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 |
|---|---|---|---|
| November 04, 1999 | C8A980054 | Sylvester Cannon, Jr. | Disciplinary Decision |
| November 03, 1999 | C02980025 | Roger Harry Chlowitz | Disciplinary Decision |
| November 03, 1999 | C02970018 | In the Matter of District Business Conduct Committee For District No. 2, Complainant, vs. Respondent | Disciplinary Decision, Redacted Decision |
| November 03, 1999 | C04970050 | Ansula Pet Hwa Liu | Disciplinary Decision |
| October 31, 1999 | CAF980025 | Richard Stephen Levitov & Ralph Joseph Angeline | Disciplinary Decision |
| October 18, 1999 | C07980011 | Mark S. Balbirer | Disciplinary Decision |
| August 20, 1999 | C01970028 | In the Matter of District Business Conduct Committee For District No. 1, Complainant, vs. Respondent Firm 1 and Respondent 2 | Disciplinary Decision, Redacted Decision |
| August 12, 1999 | C07980019 | John D. Morgan | Disciplinary Decision |
| August 12, 1999 | C01970032 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Disciplinary Decision, Redacted Decision |
| August 09, 1999 | C01970001 | Joel Dean Moore | Disciplinary Decision |
| August 06, 1999 | C06910024 | In the Matter of District Business Conduct Committee For District No. 6 Complainant, vs. Respondent 1 | Disciplinary Decision, Redacted Decision |
| August 06, 1999 | C8B970010 | District Business Conduct Committee For District No. 8, Complainant, vs. Respondent 1 | Disciplinary Decision, Redacted Decision |
| August 06, 1999 | C06910024 | Toney L. Reed | Disciplinary Decision |
| July 09, 1999 | CMS960238 | Michael B. Jawitz | Disciplinary Decision |
| July 08, 1999 | C3A960033 | Brian Prendergast | Disciplinary Decision |
| July 07, 1999 | C3A960029 | Kevin D. Kunz & Kunz & Cline Inc. Management, Inc. | Disciplinary Decision |
| June 28, 1999 | C8A970015 | Kevin Lee Otto | Disciplinary Decision |
| June 15, 1999 | C3A970031 | Daniel S. Hellen | Disciplinary Decision |
| June 14, 1999 | C10970176 | Robert Fitzpatrick | Disciplinary Decision |
| June 10, 1999 | CMS960194 | J.C. Bradford & Co. | Disciplinary Decision |
| June 04, 1999 | C3A950031 | In the Matter of District Business Conduct Committee For District No. 3 Complainant, vs. Respondent Firm 1 and Respondent 2 | Disciplinary Decision, Redacted Decision |
| May 13, 1999 | C10960208 | A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, & Stacy Meyers | Disciplinary Decision |
| May 13, 1999 | C07980027 | Stuart G. Horowitz | Disciplinary Decision |
| April 28, 1999 | C8A960054 | In the Matter of District Business Conduct Committee For District No. 8, Complainant, vs. Respondent Firm 1, Respondent 2, Respondent 3, and Respondent 4 | Disciplinary Decision, Redacted Decision |
| April 21, 1999 | C9B960013 | Steven D. Goodman | Disciplinary Decision |