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FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
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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 29, 1998 | No Complaint Number | Carlisle Investment Group, Ltd. | Disciplinary Decision |
| June 12, 1998 | C9B950010 | Eliezer Gurfel | Disciplinary Decision |
| June 12, 1998 | C10930017 | Rafael Pinchas | Disciplinary Decision |
| June 10, 1998 | C3A960009 | In the Matter of District Business Conduct Committee for District No. 3, Complainant, vs. Respondent Firm and Mr. Robert L. Stevens | Disciplinary Decision, Redacted Decision |
| June 04, 1998 | C07970024 | Michael L. Yancey | Disciplinary Decision |
| May 13, 1998 | C3A960040 | In the Matter of District Business Conduct Committee for District No. 3, Complainant, vs. Respondent 1 | Disciplinary Decision, Redacted Decision |
| March 22, 1998 | C8A960040 | Podesta & Co. & Carol P. Foley | Disciplinary Decision |
| March 22, 1998 | C8A960040 | In the Matter of District Business Conduct Committee For District No. 8, Complainant, vs. Respondent Firm 1, and Respondent 2 | Disciplinary Decision, Redacted Decision |
| March 12, 1998 | C3A960040 | Cindy M. Goldberg | Disciplinary Decision |
| March 06, 1998 | C07960085 | Adam S. Levy | Disciplinary Decision |
| March 06, 1998 | C02970007 | Aaron Eugene Granath | Disciplinary Decision |
| February 27, 1998 | CMS950110 | La Jolla Capital Corp. & Harold Bailey Gallison, Jr. | Disciplinary Decision |
| February 19, 1998 | C07930034 | Escalator Securities, Inc., & Howard A. Scala | Disciplinary Decision |
| February 03, 1998 | CMS960085 | James T. Patten & Greater Metropolitan Investment Services, Inc. | Disciplinary Decision |
| January 23, 1998 | C07960009 | James S. Pritula | Disciplinary Decision |
| January 23, 1998 | C3B960004 | Otto M. Bruun | Disciplinary Decision |
| January 23, 1998 | C02960042 | Stephen J. Gluckman | Disciplinary Decision |
| January 22, 1998 | C07960091 | Robert L. Wallace | Disciplinary Decision |
| January 20, 1998 | C06950004 | Clinger & Co., Inc., & Norman E. Clinger | Disciplinary Decision |
| January 20, 1998 | C02960031 | Donna R. Roach | Disciplinary Decision |
| January 16, 1998 | C04960004 | Tammy S. Kwikkel-Elliott | Disciplinary Decision |
| January 07, 1998 | C8A960029 | In the Matter of District Business Conduct Committee For District No. 8 Complainant, vs. Respondent 1 | Disciplinary Decision, Redacted Decision |
| January 07, 1998 | C8A960029 | Bruce L. Pecaro | Disciplinary Decision |
| January 06, 1998 | C02950044 | Lori Sue Koppel-Heath | Disciplinary Decision |
| January 01, 1998 | SD98002 | In the Matter of the Association of X | Redacted Decision, Statutory Disqualification, Approvals |