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 19, 2008 | 2006006705601 | Hearing Panel Decision in Department of Enforcement v. John M. E. Saad | Disciplinary Decision | |
| August 15, 2008 | 2005001729501 | Hearing Panel Decision in Department of Enforcement v. Gerald J. Kesner | Disciplinary Decision | |
| August 08, 2008 | E3A20030495-01 | Order Denying Respondent's Motion to Dismiss the Complaint | Disciplinary Order | 08-11 |
| June 20, 2008 | 20070077587 | Hearing Panel Decision in Department of Enforcement v. Matthew S. Kaplan | Disciplinary Decision | |
| June 18, 2008 | 2005001919501 | Hearing Panel Decision in Department of Enforcement v. Jennifer Jordan | Disciplinary Decision | |
| June 12, 2008 | 20070094345 and 20070111775 | Order Denying Respondent 2's Motion to Dismiss | Disciplinary Order | 08-09 |
| June 12, 2008 | 2005001798201 | Order Denying Respondent's Motion for Summary Disposition | Disciplinary Order | 08-10 |
| May 30, 2008 | 2006005565401 | Hearing Panel Decision in Department of Enforcement v. Michael L. Vines | Disciplinary Decision | |
| May 29, 2008 | 2005000323905 | Hearing Panel Decision in Department of Market Regulation v. Stephen Ira Golden and Richard F. Kresge | Disciplinary Decision | |
| May 15, 2008 | E112005002003 | Hearing Panel Decision in Department of Enforcement v. StoneGate Partners, LLC and Brian W. Bernier | Disciplinary Decision | |
| May 14, 2008 | 20060049953-01 | Hearing Panel Decision in Department of Enforcement v. Joseph Ricupero | Disciplinary Decision | |
| May 02, 2008 | 2006004377701 | Hearing Panel Decision in Department of Enforcement v. Paul-Bryan Zenke | Disciplinary Decision | |
| April 30, 2008 | 2005000191701 | Hearing Panel Decision in Department of Market Regulation v. Paul M. Giarmoleo | Disciplinary Decision | |
| April 25, 2008 | CAF040079 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| April 23, 2008 | E102003025201 | Hearing Panel Decision in Department of Enforcement v. Robert Conway and Kakit Ng | Disciplinary Decision | |
| April 10, 2008 | 20060042305-01 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| April 04, 2008 | 2005003437102 | Order Granting Department of Enforcement's Motion to Strike Respondent's Unclean Hands Affirmative Defense | Disciplinary Order | 08-06 |
| April 04, 2008 | 2005003437102 | Order Denying Respondent's Motion for Summary Disposition | Disciplinary Order | 08-07 |
| April 04, 2008 | 2005003437102 | Order Granting Respondent's Motion Pursuant to Rule 9252 to Compel Testimony at Hearing | Disciplinary Order | 08-08 |
| March 27, 2008 | C02050006 | Order Approving and Forwarding Contested Offer of Settlement | Disciplinary Order | 08-05 |
| March 18, 2008 | 2006004992601 | Hearing Panel Decision in Department of Enforcement v. Brent K. Deviney | Disciplinary Decision | |
| March 18, 2008 | 2006005849101 | Order Denying Motion to Set Aside Default Decision | Disciplinary Order | 08-04 |
| February 29, 2008 | 20070077587 | Rulings on Pre-Hearing Motions and Notice of Hearing | Disciplinary Order | 08-03 |
| February 26, 2008 | 2005003437102 | Order Denying Motion for Leave to Offer Expert Testimony | Disciplinary Order | 08-02 |
| February 21, 2008 | E0420030634-04 | Hearing Panel Decision in Department of Enforcement v. John M. Repine | Disciplinary Decision |