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. |
|---|---|---|---|---|
| October 28, 2021 | 2019061232601 | Order Regarding Alpine Securities’ Discovery Motion Related to Christopher Doubek | Disciplinary Order | 21-12 |
| October 21, 2021 | ARB210010 | Derek Rudolf D’Alonzo | Expedited Decision | |
| October 12, 2021 | 2016048837401 | Order Granting Enforcement’s Request to Correct the Hearing Transcript | Disciplinary Order | 21-11 |
| September 22, 2021 | 2020065292102 | Elizabeth A. Sollars | Disciplinary Decision - Default | |
| September 07, 2021 | 2019062347102 | Adam G. Belardino | Disciplinary Decision - Default | |
| September 07, 2021 | 2017053462401 | APPEALED: Robert Henderson | Disciplinary Decision | |
| August 24, 2021 | FPI210005 | Amended Order setting Hearing and Other Deadlines | Expedited Order | EXP21-02 |
| August 17, 2021 | ARB210008 | Leslie George Markus, Jr. | Expedited Decision | |
| August 17, 2021 | ARB210003 | Henrique David Lucena | Expedited Decision | |
| August 09, 2021 | 2018060379701 | Frank V. Sapareto | Disciplinary Decision - Default | |
| July 29, 2021 | ARB210008 | Order Denying Respondent’s Post-Hearing Motion for Admission of Additional Exhibits | Expedited Order | EXP21-01 |
| July 26, 2021 | 2020068395801 | Hugues Guirand | Disciplinary Decision - Default | |
| July 23, 2021 | ARB210004 | Gary J. Helbling | Expedited Decision | |
| July 23, 2021 | 2018056436001 | Integrity Brokerage Services, Inc. and Joshua Helmle | Disciplinary Decision | |
| July 22, 2021 | 2019064313901 | Paramveer Singh | Disciplinary Decision | |
| July 08, 2021 | 2019061187102 | Ji Jun Yang | Disciplinary Decision - Default | |
| July 07, 2021 | 2021070337401 | Kishan Parikh | Disciplinary Decision - Default | |
| July 01, 2021 | 2016048837401 | Order Granting Enforcement’s Motion Regarding Sequestration of Witnesses | Disciplinary Order | 21-10 |
| June 29, 2021 | 2019063570502 | APPEALED: Matthew R. Logan | Disciplinary Decision | |
| June 03, 2021 | 2018058924502 | APPEALED: Adam James Makkai | Disciplinary Decision | |
| May 27, 2021 | 2017052701101 | James W. Flower | Disciplinary Decision | |
| May 20, 2021 | 2016048837401 | Amended Order Regarding Review and Redaction of Exhibits | Disciplinary Order | 21-09 |
| May 19, 2021 | 2019064313901 | Order Sustaining Respondent Paramveer Singh’s Objection to the Admission of CX-30 into Evidence | Disciplinary Order | 21-08 |
| May 19, 2021 | 2017052867301 | APPEALED: Mercer Hicks III | Disciplinary Decision | |
| May 18, 2021 | 2018058588501 | APPEALED: Christopher Peter Tranchina | Disciplinary Decision |