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 04, 2013 | 2008013864401 | Amended Hearing Panel Decision in Department of Enforcement v. Michael Jennings, Brian Mulvey and Respondent 3 | Disciplinary Decision | |
| February 26, 2013 | 2010024320101 | Hearing Panel Decision in Department of Enforcement v. Timothy M. Wheeler | Disciplinary Decision | |
| February 21, 2013 | 2011029760201 | Hearing Panel Decision Granting in Part and Denying in Part the Parties’ Cross-Motions for Summary Disposition in Departement of Enforcement v. Charles Schwab & Company, Inc. | Disciplinary Decision | |
| February 19, 2013 | 2011029152401 | Hearing Panel Decision in Department of Enforcement v. William B. Smith | Disciplinary Decision | |
| January 25, 2013 | 2009017798902 | Extended Hearing Panel Decision in Depatment of Enforcement v. Respondent 1 and Respondent 2 | Redacted Decision | |
| January 18, 2013 | 2010023044101 | Hearing Panel Decision in Department of Enforcement v. Jeffrey S. Geraci | Disciplinary Decision | |
| January 11, 2013 | 2009016764901 | Hearing Panel Decision in Department of Enforcement v. Robert Durant Tucker | Disciplinary Decision | |
| January 04, 2013 | FPI120005 | Hearing Panel Decision in Department of Enforcement v. Gregory E. Goldstein | Expedited Decision, Rule 9550 Expedited Decisions | |
| January 04, 2013 | 2010023349601 | Hearing Panel Decision in Department of Enforcement v. Denise M. Olson | Disciplinary Decision | |
| January 02, 2013 | 2009019108901 | Order Denying Motion by Respondent 1 for an Extension of Time – Hearing | Disciplinary Order | 13-01 |
| December 17, 2012 | 2009020081301 | Amended Hearing Panel Decision in Department of Enforcement v. William M. Somerindyke, Jr. and Respondent 2 | Disciplinary Decision | |
| December 06, 2012 | FPI120012 | Hearing Panel Decision in Department of Enforcement v. Steven Barbot | Expedited Decision, Rule 9550 Expedited Decisions | |
| November 30, 2012 | 20100248883-01 | Hearing Panel Decision in Department of Enforcement v. Richard N. Maruyama | Disciplinary Decision | |
| November 19, 2012 | 2009018377601 | Hearing Panel Decision in Department of Enforcement v. Michael J. Binstock | Disciplinary Decision | |
| November 09, 2012 | 2010020846601 | Order Granting Enforcement’s Motion to Offer Expert Testimony and Respondent’s Motion to Allow Expert Testimony | Disciplinary Order | 12-07 |
| November 01, 2012 | 2011025643201 | Hearing Panel Decision Granting Department of Enforcement’s Motion for Summary Disposition in Department of Enforcement v. Ronald E. Walblay | Disciplinary Decision | |
| October 25, 2012 | 2008016437801 | Hearing Panel Decision in Department of Enforcement v. Hugh Vincent Murray III | Disciplinary Decision | |
| October 25, 2012 | 2010022128301 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| October 23, 2012 | 2011026664301 | Order Granting in Part and Denying in Part the Department of Enforcement’s Motion to Strike the Answer and Order the Filing of a New Answer | Disciplinary Order | 12-06 |
| October 22, 2012 | 2010025132201 | Hearing Panel Decision in Department of Enforcement v. Amy Siesennop | Disciplinary Decision | |
| October 17, 2012 | 2010024320101 | Order to Provide Verification in Support of Request for Continuance of Hearing | Disciplinary Order | 12-05 |
| October 12, 2012 | 2009018771602 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| September 28, 2012 | 2009019837302 | Hearing Panel Decision in Department of Enforcement v. Blair C. Mielke, Frederick W. Shultz, Thomas J. Gorter and Michael L. Trier | Disciplinary Decision | |
| September 28, 2012 | 2008012925001 | Extended Hearing Panel Decision in Department of Enforcement v. The Dratel Group, Inc. and William M. Dratel | Disciplinary Decision | |
| September 18, 2012 | 2008014015901 | Hearing Panel Decision in Department of Enforcement v. Jeremy D. Hare | Disciplinary Decision |