The FINRA Disciplinary Database Online: Is Your Broker On It?
Did you know that FINRA publishes disciplinary actions issued during 2006 or later, as well as opinions issued by the SEC and federal appellate courts that relate to FINRA disciplinary actions that have been appealed? You can find them by searching the FINRA Disciplinary Actions Online database – http://disciplinaryactions.finra.org/ – using any combination of the following criteria: Case …