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. |
|---|---|---|---|---|
| April 20, 2001 | C10010004 | Order Granting Complainant's Motion to Amend the Complaint; Denying Complainant's Motion for Leave to File a Reply to Respondent's Opposition to Motion to Amend; and Denying Respondent's Motion to Sever | Disciplinary Order | 01-08 |
| April 18, 2001 | CAF000015 | Hearing Panel Decision in Department of Enforcement v. Josephthal & Co., Inc. | Disciplinary Decision | |
| April 17, 2001 | CAF000013 | Order Denying Respondents' Motion for Summary Disposition and Motion to Dismiss the Fourth Cause of Action and Supplementing Order Granting Complainant's Motion for Summary Disposition on Cause Four of the Complaint Against Respondents | Disciplinary Order | 01-07 |
| April 06, 2001 | C07000084 | Order Denying Respondent's Motion to Reconsider and to Set Aside Default Decision | Disciplinary Order | 01-06 |
| April 03, 2001 | C9A990029 | Hearing Panel Decision in Department of Enforcement v. Shannon Johnson | Disciplinary Decision | |
| March 22, 2001 | C07000058 | Hearing Panel Decision in Department of Enforcement v. Russell Montgomery, Jr. | Disciplinary Decision | |
| March 20, 2001 | C10000102 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| March 08, 2001 | C9A000027 | Hearing Panel Decision in Department of Enforcement v. Luther A. Hanson | Disciplinary Decision | |
| March 06, 2001 | C02000037 | Hearing Panel Decision in Department of Enforcement v. Paul John Hoeper | Disciplinary Decision | |
| March 06, 2001 | C07000003 | Hearing Panel Decision in Department of Enforcement v. Jack H. Stein | Disciplinary Decision | |
| March 02, 2001 | EQS000002 | Hearing Panel Decision in Department of Enforcement v. A. G. Halvorson Securities Inc. | Expedited Decision, Rule 9540 Suspension Decisions | |
| March 02, 2001 | C07000013 | Hearing Panel Decision in Department of Enforcement v. John F. Brown | Disciplinary Decision | |
| February 27, 2001 | C8B000001 | Hearing Panel Decision in Department of Enforcement v. Michael E. Zulick | Disciplinary Decision | |
| February 15, 2001 | CMS000157 | Order Granting Respondent's Motion to Exclude Documents | Disciplinary Order | 01-05 |
| February 14, 2001 | CAF000045 | Order Granting Motions to Quash | Disciplinary Order | 01-04 |
| February 13, 2001 | C10000122 | Order Regarding Complainant's Motion for a Preclusion Order | Disciplinary Order | 01-03 |
| February 08, 2001 | C07000033 | Hearing Panel Decision in Department of Enforcement v. Franklyn Ross Michelin and LH Ross & Company, Inc. | Disciplinary Decision | |
| February 02, 2001 | C8A000024 | Hearing Panel Decision in Department of Enforcement v. Paul E. Carney | Disciplinary Decision | |
| January 31, 2001 | C10000086 | Hearing Panel Decision in Department of Enforcement v. Peter D. Ragofsky | Disciplinary Decision | |
| January 30, 2001 | C07000023 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| January 26, 2001 | CAF000045 | Order Denying Complainant's Motion to Strike Affirmative Defenses | Disciplinary Order | 01-02 |
| January 23, 2001 | C10000172 | Order Denying Motion to Quash | Disciplinary Order | 01-01 |
| January 16, 2001 | C01000011 | Hearing Panel Decision in Department of Enforcement v. W.R. Hambrecht & Co., LLC and William R. Hambrecht | Disciplinary Decision | |
| January 03, 2001 | C10000037 | Hearing Panel Decision in Department of Enforcement v. George M. Goritz | Disciplinary Decision | |
| January 03, 2001 | C01000003 | Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen | Disciplinary Decision |