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. |
|---|---|---|---|---|
| March 06, 2020 | 2019061947501 | Erik P. Pica | Disciplinary Decision - Default | |
| March 06, 2020 | 2015047244701 | Order Denying Respondent Shea’s Motion To Sever | Disciplinary Order | 20-04 |
| February 27, 2020 | 2018057829001 | James G. McKinney | Disciplinary Decision - Default | |
| February 07, 2020 | 2017056688202 | Daniel J. Arcuri | Disciplinary Decision - Default | |
| February 05, 2020 | 2018059545201 | APPEALED: Robert Juan Escobio | Disciplinary Decision | |
| January 31, 2020 | 2018059510201 | Order Governing Post-Hearing Briefing | Disciplinary Order | 20-03 |
| January 21, 2020 | 2017054405401 | Order Regarding Filing Transcript Of Voice Message | Disciplinary Order | 20-01 |
| January 21, 2020 | 2017054405401 | Order Governing Withdrawal Of Certain Admitted Exhibits | Disciplinary Order | 20-02 |
| December 20, 2019 | 2016048921102 | Order Granting Motion to Withhold From Production Documents Outside the Scope of This Proceeding | Disciplinary Order | 19-37 |
| December 19, 2019 | 2017055608101 | APPEALED: Kapil Maheshwari | Disciplinary Decision | |
| December 17, 2019 | 2016051493704 | APPEALED: Jorge A. Reyes | Disciplinary Decision | |
| December 05, 2019 | 2015045257501 | Order Granting Motion to Withhold Certain Emails | Disciplinary Order | 19-36 |
| November 29, 2019 | 2017054405401 | Order Granting Enforcement’s Motion in Limine | Disciplinary Order | 19-35 |
| November 11, 2019 | ARB190024 | Jonathan R. Lake | Expedited Decision | |
| November 06, 2019 | 2018059510201 | Case Management and Scheduling Order | Disciplinary Order | 19-29 |
| November 05, 2019 | 2017053549901 | Michael R. Minghenelli | Disciplinary Decision - Default | |
| November 01, 2019 | FPI190006 | KJM Securities | Expedited Decision | |
| October 04, 2019 | 2018056934901 | Andrew P. Yoro | Disciplinary Decision - Default | |
| October 04, 2019 | FPI190006 | Order Permitting Parties To Oppose Or Otherwise Comment Upon The Hearing Officer’s Proposal To Take Official Notice | Expedited Order | EXP19-03 |
| October 02, 2019 | 2016048837401 | Order Establishing Procedures Regarding Treatment of SAR Information | Disciplinary Order | 19-34 |
| September 27, 2019 | 2017055553002 | Oscar Nunez | Disciplinary Decision - Default | |
| September 19, 2019 | 2016049321302 | Order Granting Consent Motion to Sequester | Disciplinary Order | 19-28 |
| September 18, 2019 | 2015047682402 | Dawn Bennett | Disciplinary Decision - Default | |
| September 12, 2019 | 2018059545201 | Case Management and Scheduling Order | Disciplinary Order | 19-30 |
| September 03, 2019 | 2016048393501 | Order Requiring Certification of Compliance with FINRA Rule 9910 | Disciplinary Order | 19-33 |