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. |
|---|---|---|---|---|
| August 23, 2019 | 2018056848101 | APPEALED: Thomas Lee Johnson | Disciplinary Decision | |
| August 23, 2019 | 2015045312501 | Order Following Pre-Hearing Conference | Disciplinary Order | 19-32 |
| August 22, 2019 | 2017053382401 | Charles Edwin Taylor, Jodi Oyler Padgett, and John Lodge Farmer | Disciplinary Decision | |
| August 15, 2019 | FPI190005 | Myron K. Gruenberg | Expedited Decision | |
| August 15, 2019 | FPI190001 - FPI190002 | Alpine Securities Corp. and Scottsdale Capital Advisors Corp. | Expedited Decision | |
| August 07, 2019 | 2017052871401 | APPEALED: William James Potter | Disciplinary Decision | |
| August 07, 2019 | 2016051615301 | APPEALED: Partho S. Ghosh | Disciplinary Decision | |
| August 06, 2019 | 2016049321302 | Order Granting Respondent Forte’s Supplemental Motion for Leave to Offer Expert Testimony | Disciplinary Order | 19-31 |
| August 01, 2019 | 2017054889201 | James A. Paquette | Disciplinary Decision - Default | |
| August 01, 2019 | 2015045312501 | Supplemental Order Re: Denial of Second Motion to Stay | Disciplinary Order | 19-27 |
| July 11, 2019 | 2017052760001 | APPEALED: Nancy Kimball Mellon | Disciplinary Decision | |
| July 10, 2019 | 2015045312501 | Order Regarding Discovery | Disciplinary Order | 19-26 |
| July 08, 2019 | 2017054405401 | Order Denying Respondent William Kielczewshi’s Request for the Issuance of a Request for Documents | Disciplinary Order | 19-25 |
| July 03, 2019 | 2017053982801 | Vincent J. Storms | Disciplinary Decision - Default | |
| July 01, 2019 | 2015045312501 | Order Establishing Procedures Regarding Treatment of SAR Information | Disciplinary Order | 19-24 |
| June 25, 2019 | 2016051493704 | Omnibus Order on Pre-Hearing Motions | Disciplinary Order | 19-23 |
| June 19, 2019 | 2016050957901 | Order Granting Respondents’ Rules 9252 and 9253 Motions | Disciplinary Order | 19-22 |
| June 14, 2019 | 2016048393501 | Order Denying in Part and Granting in Part Respondents’ Motion to Compel Production of Metadata | Disciplinary Order | 19-20 |
| June 14, 2019 | 2015047005801 | APPEALED: Brian Colin Doherty | Disciplinary Decision | |
| June 05, 2019 | 2017053428201 | APPEALED: DreamFunded Marketplace, LLC and Manuel Fernandez | Disciplinary Decision | |
| June 04, 2019 | 2016050137503 | Order Denying Respondents’ Motion for More Definite Statement | Disciplinary Order | 19-19 |
| May 28, 2019 | 2016048912703 | Windsor Street Capital, et al. | Disciplinary Decision - Default | |
| May 14, 2019 | 2017053382401 | Order on Enforcement’s Objections to Respondents’ Proposed Witness List and Exhibits and Motion in Limine | Disciplinary Order | 19-17 |
| May 13, 2019 | 2017056071301 | Stephen C. Carver | Disciplinary Decision - Default | |
| May 08, 2019 | 2016050938301 | APPEALED: Michael J. Clarke | Disciplinary Decision |