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. |
|---|---|---|---|---|
| July 08, 2014 | 2012032950101 | Hearing Panel Decision in Department of Enforcement v. Joseph R. Butler | Disciplinary Decision | |
| July 03, 2014 | 20110275168-01 | Hearing Panel Decision in Department of Market Regulation v. Jonathan Kohanof | Disciplinary Decision | |
| June 25, 2014 | 2012034211301 | Hearing Panel Decision in Department of Enforcement v. Success Trade Securities, Inc. and Fuad Ahmed | Disciplinary Decision | |
| June 17, 2014 | 2011026788801 | Order Denying Summary Disposition | Disciplinary Order | 14-01 |
| June 13, 2014 | 2010025350001 | Hearing Panel Decision in Department of Enforcement v. Roric E. Griffith | Disciplinary Decision | |
| May 27, 2014 | 2011028003001 | Hearing Panel Decision in Department of Enforcement v. Ashik Akberali Kapasi | Disciplinary Decision | |
| May 16, 2014 | 2011028502101 | Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak | Disciplinary Decision | |
| May 08, 2014 | 2012031142101 | Hearing Panel Decision in Department of Enforcement v.John Allan Waldock, Jr. | Disciplinary Decision | |
| May 06, 2014 | 2010025181001 | Hearing Panel Decision in Department of Enforcement v. John Vincent Ballard | Disciplinary Decision | |
| April 29, 2014 | 2011028061001 | Hearing Panel Decision in Department of Enforcement v. Keilen Dimone Wiley | Disciplinary Decision | |
| April 23, 2014 | 2011027993301 | Hearing Panel Decision in Department of Enforcement v. Michael Earl McCune | Disciplinary Decision | |
| March 28, 2014 | 2011025899601 | Hearing Panel Decision in Department of Enforcement v. David Harari and Sian Harari | Disciplinary Decision | |
| February 14, 2014 | 2012032997201 | Hearing Panel Decision in Department of Enforcement v. Stephen Grivas | Disciplinary Decision | |
| February 07, 2014 | 2009017899801 | Hearing Panel Decision in Department of Enforcement v. Rani T. Jarkas and William H. Carson | Disciplinary Decision | |
| January 28, 2014 | 2011026664301 | Amended Hearing Panel Decision in Department of Enforcement v. Gardnyr Michael Capital Inc. and Pfilip Gardnyr Hunt, Jr. | Disciplinary Decision | |
| January 24, 2014 | 2010023218601 | Order Denying Respondent’s Discovery Motions. | Disciplinary Order | 14-03 |
| January 23, 2014 | 2011029619301 | Hearing Panel Decision in Department of Enforcement v. Kenny Akindemowo | Disciplinary Decision | |
| January 21, 2014 | 2011029227701 | Hearing Panel Decision in Department of Enforcement v. Kam Poi Yee | Disciplinary Decision | |
| December 31, 2013 | 2008011675301 | Extended Hearing Panel Decision in Department of Enforcement v. Timothy B. Ruggiero | Disciplinary Decision | |
| December 27, 2013 | 2011025506901 | Extended Hearing Panel Decision in Department of Enforcement v. Richard Hans Bach | Disciplinary Decision | |
| December 17, 2013 | 20110269351 | Hearing Panel Decision in Department of Market Regulation v. John Cherry III | Disciplinary Decision | |
| December 12, 2013 | 20090209629-01 | Hearing Panel Decision in Department of Enforcement v. Jason Blum | Disciplinary Decision | |
| December 10, 2013 | 2011026874301 | Hearing Panel Decision in Department of Enforcement v. William L. Tatro | Disciplinary Decision | |
| November 19, 2013 | 2009017195204 | Hearing Panel Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc. | Disciplinary Decision | |
| November 08, 2013 | 20090207019-01 | Hearing Panel Decision in Department of Enforcement v. Respondent. | Redacted Decision |