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 |
|---|---|---|---|
| July 23, 2015 | 2009016317701 | James E. Rooney, Jr. | Disciplinary Decision |
| July 16, 2015 | 2012032997201 | APPEALED: Stephen Grivas | Disciplinary Decision |
| May 06, 2015 | 2009016317701 | The Dratel Group, Inc. and William M. Dratel | Disciplinary Decision |
| May 04, 2015 | M00010006 | APPEALED: In the Matter of the New Membership Application Firm X | Membership Decision, Redacted Decision |
| April 30, 2015 | SD-1960 | Scott Mathis with DPEC, Inc. | Statutory Disqualification, Approvals |
| April 29, 2015 | 2009017195204 | Merrimac Corporate Securities, Inc. | Disciplinary Decision |
| April 22, 2015 | SD-1962 | Candace J. Lee with Financial Services International Corp | Statutory Disqualification, Approvals |
| April 16, 2015 | 2007011413501 | APPEALED: Brookstone Securities, Inc., Antony Lee Turbeville, Christopher Dean Kline and David William Locy | Disciplinary Decision |
| March 16, 2015 | 2006006705601r | APPEALED: John M.E. Saad | Disciplinary Decision |
| March 09, 2015 | 2011025899601 | David and Sian Harari | Disciplinary Decision |
| March 03, 2015 | 20110269351 | John Cherry, III | Disciplinary Decision |
| February 27, 2015 | 2011028061001 | APPEALED: Keilen Dimone Wiley | Disciplinary Decision |
| February 03, 2015 | SD-1866 | Amico, Guy with Newbridge Securities Corporation | Statutory Disqualification, Approvals |
| December 29, 2014 | 2009019108901 | APPEALED: William Scholander and Talman Harris | Disciplinary Decision, Redacted Decision |
| December 22, 2014 | SD-2043 | Thomas Core with Aegis Captial Corporation | Statutory Disqualification, Approvals |
| December 18, 2014 | SD1904, SD-1905, SD-1984 | J.P. Morgan Securities, LLC | Statutory Disqualification, Approvals |
| December 17, 2014 | SD-1802 | Deutsche Bank Securities, Inc. | Statutory Disqualification |
| December 11, 2014 | 20070094044 | APPEALED: Wedbush Securities, Inc. and Edward William Wedbush | Disciplinary Decision |
| December 11, 2014 | SD-1997 | Ronald M. Berman | Statutory Disqualification, Denials |
| December 10, 2014 | 2011025957702 | Gary Giblen | Disciplinary Decision |
| December 09, 2014 | SD-2012 | David S. Thomas with Purshe Kaplan Sterling Investments, Inc. | Statutory Disqualification, Approvals |
| October 08, 2014 | 2011030192201 | APPEALED: Alfred P. Reeves, III | Disciplinary Decision |
| October 03, 2014 | 2009016034101 | APPEALED: Anthony A. Grey | Disciplinary Decision |
| October 02, 2014 | SD-1798 | Wells Fargo Advisors, LLC | Statutory Disqualification, Approvals |
| October 02, 2014 | 20130379350 | APPEALED: Bering Strait Securities, Inc. | Membership Decision |