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. |
|---|---|---|---|---|
| May 08, 2009 | 2005000835801 | Hearing Panel Decision in Department of Enforcement v. Harry Friedman and Joseph Schnaier | Disciplinary Decision | |
| May 08, 2009 | 2007008370701 | Hearing Panel Decision in Department of Enforcement v. Scott R. Tischler | Disciplinary Decision | |
| May 06, 2009 | 2006005696601 | Hearing Panel Decision in Department of Enforcement v. Westrock Advisors, Inc. | Disciplinary Decision | |
| April 27, 2009 | 2007010236401 | Hearing Panel Decision in Department of Enforcement v. Valerie Elaine King | Disciplinary Decision | |
| April 21, 2009 | 2007008128901 | Hearing Panel Decision in Department of Francis M. Evans | Disciplinary Decision | |
| April 17, 2009 | 2005003437102 | Extended Hearing Panel Decision in Department of Enforcement v. Michael Lee Bullock | Disciplinary Decision | |
| March 19, 2009 | 2005003295801 | Amended Extended Hearing Panel Decision in Department of Enforcement v. Andrew W. Quinn | Disciplinary Decision | |
| February 10, 2009 | 2006005523401 | Hearing Panel Decision in Department of Enforcement v. Nathan Lorne | Disciplinary Decision | |
| January 29, 2009 | 2005003188901 | Amended Hearing Panel Decision in Department of Enforcement v. Richard G. Cody | Disciplinary Decision | |
| January 16, 2009 | E072005017201 | Hearing Panel Decision in Department of Enforcement v. John B. Busacca III | Disciplinary Decision | |
| December 19, 2008 | 2006003825001 | Hearing Panel Decision in Department of Enforcement v. Joseph William Hagan | Disciplinary Decision | |
| December 18, 2008 | 2006003738501 | Hearing Panel Decision in Department of Enforcement v. Mission Securities Corporation and Craig M. Biddick | Disciplinary Decision | |
| December 17, 2008 | 2006005318801 | Hearing Panel Decision in Department of Enforcement v. Kent M. Houston | Disciplinary Decision | |
| December 16, 2008 | EAF0400630001 | Extended Hearing Panel Decision in Department of Enforcement v. Mutual Service Corporation, et al. | Disciplinary Decision | |
| December 15, 2008 | 2006006192901 | Hearing Panel Decision in Department of Enforcement v. Denis William Kraemer, Jr. | Disciplinary Decision | |
| December 11, 2008 | 2006003834901 | Hearing Panel Decision in Department of Moustafa M. Zayed | Disciplinary Decision | |
| December 06, 2008 | 20070094345 | John E. Mullins and Kathleen M. Mullins | Disciplinary Decision | |
| November 13, 2008 | 2007009702901 | Hearing Panel Decision in Department of Enforcement v. Edward D. Crary, Jr. | Disciplinary Decision | |
| October 31, 2008 | 20070094454 | Hearing Panel Decision in Department of Enforcement v. Sam Aubrey Foreman, Jr. | Disciplinary Decision | |
| October 14, 2008 | 2006006890801 | Hearing Panel Decision in Department of Enforcement v. CMG Institutional Trading, LLC and Shawn Baldwin | Disciplinary Decision | |
| October 01, 2008 | 2006003995001 | Hearing Panel Decision in Department of Enforcement v. Eddmon Mark Hodge | Disciplinary Decision | |
| September 18, 2008 | 2007008812801 | Hearing Panel Decision in Department of Enforcement v. Avidan Danny Fishman | Disciplinary Decision | |
| September 08, 2008 | 2006005523401 | Order Granting Enforcement's Motion to Permit Counsel for Non-Party Witnesses to Appear at Hearing | Disciplinary Order | 08-13 |
| August 27, 2008 | 2005003188901 | Order Denying Respondent's Motion to Compel Production of Documents | Disciplinary Order | 08-12 |
| August 20, 2008 | 2006007101701 | Hearing Panel Decision in Department of Enforcement v. Flavio G. Varone | Disciplinary Decision |