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 |
|---|---|---|---|
| September 08, 2016 | SD-2048 | Citigroup Global Markets Inc. | Statutory Disqualification |
| August 23, 2016 | 2011025675501 | APPEALED: Kimberly Springsteen-Abbott | Disciplinary Decision |
| August 03, 2016 | 2011025851501 | APPEALED: KCD Financial, Inc. | Disciplinary Decision |
| July 21, 2016 | 2010022601501 | Jack Brian Weinstock | Disciplinary Decision |
| July 20, 2016 | 2009020465801 | APPEALED: Keith D. Geary | Disciplinary Decision |
| July 20, 2016 | SD-2044 | Xavier Capdepon | Statutory Disqualification, Denials |
| July 19, 2016 | 2011028502101 | North Woodward Financial Corp. and Douglas A. Troszak | Disciplinary Decision |
| July 18, 2016 | 2012034389202 | APPEALED: Bernard G. McGee | Disciplinary Decision |
| July 18, 2016 | 2012033351801 | Paolo Franca Iida | Disciplinary Decision |
| June 17, 2016 | SD-2026 | RBS Securities, Inc. | Statutory Disqualification |
| May 20, 2016 | SD-2027 | APPEALED: Christopher Cota with Capital Financial Services, Inc. | Statutory Disqualification, Denials |
| May 16, 2016 | 2010022977801 | APPEALED: David B. Tysk | Disciplinary Decision |
| May 09, 2016 | SD-2069 | APPEALED: Bruce Meyers with Meyers Associates, L.P. | Statutory Disqualification, Denials |
| April 06, 2016 | SD-2010 | Michael C. Furman with Citigroup Global Markets, Inc. | Statutory Disqualification, Approvals |
| March 07, 2016 | 2008011762801r | APPEALED: Mitchell H. Fillet | Disciplinary Decision |
| February 18, 2016 | FPI150009 | Gary James Lundgren | Expedited Decision, Non-Summary Proceeding |
| December 29, 2015 | 2011029619301 | APPEALED: Kenny Akindemowo | Disciplinary Decision |
| December 22, 2015 | 2010025350001 | Roric E. Griffith | Disciplinary Decision |
| December 17, 2015 | 2010024889501 | William B. Fretz, Jr, John P. Freeman and The Keystone Equities Group, LP | Disciplinary Decision |
| December 17, 2015 | 20110273503 | Richard A. McGuire | Disciplinary Decision |
| December 17, 2015 | 2010025181001 | APPEALED: John Vincent Ballard | Disciplinary Decision |
| October 05, 2015 | 2009017899801 | APPEALED: Rani T. Jarkas | Disciplinary Decision |
| September 29, 2015 | SD-2029 | Bret M. Shapiro with Dawson James Securities, Inc. | Statutory Disqualification, Denials |
| September 25, 2015 | 2012034211301 | APPEALED: Fuad Ahmed | Disciplinary Decision |
| September 25, 2015 | 2012032950101 | APPEALED: Joseph R. Butler | Disciplinary Decision |