For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA’s Department of Enforcement against FINRA members.
The Office of Hearing Officers maintains strict independence from FINRA's regulatory programs and is physically separated from other FINRA departments.
Hearing officers are not involved in the investigative process. Employment protections exist for hearing officers to further ensure their independence; they may not be terminated except by the FINRA Chief Executive Officer, with a right to appeal to the Audit Committee of FINRA's Board of Governors.
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| April 03, 2025 | PCDO230001 | Order Granting Respondent Leave to File a Motion to Dismiss | Expedited Order | EXP25-03 |
| March 25, 2025 | ARB250001 | Order Dismissing Hearing Request and Deeming Notice of Suspension Final FINRA Action | Expedited Order | EXP25-02 |
| March 20, 2025 | 2023077022402 | Sam Jakobs | Disciplinary Decision - Default | |
| March 17, 2025 | 2022073425001 | Order Denying Respondent’s Motion to Stay Proceeding | Disciplinary Order | 25-04 |
| March 13, 2025 | 2022075977501 | Ben Jen and Ray Rohne | Disciplinary Decision | |
| March 10, 2025 | ARB240021 | Robert James Tracy | Expedited Decision | |
| March 07, 2025 | 2020065599103 | Order Granting Motion by Witnesses to Appear with Counsel | Disciplinary Order | 25-03 |
| February 19, 2025 | ARB250005, ARB250007 | Order Consolidating Two Expedited Proceedings | Expedited Order | EXP25-01 |
| February 06, 2025 | 2020067734001 | APPEALED: James Iannazzo | Disciplinary Decision | |
| January 17, 2025 | 2020065599103 | Order Denying Respondent’s Motion to Compel Enforcement to Produce Documents or Issue Requests for Documents | Disciplinary Order | 25-02 |
| January 17, 2025 | 2018056490315 | Order Denying Enforcement’s Motion to Strike Respondent’s Answer and Denying Enforcement’s Motion for Entry of a Default Decision | Disciplinary Order | 25-01 |
| January 15, 2025 | 2022073772701 | Keith C. Baron | Disciplinary Decision | |
| December 12, 2024 | 2022075322601 | Charles William Wodrich | Disciplinary Decision - Default | |
| December 10, 2024 | 2022076149301 | Michael Ryan Petruska | Disciplinary Decision | |
| November 26, 2024 | 2023078202201 | Daniel Hoeflinger | Disciplinary Decision - Default | |
| November 25, 2024 | 2022075597101 | Order Deferring Ruling on Respondents’ Motion for Extension of Time to Answer Complaint | Disciplinary Order | 24-30 |
| November 06, 2024 | 2019064508802 | APPEALED: Eugene H. Kim | Disciplinary Decision | |
| October 24, 2024 | 2020066079903 | Order Granting in Part Enforcement’s Motion Pursuant to Rule 9285 | Disciplinary Order | 24-29 |
| October 23, 2024 | 2019064333401 | Order Rescheduling Dates for Hearing | Disciplinary Order | 24-28 |
| October 23, 2024 | 2019064333401 | Order Denying Respondent’s Motion for Stay of Hearing | Disciplinary Order | 24-27 |
| October 15, 2024 | 2019060753508 | Michael R. Rosalia | Disciplinary Decision - Default | |
| October 07, 2024 | ARB240010 | Silvio Borrero | Expedited Decision | |
| October 07, 2024 | 2018057297102 | Order Granting Enforcement’s Motion for Interim Conditions and Restrictions | Disciplinary Order | 24-26 |
| September 30, 2024 | 2023078168101 | Tavic O. Francis | Disciplinary Decision - Default | |
| September 20, 2024 | 2018056490310 | Thomas J. Baumann | Disciplinary Decision - Default |