In 2010, members of the public used this service to conduct 17.2 million reviews of broker or firm records. Eversheds Sutherland has completed its annual study of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2021. FINRA makes BrokerCheck available at no charge. Investors can obtain more information about, and the disciplinary record of, any FINRA-registered broker or brokerage firm by using FINRA's BrokerCheck. Beginning June 15th, FINRA Monthly Disciplinary Actions will also link each write-up to its corresponding action in the database.
The new database makes available disciplinary action documents including Letters of Acceptance, Waivers and Consent (AWCs), settlements, National Adjudicatory Council decisions, Office of Hearing Officer decisions and complaints.īrokerCheck reports will now link to disciplinary actions housed in the system, as it currently does for arbitration awards in the Arbitration Awards Online database. Previously, the public had to contact FINRA to obtain copies of disciplinary actions.
#Finra disciplinary actions pdf
The documents can be viewed online, printed, or downloaded as text-searchable PDF files. 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 database enables users to perform searches for FINRA actions free of charge, seven days a week.
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