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 02, 2000 | CAF980029 | Aleksandr Shvarts | Disciplinary Decision |
| June 01, 2000 | CMS970027 | Jerome E. Rosen | Disciplinary Decision |
| April 20, 2000 | C10970141 | Marlowe Robert Walker, III | Disciplinary Decision |
| April 19, 2000 | C07990016 | James O. Baxter, Jr. | Disciplinary Decision |
| April 18, 2000 | C3A980069 | Michael A. Usher | Disciplinary Decision |
| April 14, 2000 | CMS960174 | Vincent M. Carrella | Disciplinary Decision |
| April 10, 2000 | C01990002 | Bernard San Juan Rondez | Disciplinary Decision |
| April 06, 2000 | C07960105 | Wayne B. Vaughan | Disciplinary Decision |
| February 07, 2000 | CMS950041 | In the Matter of Market Regulation Committee, Complainant, vs. Respondent 1 and Respondent Firm 2 | Disciplinary Decision, Redacted Decision |
| January 18, 2000 | CMS960235 | Morgan Stanley & Co., Inc., Thomas Anthony Crocamo, Carl DeFelice, Joseph Louis Ferrarese, Peter William Ferriso, Jr., Robert Scott Ranzman, Charles McMichael Simonds, & David Robert Slaine | Disciplinary Decision |
| January 01, 2000 | SD00007 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2000 | SD00001 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2000 | SD00006 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2000 | SD00002 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2000 | SD00010 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2000 | SD00004 | Proposed Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2000 | SD00011 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2000 | SD00003 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2000 | SD00013 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Denials |
| January 01, 2000 | SD00005 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| January 01, 2000 | SD00012 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |
| December 17, 1999 | C02980051 | Gordon Kerr | Disciplinary Decision |
| December 14, 1999 | C04990005 | Bradford Lee Brinton | Disciplinary Decision |
| November 12, 1999 | C9A980021 | Robert J. Kendzierski | Disciplinary Decision |
| November 09, 1999 | C9B960013 | Steven D. Goodman | Disciplinary Decision |