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Rogue Brokers – Your Past is Showing

Published May 17, 2011

On May 16, 2011, the Financial Industry Regulatory Authority (“FINRA”) launched the  FINRA Disciplinary Actions Online database, a new free database system that makes its disciplinary actions available to the public via its website.  The database allows users to search for FINRA actions by several criteria, including case number, document text, document type, action date, and individual/firm name and Central Registration Depository number, 24/7. 

Disciplinary action documents such as Office of Hearing Officers decisions and complaints, National Adjudicatory Counsel decisions, Letters of Acceptance, Waivers and Consent, and settlements, can be viewed, printed or downloaded as searchable PDF files.  FINRA’s BrokerCheck reports also link to disciplinary actions contained in the database and, as of June 15, 2011, FINRA Monthly Disciplinary Actions will link write-ups to the corresponding database action.  The database demonstrates FINRA’s commitment to investor protection by giving investors an easier means of obtaining information which may be vital to their financial decisions.

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