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 |
|---|---|---|---|
| January 01, 2007 | SD07004 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2007 | SD07002 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2007 | SD07003 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| December 29, 2006 | C01040025 | Jimmie Lee Griffith | Disciplinary Decision |
| December 18, 2006 | C8A040079 | Gregory R. Masceri | Disciplinary Decision |
| December 18, 2006 | C9B040080 | Morton Bruce Erenstein | Disciplinary Decision |
| August 28, 2006 | C05030036 | Sisung Securities Corporation | Disciplinary Decision |
| August 17, 2006 | C9B040059 | Perpetual Securities, Inc., Cathy Y. Huang, and Youwei P. Xu | Disciplinary Decision |
| August 10, 2006 | A8A050063 | Homeland Securities Financial Services Group, Inc. | Membership Decision |
| August 08, 2006 | C9B040020 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Disciplinary Decision, Redacted Decision |
| August 07, 2006 | CMS040069 | Nicholas R. Sciascia | Disciplinary Decision |
| August 04, 2006 | CMS030182 | Richard F. Kresge | Disciplinary Decision |
| August 03, 2006 | C9B040033 | Robert M. Ryerson | Disciplinary Decision |
| July 28, 2006 | CAF030067 | Asensio Brokerage Services, Inc. n/k/a Integral Securities, Inc., and Manuel Peter Asensio | Disciplinary Decision |
| July 28, 2006 | C9B040069 | Howard Brett Berger | Disciplinary Decision |
| May 19, 2006 | C01040019 | Beerbaum & Beerbaum Financial and Insurance Services, Inc., and Hans N. Beerbaum | Disciplinary Decision |
| March 09, 2006 | CAF020048 | Vincent M. Uberti | Disciplinary Decision |
| March 02, 2006 | C9B020032 | Rooney A. Sahai | Disciplinary Decision |
| February 23, 2006 | C01040010 | Patrick Orvil Nugent | Disciplinary Decision |
| February 21, 2006 | C9B030076 | Raghavan Sathianathan | Disciplinary Decision |
| January 01, 2006 | SD06012 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2006 | SD06004 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2006 | SD06009 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2006 | SD06013 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2006 | SD06001 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |