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FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
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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. |
|---|---|---|---|---|
| October 15, 2024 | 2019060753508 | Michael R. Rosalia | Disciplinary Decision - Default | |
| October 07, 2024 | ARB240010 | Silvio Borrero | Expedited Decision | |
| September 30, 2024 | 2023078168101 | Tavic O. Francis | Disciplinary Decision - Default | |
| September 20, 2024 | 2018056490310 | Thomas J. Baumann | Disciplinary Decision - Default | |
| September 13, 2024 | 2023077591501 | Gary F. Harpe | Disciplinary Decision - Default | |
| August 28, 2024 | 202006607903 | APPEALED: Jose L. Centeno | Disciplinary Decision | |
| August 23, 2024 | 2018056490311 | Stephen James Sullivan | Disciplinary Decision - Default | |
| August 16, 2024 | 2018060128401 | Michael Charles Grande | Disciplinary Decision - Default | |
| August 15, 2024 | 2018057297102 | APPEALED: Mark Sam Kolta | Disciplinary Decision | |
| August 06, 2024 | ARB240008 | John Lawrence Davis | Expedited Decision | |
| July 08, 2024 | ARB240001 | Jason Malcom Pirnie | Expedited Decision | |
| June 25, 2024 | 2021071094401 | APPEALED: John Pelletier | Disciplinary Decision | |
| June 06, 2024 | 2021072167901 | Order Denying Respondent’s Motion for Leave to Present Expert Testimony | Disciplinary Order | 24-18 |
| May 23, 2024 | 2021071137001 | Order Granting Department of Enforcement’s Motion for Interim Conditions and Restrictions | Disciplinary Order | 24-17 |
| May 21, 2024 | 2019064508802 | Order Granting and Denying, in Part, Respondent’s Motion to Modify the Case Management and Scheduling Order and for Reconsideration of Hearing Procedures for Witness Examinations | Disciplinary Order | 24-15 |
| May 21, 2024 | 2019064508802 | Order Denying Respondent’s Motion to Designate Certain Witnesses as Adverse Witnesses | Disciplinary Order | 24-13 |
| May 21, 2024 | 2019064508802 | Order Granting, in Part, and Denying, in Part, Respondent’s Motion for Videoconference and/or Telephone Testimony of Certain Witnesses | Disciplinary Order | 24-16 |
| May 21, 2024 | 2019064508802 | Order Granting Motion for Sequestration | Disciplinary Order | 24-14 |
| May 20, 2024 | 2021070337501 | Order Granting Department of Enforcement’s Rule 9285 Motion for Interim Conditions and Restrictions | Disciplinary Order | 24-12 |
| May 17, 2024 | 2019064508802 | Order Denying Respondent’s Motion for Judicial Notice | Disciplinary Order | 24-10 |
| May 17, 2024 | 2019064508802 | Order Denying Enforcement’s Motion to Use Leading Questions | Disciplinary Order | 24-11 |
| May 15, 2024 | 2022073772701 | Order Denying Respondent’s Motion Pursuant to FINRA Rule 9251 | Disciplinary Order | 24-09 |
| April 30, 2024 | 2020066257302 | Order Granting Enforcement’s Objection to Respondent’s Proposed Witnesses | Disciplinary Order | 24-08 |
| March 28, 2024 | 2021070734301 | Beliveau Bays | Disciplinary Decision - Default | |
| March 22, 2024 | 2021071137001 | APPEALED: Charles Frederik Lek | Disciplinary Decision |