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RJ & Makay

Our view of news, events and human capital trends in the financial services industry.
Tags >> pending complaints

FINRA launches new online watchdog service

Posted by RJ and Makay on May 18, 2011
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The Financial Industry Regulatory Authority (FINRA) is putting more if its disciplinary action information online.  Finra Disciplinary Actions Online, a new database launched yesterday, will provide access to FINRA complaints against firms and individual brokers.

Settlement agreements, known as Letters of Acceptance Waivers and Consents (AWCs), along with decisions by FINRA hearing panels and National Adjudicatory Council decisions will be available online.