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 |
|---|---|---|---|
| July 28, 2009 | 2005000127502 | Steven Richard Jaloza, Neal Anthony Impellizeri and Michael Raymond Gimeli | Disciplinary Decision |
| July 23, 2009 | C07050042 | Wanda P. Sears | Disciplinary Decision |
| April 06, 2009 | ELI2004026701 | Iftikhar Ul Haq | Disciplinary Decision |
| February 25, 2009 | EAF0400300001 | Kirlin Securities, Inc., Anthony J. Kirincic, David O. Lindner and Andrew J. Israel | Disciplinary Decision |
| February 24, 2009 | E9A2002010501 | Kevin M. Glodek | Disciplinary Decision |
| January 01, 2009 | SD09002 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2009 | SD09005 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2009 | SD09001 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2009 | SD09003 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2009 | SD09008 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2009 | SD09006 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2009 | SD09007 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2009 | n/a | In the Matter of Corporation K | OTCBB, Redacted Decision |
| January 01, 2009 | SD09004 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| December 16, 2008 | E9A2004048801 | Brian J. Kelly | Disciplinary Decision |
| December 12, 2008 | C10040052 | Scott Mathis | Disciplinary Decision |
| December 10, 2008 | E8A2005014902 | North Woodward Financial Corp. and Douglas A. Troszak | Disciplinary Decision |
| October 09, 2008 | CMS030182 | Richard F. Kresge | Disciplinary Decision |
| October 06, 2008 | 2005001305701 | Harvest Capital Investments, LLC and Dennis Cotto | Disciplinary Decision |
| October 02, 2008 | 2005001819101 | Domestic Securities Inc. | Disciplinary Decision |
| September 23, 2008 | CMS040202 | Marshall J. Field | Disciplinary Decision |
| August 26, 2008 | CAF040058 | Andrew Gonchar and Polyvios Polyviou | Disciplinary Decision |
| August 20, 2008 | E8A2002109804 | Joseph A. Zaragoza | Disciplinary Decision |
| August 15, 2008 | E1020040926-01 | America First Associates Corp. and Joseph Ricupero | Disciplinary Decision |
| August 13, 2008 | E8A2003091501 | Roy M. Strong | Disciplinary Decision |