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. |
|---|---|---|---|---|
| May 19, 2004 | C10030076 | Hearing Panel Decision in Department of Enforcement v. Daewoo Securities (America) Inc, and Hong Gon Kim | Disciplinary Decision | |
| May 10, 2004 | C9B030045 | Hearing Panel Decision in Department of Enforcement v. Michael O'Hare | Disciplinary Decision | |
| May 06, 2004 | C9A030023 | Hearing Panel Decision in Department of Enforcement v. George A. Murphy, Jr. | Disciplinary Decision | |
| May 04, 2004 | C04030057 | Hearing Panel Decision in Department of Enforcement v. Sherry Lee Williams | Disciplinary Decision | |
| May 03, 2004 | CAF040002 | Motion To Compel Compliance With Procedural Rule 9251 and Denying the Respondents' Motions for Sanctions and for Leave to File a Reply | Disciplinary Decision | |
| April 26, 2004 | C8A030034 | Hearing Panel Decision in Department of Enforcement v. James Barrick | Disciplinary Decision | |
| April 26, 2004 | C01030004 | Hearing Panel Decision in Department of Enforcement v. Tad Enrique Mihalopoulos, Sr. | Disciplinary Decision | |
| April 23, 2004 | C9B040033 | Pre-Hearing Order | Disciplinary Order | 04-24 |
| April 19, 2004 | C05030023 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Redacted Decision | |
| April 19, 2004 | C05020055 | Hearing Panel Decision in Department of Enforcement v. Michael F. Siegel | Disciplinary Decision | |
| April 08, 2004 | C01030019 | Hearing Panel Decision in Department of Enforcement v. Lance Christopher Newby | Disciplinary Decision | |
| April 01, 2004 | CMS030181 | In the Matter of Department of Market Regulation, Complainant, vs. Respondent | Redacted Decision | |
| March 30, 2004 | C01030030 | Hearing Panel Decision in Department of Enforcement v. Brad Louis Zigler | Disciplinary Decision | |
| March 29, 2004 | CMS030269 | Hearing Panel Decision in Market Regulation Department v. Anthony John Orlando, Jr., and Philip Anthony Orlando | Disciplinary Decision | |
| March 28, 2004 | DFC040005 | Order Denying Respondent's Motion to Dismiss the Suspension Proceeding | Expedited Order | 04-02 |
| March 23, 2004 | CAF030014 | In the Matter of Department of Enforcement, Complainant vs. Respondent | Disciplinary Decision | |
| March 17, 2004 | CAF030014 | Order Denying Respondent's Motion for Summary Disposition and Request for Preclusion Order Based Upon Unfair Investigatory Process | Disciplinary Order | 04-01 |
| March 10, 2004 | CAF020022 | Hearing Panel Decision in Department of Enforcement v. Hornblower & Weeks, Inc., John R. Rooney, Eric Ellenhorn, and Paul E. Taboada | Disciplinary Decision | |
| February 18, 2004 | C3A030012 | Hearing Panel Decision in Department of Enforcement v. Gregory A. Eastman | Disciplinary Decision | |
| February 09, 2004 | C02020057 | Hearing Panel Decision in Department of Enforcement v. Alvin W. Gebhart, Jr. and Donna T. Gebhart | Disciplinary Decision | |
| January 23, 2004 | C3A030024 | Hearing Panel Decision in Department of Enforcement v. Richard S. Jacobson | Disciplinary Decision | |
| January 16, 2004 | CAF030008 | Hearing Panel Decision in Department of Enforcement v. Frank Peter Quattrone | Disciplinary Decision | |
| December 30, 2003 | C3A030017 | Hearing Panel Decision in Department of Enforcement v. Fox & Company Investments, Inc. and James W. Moldermaker | Disciplinary Decision | |
| December 30, 2003 | C01020023 | Hearing Panel Decision in Department of Enforcement v. Day International Securities, Douglas Conant Day, and Ronald Winston Wood | Disciplinary Decision | |
| December 29, 2003 | C8B030012 | Hearing Panel Decision in Department of Enforcement v. Mark F. Mizenko | Disciplinary Decision |