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 |
|---|---|---|---|
| June 09, 2005 | CMS030181 | In the Matter of Department of Market Regulation, Complainant, vs. Respondent | Disciplinary Decision, Redacted Decision |
| May 25, 2005 | C10030110 | Ram Kapara | Disciplinary Decision |
| May 24, 2005 | C02020057 | Alvin W. Gebhart, Jr. and Donna T. Gebhart | Disciplinary Decision |
| May 18, 2005 | C8A030068 | Todd Grafenauer | Disciplinary Decision |
| May 18, 2005 | CMS030269 | Anthony John Orlando, Jr. and Philip Anthony Orlando | Disciplinary Decision |
| May 03, 2005 | C8A030062 | Paul Zdzieblowski | Disciplinary Decision |
| April 21, 2005 | C9B030045 | Michael O'Hare | Disciplinary Decision |
| April 05, 2005 | C10020090 | Joseph Abbondante | Disciplinary Decision |
| February 24, 2005 | C3A030017 | Fox & Company Investments, Inc. and James W. Moldermaker | Disciplinary Decision |
| February 14, 2005 | CMS030006 | Castle Securities Corp. | Disciplinary Decision |
| February 10, 2005 | C07030055 | PAZ Securities, Inc. and Joseph Mizrachi | Disciplinary Decision |
| January 01, 2005 | SD05001 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2005 | SD05005 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2005 | SD05009 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2005 | SD05010 | In the Matter of X as a Limited Representative – Corporate Securities Representative | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2005 | SD05003 | In the Matter of the Continued Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2005 | SD05006 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2005 | SD05008 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2005 | SD05004 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2005 | SD05007 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| December 21, 2004 | C8B030012 | Mark F. Mizenko | Disciplinary Decision |
| December 20, 2004 | CMS000142 | Ko Securities, Inc. | Disciplinary Decision |
| December 09, 2004 | CMS020143 | Joseph A. Geraci, II | Disciplinary Decision |
| December 02, 2004 | C02020055 | VMR Capital Markets US | Disciplinary Decision |
| November 22, 2004 | CAF030008 | Frank Peter Quattrone | Disciplinary Decision |