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 15, 2001 | C06010015 | Hearing Panel Decision in Department of Enforcement v. Tanya N. Vu | Disciplinary Decision | |
| November 12, 2001 | C05010012 | Hearing Panel Decision in Department of Enforcement v. Wendell D. Belden | Disciplinary Decision | |
| October 22, 2001 | C10000122 | Hearing Panel Decision in Department of Enforcement v. Vincent J. Puma | Disciplinary Decision | |
| October 15, 2001 | CMS000142 | Hearing Panel Decision in Department of Enforcement v. Ko Securities, Inc. and Terrance Yoshikawa | Disciplinary Decision | |
| October 04, 2001 | CAF000045 | Order Regarding Production of Documents | Disciplinary Order | 01-16 |
| October 02, 2001 | C9A000038 | Hearing Panel Decision in Department of Enforcement v. Jeffrey L. Farley | Disciplinary Decision | |
| September 18, 2001 | C01000017 | Hearing Panel Decision in Department of Enforcement v. Raymon Salinas | Disciplinary Decision | |
| September 10, 2001 | C9B000015 | Hearing Panel Decision in Department of Enforcement v. Michael Dabney | Disciplinary Decision | |
| August 31, 2001 | C9A010011 | Order Granting Complainant's Motion for Partial Summary Disposition | Disciplinary Order | 01-17 |
| August 27, 2001 | CAF000030 | Hearing Panel Decision in Department of Enforcement v. Manuel M. Bello | Disciplinary Decision | |
| August 20, 2001 | C8A010014 | Hearing Panel Decision in Department of Enforcement v. Salam Aburas | Disciplinary Decision | |
| August 03, 2001 | C10000046 | Hearing Panel Decision in Department of Enforcement v. Quentin T. Quintana | Disciplinary Decision | |
| August 02, 2001 | C07000090 | Hearing Panel Decision in Department of Enforcement v. Walter Reinhardt | Disciplinary Decision | |
| July 26, 2001 | ARB010001 | Non-Summary Suspension Consolidated Proceeding ARB010001 | Expedited Decision, Non-Summary Proceeding | |
| July 25, 2001 | ARB010018 | Non-Summary Suspension Consolidated Proceeding ARB010018 | Expedited Decision, Non-Summary Proceeding | |
| July 23, 2001 | C10000029 | Hearing Panel Decision in Department of Enforcement v. Michael Henry Christ | Disciplinary Decision | |
| July 19, 2001 | C8A000059 | Hearing Panel Decision in Department of Enforcement v. Roger A. Hanson | Disciplinary Decision | |
| July 06, 2001 | C9B000013 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| July 03, 2001 | C3A000007 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| June 28, 2001 | C3A000054 | Hearing Panel Decision in Department of Enforcement v. Robert M. McCulley | Disciplinary Decision | |
| June 27, 2001 | CAF000033 | Hearing Panel Decision in Department of Enforcement v. Dennis Sturm | Disciplinary Decision | |
| June 26, 2001 | CAF000040 | Hearing Panel Decision in Department of Enforcement v. Michelle McDonough | Disciplinary Decision | |
| June 05, 2001 | C10000006 | Hearing Panel Decision in Department of Enforcement v. Leonard Vincent Lombardo | Disciplinary Decision | |
| May 29, 2001 | C8B000013 | Hearing Panel Decision in Department of Enforcement v. Patrick A. Brady | Disciplinary Decision | |
| May 23, 2001 | CAF000013 | Order Granting Complainant's Motion to Preclude the Introduction of Expert Testimony | Disciplinary Order | 01-15 |