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. |
|---|---|---|---|---|
| August 02, 2005 | ARB050016 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Expedited Decision, Rule 9550 Expedited Decisions | |
| July 29, 2005 | C8A030071 | Hearing Panel Decision in Department of Enforcement vs. Northwestern Mutual Investment Services, LLC, Diane B. Horn & Respondent 3 | Disciplinary Decision | |
| July 18, 2005 | C3A040030 | Hearing Panel Decision in Department of Enforcement vs. Michael Fantetti | Disciplinary Decision | |
| July 08, 2005 | C8A040079 | Hearing Panel Decision in Department of Enforcement vs. Gregory R. Masceri | Disciplinary Decision | |
| July 07, 2005 | C07040086 | Hearing Panel Decision in Department of Enforcement vs. Brad D. Wilson | Disciplinary Decision | |
| June 30, 2005 | C05050015 | Order Denying Motions to Quash | Disciplinary Order | 05-27 |
| June 23, 2005 | C3A040045 | Order Denying Respondent's Motion to Compel and Motion Pursuant to Rule 9252 | Disciplinary Order | 05-28 |
| June 15, 2005 | C3A040030 | Order Denying Respondent's Motion to Re-Open Hearing and Denying Complainant's Motion to Strike Respondent's Testimony | Disciplinary Order | 05-26 |
| June 14, 2005 | CAF040058 | Order Prohibiting Use of Subpoenas | Disciplinary Order | 05-39 |
| June 10, 2005 | C9B050020 | Order Conditionally Denying Motion for More Definite Statement | Disciplinary Order | 05-25 |
| June 08, 2005 | C8A040082 | Hearing Panel Decision in Department of Enforcement vs. Samuel J. Trigillo | Disciplinary Decision | |
| June 07, 2005 | C05050015 | Order Denying Respondent 1's Motion for More Definite Statement | Disciplinary Order | 05-23 |
| June 07, 2005 | C05050015 | Order Granting Respondent 2's Motion for More Definite Statement | Disciplinary Order | 05-24 |
| June 03, 2005 | C9B040093 | Hearing Panel Decision in Department of Enforcement vs. Joel E. Moskowitz | Disciplinary Decision | |
| May 27, 2005 | C06040023 | Order Denying Request for Subpoena | Disciplinary Order | 05-22 |
| May 24, 2005 | C9A040024 | Hearing Panel Decision in Department of Enforcement vs. Charles C. Fawcett, IV | Disciplinary Decision | |
| May 17, 2005 | C9B040098 | Order Denying Relief Sought in Notice to Produce and Application for Protective Order | Disciplinary Order | 05-20 |
| May 17, 2005 | C9B040098 | Order Granting Motions to Strike Affirmative Defenses and for Leave to Offer Expert Testimony | Disciplinary Order | 05-21 |
| May 11, 2005 | C3A030050 | Hearing Panel Decision in Department of Enforcement vs. Roger P. May | Disciplinary Decision | |
| May 05, 2005 | C02040032 | Order Denying Respondent's Request for Leave to Offer Expert Testimony | Disciplinary Order | 05-19 |
| April 25, 2005 | C07040084 | Order Granting Complainant's Motion for Telephone Testimony | Disciplinary Order | 05-18 |
| April 21, 2005 | CAF040070 | Order Denying Respondents' Motion for Leave to Introduce Expert Testimony | Disciplinary Order | 05-17 |
| April 18, 2005 | C01040019 | Hearing Panel Decision in Department of Enforcement vs. Beerbaum & Beerbaum Financial and Insurance Services, Inc. | Disciplinary Decision | |
| April 15, 2005 | CAF040025 | Hearing Panel Decision in Department of Enforcement vs. Steven C. Kirsch | Disciplinary Decision | |
| April 12, 2005 | ARB050010 | Order Deeming Defense as Abandoned, Hearing as Waived, and Nasd Suspension Notice as Final | Expedited Order | 05-16 |