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FINRA Launches a New Public-Access Disciplinary Actions Database

On Monday, FINRA announced the launch of a new public-access disciplinary actions database that is available for free on the organization's website. According to the announcement, the new FINRA Disciplinary Actions Online Database allows users to "search for actions by case number, document text, document type, action date (by date range), a combination of document text and action date, individual name and Central Registration Depository (CRD®) number, or firm name and CRD number." Prior to the database's launch, investors and other interested parties had to contact FINRA directly to obtain information and copies of documents related to disciplinary actions. The online database streamlines that process by allowing users to search for information seven days a week and immediately read, print, or download relevant documents, including Letters of Acceptance, Waivers and Consent (AWCs), settlements, National Adjudicatory Council decisions, Office of Hearing Officers decisions and complaints.In addition, FINRA's BrokerCheck reports will now include direct links to the disciplinary actions contained in the FINRA Disciplinary Actions Online Database. This will greatly aid investor research into particular firms or brokers by enabling them to view all of FINRA's information on an individual broker or brokerage firm at one time. To access the database directly, click here.

The information contained in The Firm’s posts on its blog, fraud alerts, investigations or elsewhere on the site is based upon information obtained from other sources including, but not limited to, news outlets and federal, state, and regulatory agency filings. All suspects and subjects of postings herein are presumed innocent until proven guilty in a court of law or administrative action and any and all crimes are alleged until a court or regulatory agency finds otherwise .

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