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, 2004 | SD04013 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2004 | SD04001 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2004 | SD04012 | In the Matter of the Continued Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2004 | SD04006 | In the Matter of the Continued Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2004 | SD04009 | In the Matter of the Continued Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2004 | SD04014 | In the Matter of the Continued Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2004 | SD04003 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2004 | SD04016 | In the Matter of the Continued Membership of Firm 1 | Redacted Decision, Statutory Disqualification, Other |
| December 15, 2003 | C3A010045 | Investment Management Corp. and Kevin D. Kunz | Disciplinary Decision |
| December 15, 2003 | C8A020014 | Brad A. Roethlisberger | Disciplinary Decision |
| December 05, 2003 | C3A020013 | Joseph J. Vastano, Jr. | Disciplinary Decision |
| December 03, 2003 | C01010009 | Chris Dinh Hartley | Disciplinary Decision |
| November 13, 2003 | CAF000013 | Frank J. Skelly, III and Craig H. Gross | Disciplinary Decision |
| October 14, 2003 | SD03008 | In the Matter of X as a Limited Representative – Corporate Securities Representative | Redacted Decision, Statutory Disqualification, Denials |
| October 14, 2003 | SD03001 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| October 14, 2003 | SD03006 | In the Matter of the Continued Membership of Sponsoring Firm 1 | Redacted Decision, Statutory Disqualification, Denials |
| October 14, 2003 | SD03005 | In the Matter of the Continued Association of X | Redacted Decision, Statutory Disqualification, Denials |
| October 14, 2003 | SD03002 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| October 14, 2003 | SD03007 | In the Matter of the Continued Association of X | Redacted Decision, Statutory Disqualification, Denials |
| October 14, 2003 | SD03004 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| September 09, 2003 | C01000003 | U.S. Rica Financial, Inc. and Vinh Huu Nguyen | Disciplinary Decision |
| August 11, 2003 | FPI020002 | Bret Steinhart | Disciplinary Decision |
| August 11, 2003 | C10000122 | Vincent J. Puma | Disciplinary Decision |
| August 08, 2003 | C02010041 | Anthony H. Barkate | Disciplinary Decision |
| May 21, 2003 | FPI010004 | Toni Valentino | Disciplinary Decision |