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 08, 2003 | CAF020048 | Pre-Hearing Order Directing ___________ to File a Power of Attorney | Disciplinary Order | 03-07 |
| April 03, 2003 | C3B020015 | Order Granting in Part and Denying in Part Complainant's Motion for Summary Disposition | Disciplinary Order | 03-06 |
| March 30, 2003 | C3B020015 | Order Granting in Part and Denying in Part Respondents' Motion to Compel Discovery | Disciplinary Order | 03-05 |
| March 27, 2003 | C3A010036 | Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp., Michael Studer, and Respondent 3 | Disciplinary Decision | |
| March 19, 2003 | C3A020039 | Order Regarding Complainant's Motion for a Preclusion Order | Disciplinary Order | 03-04 |
| March 16, 2003 | C9A020017 | Hearing Panel Decision in Department of Enforcement v. Emanuel L. Sarris | Disciplinary Decision | |
| March 04, 2003 | C01020014 | Hearing Panel Decision in Department of Enforcement v. Paul Joseph Benz | Disciplinary Decision | |
| February 21, 2003 | DFC020018 | Hearing Panel Decision in NASD Treasurer v. Respondent | Disciplinary Decision | |
| February 13, 2003 | C10010004 | Hearing Panel Decision in Department of Enforcement v. Yakov (Jack) Koppel | Disciplinary Decision | |
| February 10, 2003 | C8A010094 | Hearing Panel Decision in Department of Enforcement v. Jonathan B. Day | Disciplinary Decision | |
| February 07, 2003 | C07020067 | Order Granting Motion in Limine | Disciplinary Order | 03-14 |
| February 07, 2003 | C9B020048 | Hearing Panel Decision in Department of Enforcement v. John Michael Brack | Disciplinary Decision | |
| February 05, 2003 | C8A020032 | Hearing Panel Decision in Department of Enforcement v. Leroy Avery | Disciplinary Decision | |
| January 30, 2003 | C8A020014 | Hearing Panel Decision in Department of Enforcement v. Brad A. Roethlisberger | Disciplinary Decision | |
| January 17, 2003 | CAF020007 | Order Granting Motion for Reconsideration | Disciplinary Order | 03-02 |
| January 14, 2003 | C9A020018 | Order Denying Request for Postponement of Hearing | Disciplinary Order | 03-03 |
| January 08, 2003 | C9B020037 | Hearing Panel Decision in Department of Enforcement v. Kenneth J. Gilmore | Disciplinary Decision | |
| January 06, 2003 | CAF020041 | Order Granting the Department of Enforcement's Motion for a Protective Order | Disciplinary Order | 03-01 |
| December 30, 2002 | C3B010016 | Hearing Panel Decision in Department of Enforcement v. Magellan Securities, Inc. and Terry M. Laymon | Disciplinary Decision | |
| December 26, 2002 | CAF020042 | Order Denying Motion for More Definite Statement | Disciplinary Order | 02-12 |
| December 20, 2002 | C3A020013 | Hearing Panel Decision in Department of Enforcement v. Joseph J. Vastano, Jr. | Disciplinary Decision | |
| December 20, 2002 | C10000122 | Hearing Panel Decision in Department of Enforcement v. Vincent J. Puma | Disciplinary Decision | |
| December 14, 2002 | CAF000045 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| December 13, 2002 | C02020014 | Hearing Panel Decision in Department of Enforcement v. Young Min Kim | Disciplinary Decision | |
| December 13, 2002 | C04020006 | Hearing Panel Decision in Department of Enforcement v. Curtis W. Triggs, Jr. | Disciplinary Decision |