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 06, 2011 | 2005003437102 | Michael Lee Bullock | Disciplinary Decision |
| April 15, 2011 | 20100226181 | NAC Redacted Membership Decision 20100226181 | Membership Decision |
| March 03, 2011 | 2005000075703 | Midas Securities, LLC, World Trade Financial Corporation, Jason Troy Adams, Frank Edward Brickell, Jay S. Lee, and Rodney Preston Michel | Disciplinary Decision |
| February 24, 2011 | 20070094345,20070111775 | John E. Mullins and Kathleen M. Mullins | Disciplinary Decision |
| January 07, 2011 | 2007009082902 | Richard A. Neaton | Disciplinary Decision |
| January 01, 2011 | SD11004 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2011 | SD11008 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2011 | SD11005 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2011 | SD11006 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2011 | SD11001 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2011 | SD11002 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2011 | SD11007 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2011 | SD11003 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| December 28, 2010 | 2006007544401 | M. Paul De Vietien | Disciplinary Decision |
| December 22, 2010 | 2006005318801 | Kent M. Houston | Disciplinary Decision |
| December 17, 2010 | 2007009848801 | Dante J. DiFrancesco | Disciplinary Decision |
| November 30, 2010 | 20090196759 | NAC Redacted Membership Decision 20090196759 | Membership Decision |
| October 26, 2010 | E102003025201 | Robert Conway and Kakit Ng | Disciplinary Decision |
| October 21, 2010 | 2006005696601 | Westrock Advisors, Inc. | Disciplinary Decision |
| October 15, 2010 | 2007008358101 | Vincent P. McCrudden | Disciplinary Decision |
| October 08, 2010 | 2005000879302 | Legacy Trading Co., LLC and Mark Alan Uselton | Disciplinary Decision |
| October 08, 2010 | 2008012026601 | CMG Institutional Trading, LLC and Shawn D. Baldwin | Disciplinary Decision |
| September 28, 2010 | 20090182345 | In the Matter of the New Membership Application of Firm A | Membership Decision |
| August 19, 2010 | 2006003834901 | Moustafa M. Zayed | Disciplinary Decision |
| August 18, 2010 | 20090173549 | In the Matter of the Membership Continuance Application of Applicant Firm A | Membership Decision |