FINRA Announces New Tool For Public To Access Disciplinary Actions

The Financial Industry Regulatory Authority (FINRA) announced on May 16, 2001 that it is creating a web based searchable system that will make its disciplinary actions accessible to the public through its website at Public customers can now access the disciplinary data base seven days a week at no charge to search for actions by case number, document text, document type, action date, individual name, CRD number or firm name and CRD number. The materials may be reviewed online, printed or downloaded PDF files. Up until now, copies of disciplinary actions could only be obtained by contacting FINRA.

Broker Check reports will now link to the disciplinary actions within the system beginning on June 15th, 2011 making available actions such as Letters of Acceptance, Waivers and Consent (AWC), settlements, National Adjudicatory Council decisions, Office of Hearing Officers decisions and complaints.

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