FINRA Launches New Disciplinary Actions Database

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This week, FINRA announced that it had launched the FINRA Disciplinary Actions Online database. According to FINRA’s news release, this is a web-based searchable system that makes its disciplinary actions accessible via its website at www.finra.org.

The database enables users to perform searches for FINRA actions free of charge, seven days a week. Users may 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. The documents can be viewed online, printed, or downloaded as text-searchable PDF files.

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Published In: Administrative Agency Updates, Alternative Dispute Resolution (ADR) Updates, Finance & Banking Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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