FINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost to taxpayers. We are a not FINRA Arbitration Awards. Arbitration is a form of alternative dispute resolution that is often used in the place of traditional litigation. In the securities industry, most complaints against brokers and brokerage firms are handled through the arbitration process set up by the Financial Industry Regulatory Authority (FINRA). Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. According to FINRA Disciplinary actions for December 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules The Financial Industry Regulatory Authority (Finra) today announced the launch of the Finra Disciplinary Actions Online database, a web-based searchable system that makes its disciplinary actions FINRA Arbitration Awards Online - This database provides the full text of arbitration awards issued by arbitrators at FINRA and at other forums. FINRA Disciplinary Actions Online - This database provides FINRA disciplinary actions that were issued during 2005 or later, and are eligible for publication pursuant to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information).
Search the FINRA Disciplinary Actions Online database using any combination of the following criteria: Case Number ; Document Text ; Date Range ; Document Type ; Individual Name or CRD# Firm Name or CRD# Note: Shortly after launching the Disciplinary Actions Online Database, FINRA discovered that a small number of documents were corrupted during the imaging process. According to FINRA Disciplinary actions for December 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules Once the award is signed by a majority of the arbitrators, FINRA will send copies of the signed award to each party or representative of the party. FINRA makes all arbitration awards publicly available for free by posting them on Arbitration Awards Online. An award will contain the following information: Names of the parties;
2019064384001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Caleb Austin Jamison, Respondent Former Investment 21 Nov 2013 from FINRA's BrokerCheck database, arbitration awards in favor of investors that Disciplinary Actions Online, which provides decisions and 20 May 2019 FINRA has a problem with unpaid arbitration awards. FINRA arbitration panels awarded $84 million to investors in 2017, and $21 million of it
FINRA makes all arbitration awards publicly available for free by posting them on Arbitration Awards Online. An award will contain the following information:. 2019064384001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Caleb Austin Jamison, Respondent Former Investment 21 Nov 2013 from FINRA's BrokerCheck database, arbitration awards in favor of investors that Disciplinary Actions Online, which provides decisions and 20 May 2019 FINRA has a problem with unpaid arbitration awards. FINRA arbitration panels awarded $84 million to investors in 2017, and $21 million of it
Check the FINRA Disciplinary Actions Online database for disciplinary actions issued in 2005 or later. State regulatory agencies also maintain databases of enforcement orders and judgments.