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. |
|---|---|---|---|---|
| April 07, 2005 | CAF040058 | Order Denying Respondents' Motion for Leave to Introduce Expert Testimony and to Compel Production of Documents | Disciplinary Order | 05-15 |
| April 06, 2005 | C9B040020 | Hearing Panel Decision in Department of Enforcement v. Respondent | Redacted Decision | |
| April 06, 2005 | C9B040020 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Disciplinary Decision | |
| April 05, 2005 | CAF040002 | Order Denying Complainant's Objection to Expert Testimony of Paul Mason | Disciplinary Order | 05-14 |
| April 04, 2005 | CAF040002 | Order Denying Respondents' Motion in Limine to Preclude Complainant from Using New Simulation Model | Disciplinary Order | 05-13 |
| March 30, 2005 | CAF040002 | Order Denying in Part The Department's Motion for Leave to Offer Testimony by Telephone and Denying the Respondents' Motion Pursuant to Rule 9252 | Disciplinary Order | 05-12 |
| March 29, 2005 | C02040044 | Order Denying Motion for List of Documents Withheld | Disciplinary Order | 05-10 |
| March 29, 2005 | C01040017 | Order Granting in Part the Department's Motion to Preclude the Respondent from Introducing Evidence at the Hearing | Disciplinary Order | 05-11 |
| March 22, 2005 | C9B040069 | Hearing Panel Decision in Department of Enforcement vs. Howard Brett Berger | Disciplinary Decision | |
| March 20, 2005 | CAF030058 | Order Denying Respondent's Motion to Deem Admitted Statement of Undisputed Facts Supporting Motion for Summary Disposition | Disciplinary Order | 05-09 |
| March 17, 2005 | CMS040202 | Order Denying Motion for Order to Cease and Desist | Disciplinary Order | 05-08 |
| March 14, 2005 | CAF040079 | Order Denying Respondent's Motion to Quash and Motion for a Protective Order | Disciplinary Order | 05-07 |
| March 14, 2005 | C9B040036 | Hearing Panel Decision in Department of Enforcement vs. Respondent 1 and Michael Blaise Doherty | Disciplinary Decision | |
| March 13, 2005 | C9B040074 | Hearing Panel Decision in Department of Enforcement vs. Respondent Firm and James C. Ackerman | Disciplinary Decision | |
| March 13, 2005 | C10030095 | Hearing Panel Decision in Department of Enforcement vs. John Audifferen | Disciplinary Decision | |
| March 13, 2005 | C9B040074 | Hearing Panel Decision in Department of Enforcement vs. James C. Ackerman | Disciplinary Decision | |
| March 02, 2005 | CAF040056 | Order Denying Enforcement's Motion to Modify Permanent Cease and Desist Order | Disciplinary Order | 05-06 |
| March 02, 2005 | ARB040037 | Hearing Panel Decision in Department of Enforcement vs. Respondent | Expedited Decision, Rule 9550 Expedited Decisions | |
| March 01, 2005 | ARB050002 | Order Granting Enforcement's Rule 9559(M) Motion and Dismissing Proceeding | Expedited Order | 05-05 |
| February 28, 2005 | C9B040059 | Order Denying Motion to Disqualify Hearing Officer Witherspoon | Disciplinary Order | 05-04 |
| February 24, 2005 | C3A040023 | Order Regarding Respondents' Pre-Hearing Submissions | Disciplinary Order | 05-03 |
| February 18, 2005 | FPI040007 | Hearing Panel Decision in Department of Enforcement v. Elliot M. Hershberg | Expedited Decision, Rule 9540 Suspension Decisions | |
| February 17, 2005 | C8A030086 | Hearing Panel Decision in Department of Enforcement vs. Lance Dahmer | Disciplinary Decision | |
| January 25, 2005 | C07040074 | Hearing Panel Decision in Department of Enforcement vs. L.H. Ross & Company, Inc. and Franklyn Ross Michelin | Disciplinary Decision | |
| January 24, 2005 | C9B040033 | Hearing Panel Decision in Department of Enforcement vs. Robert M. Ryerson | Disciplinary Decision |