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. |
|---|---|---|---|---|
| January 07, 2005 | ARB040032 | Stephen B. Webster | Expedited Decision, Rule 9550 Expedited Decisions | |
| January 06, 2005 | C01040010 | Hearing Panel Decision in Department of Enforcement vs. Patrick Orvil Nugent | Disciplinary Decision | |
| January 04, 2005 | CAF030067 | Hearing Panel Decision in Department of Enforcement vs. Asensio Brokerage Services, Inc. | Disciplinary Decision | |
| January 03, 2005 | C9A030041 | Hearing Panel Decision in Department of Enforcement vs. James M. Coyne, Sr. | Disciplinary Decision | |
| December 15, 2004 | CAF040042 | Hearing Panel Decision in Department of Enforcement v. LH Ross & Company, Inc. | Disciplinary Decision | |
| December 10, 2004 | CMS030182 | Hearing Panel Decision in Department of Enforcement v. Yankee Financial Group, Inc. | Disciplinary Decision | |
| November 30, 2004 | C9B030076 | Hearing Panel Decision in Department of Enforcement v. Raghavan Sathianathan | Disciplinary Decision | |
| November 29, 2004 | C02040016 | Hearing Panel Decision in Department of Enforcement v. Phillippe N. Keyes | Disciplinary Decision | |
| November 26, 2004 | C9B030076 | Order Denying Respondent's Amended Motion to Reconsider Order Denying Motion to Dismiss | Disciplinary Order | 04-09 |
| November 24, 2004 | C9A040020 | Hearing Panel Decision in Department of Enforcement v. Paul V. Roddy, Jr. | Disciplinary Decision | |
| November 19, 2004 | C05030036 | Hearing Panel Decision in Department of Enforcement vs. Sisung Securities Corporation et al. | Disciplinary Decision | |
| November 16, 2004 | C10040019 | Hearing Panel Decision in Department of Enforcement v. Oscar Montenegro | Disciplinary Decision | |
| October 28, 2004 | CAF040020 | Order Ruling On Pre-Hearing Motions | Disciplinary Order | 04-29 |
| October 19, 2004 | ARB040033 | Order Denying Respondent's Motion To Dismiss | Expedited Order | 04-28 |
| October 19, 2004 | C07040048 | Hearing Panel Decision in Department of Enforcement v. Lacy M. Walthall, III | Disciplinary Decision | |
| October 12, 2004 | CAF040056 | Order Rejecting Filing | Disciplinary Order | 04-27 |
| October 12, 2004 | C10030030 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| October 12, 2004 | CAF040020 | Order Ruling On Pre-Hearing Motions | Disciplinary Decision | |
| October 11, 2004 | C8A030089 | Hearing Panel Decision in Department of Enforcement v. Joseph Rogala | Disciplinary Decision | |
| October 08, 2004 | C06040017 | Hearing Panel Decision in Department of Enforcement v. David Allen Regis | Disciplinary Decision | |
| October 06, 2004 | ARB040029 | Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final | Expedited Order | 04-25 |
| October 06, 2004 | CAF040002 | Motion To Compel Compliance With Procedural Rule 9251 and Denying the Respondents' Motions for Sanctions and for Leave to File a Reply | Disciplinary Order | 04-26 |
| October 04, 2004 | C9B040036 | Order Granting Respondents Rule 9261(C) Request | Disciplinary Order | 04-22 |
| October 04, 2004 | CAF030014 | Order Partially Granting the Respondent's Motion to Reconsider Discovery Requests | Disciplinary Order | 04-23 |
| September 29, 2004 | C9B040036 | Hearing Panel Decision in Department of Enforcement vs. Respondent 1 and Michael Blaise Doherty | Disciplinary Decision |