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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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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
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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. |
|---|---|---|---|---|
| August 24, 2016 | 2014043020901 | Order Granting Joint Motion to Permit Witnesses to Have Counsel Present During Testimony | Disciplinary Order | 16-23 |
| August 24, 2016 | 20100226911-02 | Bharminder Singh | Disciplinary Decision | |
| August 16, 2016 | 2015043295202 | William Eric Rice | Disciplinary Decision - Default | |
| August 15, 2016 | 2013038986001 | Order Rejecting Offer of Settlement | Disciplinary Order | 16-21 |
| August 12, 2016 | 2013039639101 | Ronald Leslie Geffner | Disciplinary Decision | |
| August 09, 2016 | 2013035039101 | Joey Cless Broussard | Disciplinary Decision - Default | |
| August 05, 2016 | ARB160012 | Fairbridge Capital Markets | Expedited Decision | |
| August 04, 2016 | FPI160002 | Robert DePalo | Expedited Decision | |
| August 02, 2016 | FPI160006 | Dawn Bennett | Expedited Decision | |
| July 28, 2016 | 2013035817701 | Protective Order Governing Personal Confidential Information | Disciplinary Order | 16-19 |
| July 28, 2016 | 20120342425-01 | Order Concerning Parties’ Motion for Leave to Present Expert Testimony | Disciplinary Order | 16-20 |
| July 25, 2016 | FR160001 | Merriman Capital Inc. | Expedited Decision | |
| July 11, 2016 | FPI160004 | Fairbridge Capital Markets | Expedited Decision | |
| July 08, 2016 | 2013038398401 | Winston Wade Turner | Disciplinary Decision - Default | |
| June 28, 2016 | 2013038418201 | Joseph N. Barnes, Sr. | Disciplinary Decision | |
| June 17, 2016 | 2014040437703 | Anthony Ogbonna | Disciplinary Decision - Default | |
| June 10, 2016 | 2011030293503 | APPEALED: Richard Gomez | Disciplinary Decision | |
| June 09, 2016 | 2015044444801 | Glenn R. King | Disciplinary Decision - Default | |
| June 07, 2016 | 2015045409001 | Harvey B. Vaughn, Jr. | Disciplinary Decision - Default | |
| June 06, 2016 | 2013037857001 | David C. Cannata | Disciplinary Decision - Default | |
| June 03, 2016 | 2012030731802 | APPEALED: William H. Murphy & Co., Inc. and William H. Murphy | Disciplinary Decision | |
| June 03, 2016 | 2013035211801 | APPEALED: David A. Elgart | Disciplinary Decision | |
| May 24, 2016 | 2014043020901 | Order Ruling on Witness Objections | Disciplinary Order | 16-18 |
| May 20, 2016 | 2013038333001 | Order Denying Respondent’s Motion for Request for Documents and Information | Disciplinary Order | 16-17 |
| May 13, 2016 | 2015044145201 | Carlton I. Phelps | Disciplinary Decision - Default |