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 06, 2004 | CMS030257 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| August 06, 2004 | CLI030013 | Hearing Panel Decision as to Respondent 1, 2, and 3 | Redacted Decision | |
| August 02, 2004 | CAF040056 | Order Granting in Part, and Denying in Part, Enforcement's Motion for Leave to Offer Telephone Testimony | Disciplinary Order | 04-13 |
| July 30, 2004 | C9B040013 | Order Granting Respondents' Motion to Introduce Expert Testimony | Disciplinary Order | 04-12 |
| July 16, 2004 | C01020022 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| July 13, 2004 | C3A030015 | Hearing Panel Decision in Department of Enforcement v. Herbert I. Kay | Disciplinary Decision | |
| July 07, 2004 | C8A030100 | Order Granting in Part and Deferring in Part Complainant's Motion for Summary Disposition, and Denying Respondents' Motion for Summary Disposition | Disciplinary Order | 04-11 |
| July 06, 2004 | CAF030013 | Hearing Panel Decision in Department of Enforcement v. Richard L. Newburg | Disciplinary Decision | |
| July 01, 2004 | C9B030076 | Order Correcting Order Dismissing Affirmative Defense and Denying Respondent's Motion to Reconsider | Disciplinary Order | 04-10 |
| June 30, 2004 | C10030082 | Hearing Panel Decision in Department of Enforcement v. Stephen Nicholas Thomas | Disciplinary Decision | |
| June 29, 2004 | C10030088 | Hearing Panel Decision in Department of Enforcement v. Andrew P. Schneider | Disciplinary Decision | |
| June 29, 2004 | C8A020088 | Hearing Panel Decision in Department of Enforcement v. Daniel Eric Kelsey | Disciplinary Decision | |
| June 26, 2004 | ARB040033 | Order Denying Respondent's Motion To Dismiss | Disciplinary Decision | |
| June 24, 2004 | CAF030055 | Order Denying Enforcement's Motion for Summary Disposition | Disciplinary Order | 04-08 |
| June 22, 2004 | C9B030076 | Order Dismissing Affirmative Defense | Disciplinary Order | 04-07 |
| June 18, 2004 | C3A040006 | Order Denying Motion to Compel Testimony | Disciplinary Order | 04-06 |
| June 15, 2004 | CAF030058 | Order Granting Respondent's Motion for in Camera Inspection of Documents | Disciplinary Order | 04-05 |
| June 14, 2004 | C11040006 | Hearing Panel Decision in Department of Enforcement v. Justin F. Ficken | Disciplinary Decision | |
| June 10, 2004 | C9B040020 | Order Denying Respondents' Motion to Compel Discovery | Disciplinary Order | 04-04 |
| June 07, 2004 | CAF020048 | Hearing Panel Decision in Department of Enforcement v. Donner Corporation International (N.K.A. National Capital Securities, Inc.), Jeffrey L. Baclet, Vincent M. Uberti, and Paul A. Runyon | Disciplinary Decision | |
| June 07, 2004 | CLI030011 | Hearing Panel Decision in Department of Enforcement v. Demetrios Zouloufis | Disciplinary Decision | |
| June 04, 2004 | CMS020247 | Hearing Panel Decision in Department of Market Regulation v. Terrance Yoshikawa | Disciplinary Decision | |
| June 01, 2004 | C8A030100 | Order Denying Motion for Leave to File Amended Answer | Disciplinary Order | 04-03 |
| May 27, 2004 | C8A030068 | Hearing Panel Decision in Department of Enforcement v. Todd Grafenauer | Disciplinary Decision | |
| May 25, 2004 | C8A030078 | Hearing Panel Decision in Department of Enforcement v. Scott Wiard and James Reisinger | Disciplinary Decision |