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 26, 2024 | 2023078202201 | Daniel Hoeflinger | Disciplinary Decision - Default | |
| November 25, 2024 | 2022075597101 | Order Deferring Ruling on Respondents’ Motion for Extension of Time to Answer Complaint | Disciplinary Order | 24-30 |
| November 06, 2024 | 2019064508802 | APPEALED: Eugene H. Kim | Disciplinary Decision | |
| October 24, 2024 | 2020066079903 | Order Granting in Part Enforcement’s Motion Pursuant to Rule 9285 | Disciplinary Order | 24-29 |
| October 23, 2024 | 2019064333401 | Order Rescheduling Dates for Hearing | Disciplinary Order | 24-28 |
| October 23, 2024 | 2019064333401 | Order Denying Respondent’s Motion for Stay of Hearing | Disciplinary Order | 24-27 |
| October 15, 2024 | 2019060753508 | Michael R. Rosalia | Disciplinary Decision - Default | |
| October 07, 2024 | ARB240010 | Silvio Borrero | Expedited Decision | |
| October 07, 2024 | 2018057297102 | Order Granting Enforcement’s Motion for Interim Conditions and Restrictions | Disciplinary Order | 24-26 |
| September 30, 2024 | 2023078168101 | Tavic O. Francis | Disciplinary Decision - Default | |
| September 20, 2024 | 2018056490310 | Thomas J. Baumann | Disciplinary Decision - Default | |
| September 13, 2024 | 2023077591501 | Gary F. Harpe | Disciplinary Decision - Default | |
| September 10, 2024 | 2022076149301 | Order Granting, in Part, and Denying, in Part, Enforcement’s Motion to Permit Videoconference Testimony | Disciplinary Order | 24-25 |
| August 28, 2024 | 202006607903 | APPEALED: Jose L. Centeno | Disciplinary Decision | |
| August 23, 2024 | 2018056490311 | Stephen James Sullivan | Disciplinary Decision - Default | |
| August 16, 2024 | 2018060128401 | Michael Charles Grande | Disciplinary Decision - Default | |
| August 15, 2024 | 2018057297102 | APPEALED: Mark Sam Kolta | Disciplinary Decision | |
| August 14, 2024 | 2022073772701 | Order Deferring Ruling on Enforcement’s Objections to Exhibits and Witnesses | Disciplinary Order | 24-23 |
| August 14, 2024 | 2022073772701 | Order Granting Enforcement’s Consent Motion for Witness Sequestration | Disciplinary Order | 24-24 |
| August 09, 2024 | ARB240010 | Order Denying Respondent’s Fifth Motion for Continuance of Hearing | Expedited Order | EXP24-1 |
| August 06, 2024 | ARB240008 | John Lawrence Davis | Expedited Decision | |
| August 05, 2024 | 2019064508802 | Order Denying Respondent’s Motion to Attach Appendix to Post-Hearing Brief | Disciplinary Order | 24-22 |
| July 08, 2024 | ARB240001 | Jason Malcom Pirnie | Expedited Decision | |
| July 01, 2024 | 2019064333401 | Order Granting Enforcement’s Motion to Permit Testimony by Videoconference or Telephone | Disciplinary Order | 24-21 |
| June 25, 2024 | 2021071094401 | APPEALED: John Pelletier | Disciplinary Decision |