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 17, 2022 | 2019063633301 | Order Governing Respondent's Briefing on Department of Enforcement's Motion to Strike Respondent's Affirmative Defenses and Portions of the Answer | Disciplinary Order | 22-08 |
| April 14, 2022 | 2020066388801 | Roger Braxton | Disciplinary Decision - Default | |
| April 14, 2022 | 2020068740302 | Marco A. Rivera | Disciplinary Decision - Default | |
| April 07, 2022 | FPI210010 | Alpine Securities Corporation | Expedited Decision | |
| April 01, 2022 | 2020067014602 | Order Rejecting Respondent's Submission and Requiring Respondent to File Rule-Compliant Answer | Disciplinary Order | 22-07 |
| March 25, 2022 | 2018057274302 | APPEALED: Hearing Panel Decision - Department of Enforcement v. Jason L. DiPaola | Disciplinary Decision | |
| March 22, 2022 | 2019061232601 | APPEALED: Alpine Securities Corporation | Disciplinary Decision | |
| March 08, 2022 | 2019064813801 | Supplemental Order Regarding Denial of Respondents’ Request for Postponement | Disciplinary Order | 22-06 |
| March 03, 2022 | 2019060753502 | Jason A. Wilk | Disciplinary Decision - Default | |
| March 02, 2022 | 2019060648701 | Order Denying Respondents’ Motion to Dismiss | Disciplinary Order | 22-05 |
| February 10, 2022 | 2018058537302 | Order Granting Department of Enforcement’s Motion for Leave to Use Demonstrative | Disciplinary Order | 22-04 |
| February 03, 2022 | 2021069496201 | Lauren N. Scheible | Disciplinary Decision - Default | |
| January 31, 2022 | 2020065349803 | Alon Zak | Disciplinary Decision - Default | |
| January 31, 2022 | 2016048837401 | Craig Stanton Norton | Disciplinary Decision | |
| January 21, 2022 | 2020067814802 | Order Directing Respondent to File Answer Compliant With FINRA Rule 9215 | Disciplinary Order | 22-03 |
| January 13, 2022 | 2018058537302 | Order Denying Respondent’s Motion to Postpone Hearing Dates | Disciplinary Order | 22-02 |
| January 12, 2022 | 2018057235801 | Omnibus Order on Pre-Hearing Motions and Objections | Disciplinary Order | 22-01 |
| January 04, 2022 | 2018058611601 | Joseph J. Weinrich | Disciplinary Decision - Default | |
| January 03, 2022 | ARB210015 | Jeanette S. Stofleth | Expedited Decision | |
| December 30, 2021 | FPI210005 | Darryl Matthew Cohen | Expedited Decision | |
| December 14, 2021 | 2019061528001 | Order Denying Respondents’ Motion For a More Definite Statement | Disciplinary Order | 21-15 |
| November 19, 2021 | 2019061941101 | Michael J. Giovannelli | Disciplinary Decision - Default | |
| November 10, 2021 | 2018057274302 | Order Sustaining Department of Enforcement’s Objections to Enforcement Attorney Gary Chodosh Being Called as a Witness, and Granting Motion in Limine | Disciplinary Order | 21-14 |
| October 29, 2021 | 2018058798802 | Blair Olsen | Disciplinary Decision - Default | |
| October 29, 2021 | 2018057235801 | Order Granting in Part Respondent’s Motion for Continuance | Disciplinary Order | 21-13 |