Securities Corp. | Statutory Disqualification, Approvals |
| December 19, 2019 | 2012032731802 | APPEALED: Wilson-Davis & Co., Inc., James C. Snow, and Byron B. Barkley | Disciplinary Decision |
| December 17, 2019 | SD-2121 | Interactive Brokers LLC | Statutory Disqualification, Approvals |
| December 16, 2019 | 2015045456401 | David O. Braeger | Disciplinary Decision |
| December 11, 2019 | SD-2186 | Joseph Campo with Moelis & Company, LLC | Statutory Disqualification, Approvals |
| December 11, 2019 | 2015046631101 | Robert R. Tweed | Disciplinary Decision |
| December 10, 2019 | 2013035865303 | Spencer Edwards, Inc. | Disciplinary Decision |
| October 02, 2019 | 2014040476901 | C.L. King & Associates, Inc. and Gregg Alan Miller | Disciplinary Decision |