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 |
|---|---|---|---|
| October 09, 2024 | 2019061528001 | APPEALED: Spartan Capital Securities, LLC, John D. Lowry, and Kim M. Monchik | Disciplinary Decision |
| October 03, 2024 | 2020066627202 | APPEALED: Suzanne Marie Capellini | Disciplinary Decision |
| September 23, 2024 | ARB240006 | Stephen Walter Pendergast | Expedited Decision |
| April 08, 2024 | SD-2351 | Cetera Advisor Networks LLC | Statutory Disqualification, Approvals |
| April 08, 2024 | 2019064813801 | APPEALED: NYPPEX, LLC, Laurence Allen, and Michael Schunk | Disciplinary Decision |
| April 08, 2024 | SD-2352 | Cetera Advisors LLC | Statutory Disqualification, Approvals |
| March 14, 2024 | 2019064656601 | APPEALED: Charles Scott Burford | Disciplinary Decision |
| December 05, 2023 | SD-2330 | Joao M. Valente | Statutory Disqualification, Approvals |
| October 25, 2023 | SD-2325 | BTIG, LLC | Statutory Disqualification, Approvals |
| September 28, 2023 | 2018057235801 | APPEALED: Megurditch Patatian | Disciplinary Decision |
| September 21, 2023 | M00010008 | In the Matter of the Continuing Membership Application of Firm A | Membership Decision, Redacted Decision |
| September 15, 2023 | SD-2315 | Halifax America LLC | Statutory Disqualification, Approvals |
| June 16, 2023 | SD-2295 | Allen B. Holeman with David Lerner Associates. Inc. | Statutory Disqualification, Approvals |
| May 30, 2023 | 2015045257501 | APPEALED: Ricky Alan Mantei | Disciplinary Decision |
| April 19, 2023 | FPI220008 | Sally Nava Kanarek | Disciplinary Decision |
| April 13, 2023 | SD-2317 | David Girton with Blaylock Van, LLC | Statutory Disqualification, Approvals |
| March 23, 2023 | 2018057274302 | APPEALED: Jason Lynn DiPaola | Disciplinary Decision |
| March 23, 2023 | 2018058588501 | APPEALED: Christopher Peter Tranchina | Disciplinary Decision |
| January 17, 2023 | 2016050924601r | Bradley C. Reifler | Disciplinary Decision |
| January 06, 2023 | 2018058924502 | Adam James Makkai | Disciplinary Decision |
| December 29, 2022 | 2017053462401 | Robert Henderson | Disciplinary Decision |
| December 21, 2022 | SD-2294 | Heath Butler | Statutory Disqualification, Denials |
| October 18, 2022 | 2017052760001 | APPEALED: Nancy Kimball Mellon | Disciplinary Decision |
| October 17, 2022 | SD-2311 | William John Tobias | Statutory Disqualification, Approvals |
| October 13, 2022 | 2020065128501 | APPEALED: Wilfredo Felix, Jr. | Disciplinary Decision |