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. |
|---|---|---|---|---|
| November 27, 2002 | CAF000027 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| November 06, 2002 | C3A020020 | Hearing Panel Decision in Department of Enforcement v. Stephanie Ann Dixon | Disciplinary Decision | |
| November 05, 2002 | C01010009 | Hearing Panel Decision in Department of Enforcement v. Chris Dinh Hartley | Disciplinary Decision | |
| October 07, 2002 | C01010018 | Hearing Panel Decision in Department of Enforcement v. Brendan Conley Walsh | Disciplinary Decision | |
| October 03, 2002 | DFC020014 | NASD Treasurer, Complainant, v. Respondent | Expedited Decision, Rule 9530 Suspension Decisions | |
| September 24, 2002 | C01020003 | Hearing Panel Decision in Department of Enforcement v. Martin Herbert Meckler | Disciplinary Decision | |
| September 17, 2002 | C9B020016 | Hearing Panel Decision in Department of Enforcement v. Michael K. Kalmaer | Disciplinary Decision | |
| September 13, 2002 | C06010025 | Hearing Panel Decision in Department of Enforcement v. Arlie R. Horn, Jr. and Lindsay A. Byrum | Disciplinary Decision | |
| September 05, 2002 | C02010041 | Hearing Panel Decision in Department of Enforcement v. Anthony H. Barkate | Disciplinary Decision | |
| August 13, 2002 | C01010017 | Hearing Panel Decision in Department of Enforcement v. James Richard Wamsley | Disciplinary Decision | |
| August 13, 2002 | C07010100 | Hearing Panel Decision in Department of Enforcement v. David William Haburjak | Disciplinary Decision | |
| August 05, 2002 | C8A010048 | Hearing Panel Decision in Department of Enforcement v. Christian W. Baker | Disciplinary Decision | |
| July 09, 2002 | C9B010041 | Hearing Panel Decision in Department of Enforcement v. James B. Moran | Disciplinary Decision | |
| July 09, 2002 | C01000003 | Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen | Disciplinary Decision | |
| July 08, 2002 | C07010091 | Hearing Panel Decision in Department of Enforcement v. Luis G. Sarmiento | Disciplinary Decision | |
| June 12, 2002 | C8A010060 | Hearing Panel Decision in Department of Enforcement v. Ellen M. Aleshire | Disciplinary Decision | |
| May 31, 2002 | C07010084 | Hearing Panel Decision in Department of Enforcement v. Forrest G. Harris | Disciplinary Decision | |
| May 21, 2002 | C07010100 | Order Denying Respondent's Motion to Strike Complainant's Pleadings and for Imposition of Sanctions | Disciplinary Order | 02-11 |
| May 15, 2002 | CAF010021 | Order Denying Motion to Sever | Disciplinary Order | 02-10 |
| May 14, 2002 | C01010009 | Order Deferring Decision On Complainant's Motion For Summary Disposition | Disciplinary Order | 02-09 |
| May 08, 2002 | C10010145 | Order Denying Respondent's Motion To Dismiss For Lack Of Jurisdiction | Disciplinary Order | 02-08 |
| May 06, 2002 | C07010095 | Hearing Panel Decision in Department of Enforcement v. Patrick H. Smith | Disciplinary Decision | |
| May 03, 2002 | CAF010009 | Hearing Panel Decision in Department of Enforcement v. Dane Stephen Faber | Disciplinary Decision | |
| April 29, 2002 | C01010017 | Order Pursuant To Conduct Rule 9143 | Disciplinary Order | 02-07 |
| April 23, 2002 | CAF000027 | Order Following Final Pre-Hearing Conference | Disciplinary Order | 02-06 |