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, 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 |
| January 01, 2006 | SD06005 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2006 | SD06010 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2006 | SD06015 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2006 | SD06007 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2006 | SD06002 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2006 | SD06003 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2006 | SD06006 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2006 | SD06011 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| December 30, 2005 | CAF030042 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Disciplinary Decision, Redacted Decision |
| December 28, 2005 | C02040016 | Philippe N. Keyes | Disciplinary Decision |
| December 12, 2005 | C07040077 | Dulce Maria Salaverria | Disciplinary Decision |
| December 07, 2005 | C11040006 | Justin F. Ficken | Disciplinary Decision |
| December 07, 2005 | C10030088 | Andrew P. Schneider | Disciplinary Decision |
| October 27, 2005 | C8A030099 | Timothy J. Duma | Disciplinary Decision |
| October 18, 2005 | C8A030078 | Scott E. Wiard & James D. Reisinger | Disciplinary Decision |
| October 12, 2005 | CMS030257 | In the Matter of Department of Market Regulation, Complainant, vs. Respondent | Disciplinary Decision, Redacted Decision |
| October 11, 2005 | C8A030089 | Joseph Rogala | Disciplinary Decision |
| October 03, 2005 | FPI040002 | Ryan & Company, LP and Scott W. Ryan | Disciplinary Decision |
| September 30, 2005 | CMS040165 | In the Matter of Department of Market Regulation, Complainant, vs.[Respondent Firm], et al. | Attorney Disqualification Ruling |
| September 06, 2005 | C01040001 | Department of Enforcement, Complainant, vs. Respondent Firm and Respondent | Disciplinary Decision, Redacted Decision |
| August 31, 2005 | CMS020247 | Terrance Yoshikawa | Disciplinary Decision |
| June 17, 2005 | CMS040165 | In the Matter of Department of Market Regulation, Complainant, vs.[Respondent Firm], et al. | Attorney Disqualification Ruling |
| June 14, 2005 | CAF010011 | J. Alexander Sec., Inc., Richard Newberg, James Alexander | Disciplinary Decision |