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. |
|---|---|---|---|---|
| November 08, 2017 | 2014041985401 | APPEALED: James Larkin Powers | Disciplinary Decision | |
| November 08, 2017 | 2014040809501 | Eddie Basora, Jr. | Disciplinary Decision | |
| November 06, 2017 | 2015048048801 | Hank M. Werner and Legend Securities, Inc. | Disciplinary Decision | |
| November 06, 2017 | 2015048048801 | Werner, Stanton, & Legend Securities, Inc. | Disciplinary Decision - Default | |
| November 02, 2017 | 2015047828802 | Demitrios Hallas | Disciplinary Decision - Default | |
| October 25, 2017 | 2014042291901 | APPEALED: Gopi K. Vungarala | Disciplinary Decision | |
| October 06, 2017 | 2016049603001 | Christopher Schaeffer | Disciplinary Decision - Default | |
| October 03, 2017 | ARB170022 | Craig Arnold Sorenson | Expedited Decision | |
| October 02, 2017 | 2013037401001 | APPEALED: Stanley Clayton Niekras | Disciplinary Decision | |
| September 26, 2017 | 2012031748203 | William Norris Jordan | Disciplinary Decision | |
| September 18, 2017 | 2014040873501 | Cecil E. Nivens | Disciplinary Decision - Default | |
| September 08, 2017 | 2013035740901 | Order Denying Respondents’ Motion for Summary Disposition | Disciplinary Order | 17-18 |
| September 06, 2017 | 2014040476901 | APPEALED: C.L. King and Gregg Alan Miller | Disciplinary Decision | |
| September 05, 2017 | 2016051925301 | Order Granting Motion Regarding Witness Sequestration | Disciplinary Order | 17-16 |
| September 05, 2017 | 2016051925301 | Order Granting Motion to Permit Witness Counsel to be Present During Testimony | Disciplinary Order | 17-17 |
| August 30, 2017 | 2016049252901 | Peyton Nelson Jackson | Disciplinary Decision - Default | |
| August 25, 2017 | ARB170007 | Timothy S. Fannin | Expedited Decision | |
| August 16, 2017 | 2014043020901 | Matthew J. Dodds | Disciplinary Decision | |
| August 07, 2017 | 2016048538901 | Richard G. Cody | Disciplinary Decision - Default | |
| August 02, 2017 | 2014042690502 | Stephen Brown and James Goetz | Disciplinary Decision | |
| July 31, 2017 | 2015044823501 | Craig Scott Capital LLC, et al. | Disciplinary Decision - Default | |
| July 31, 2017 | 2015044823501 & 2015044823502 | APPEALED: Edward Beyn, Craig Scott Taddonio, and Brent Morgan Porges | Disciplinary Decision | |
| July 27, 2017 | 2013035345701 | Order Denying Motion For Dismissal | Disciplinary Order | 17-15 |
| July 18, 2017 | 2015048317802 | Michael Banjany | Disciplinary Decision - Default | |
| July 14, 2017 | 2014042156101 | William Morgan Ditty | Disciplinary Decision |