OHO Docket Portal
The OHO Docket Portal is a web-based electronic filing system that allows parties in cases before the Office of Hearing Officers to log into a secure system where they have self-service access to their cases for submitting, serving, and receiving case documents and for viewing their case information, including scheduled events and deadlines.
On this page
- OHO Docket Portal User Guides
- Request an OHO Docket Portal User Account
- Frequently Asked Questions about the OHO Docket Portal
User Guides
OHO has developed user guides to help parties use the OHO Docket Portal and file new disciplinary cases and requests for hearings.
Download: OHO Docket Portal User Guide for Parties and Other Case Participants
Download: How to File New Disciplinary Proceeding (Complaint)
Download: How to File a Request for an Expedited Hearing
Request an OHO Docket Portal Account
When you file a new request for hearing or a new disciplinary proceeding or when you enter a notice of appearance in a case, OHO will create a new Docket Portal account for you and email you your username and temporary password. (If you already have an account, you will use that rather than a new one.)
You may also request a new user account by email to [email protected]. Provide your name, the proceeding number, and your role in the case. Also include your contact information. The Office of Hearing Officers will contact you within one business day.
Frequently Asked Questions about the OHO Docket Portal
What is the OHO Docket Portal?
The Office of Hearing Officers (OHO) Docket Portal is a web-based system that allows parties in cases before the Office of Hearing Officers to log into a secure system with self-service access to their cases (called “matters” inside the system) for submitting and receiving case documents and viewing their case information, including scheduled events and deadlines.
I am a party in a disciplinary or expedited proceeding. Am I required to use the OHO Docket Portal?
Yes. Rules 9134 and 9135 in FINRA’s Code of Procedure state that the OHO Docket Portal is the required method of filing and service in proceedings before the Office of Hearing Officers.
A Respondent lacking access to the necessary technology to file, serve, and receive papers electronically through the OHO Docket Portal may file a motion seeking an accommodation to allow an alternative method of filing and serving papers. The motion must explain the reason for the request and suggest an alternate form of service. The moving party shall file its motion by Express Mail or delivery service with OHO at FINRA’s Office of Hearing Officers, 1700 K Street, NW, Washington, DC 20006.
Do I have to request an OHO Docket Portal account?
When you file a new request for hearing or a new disciplinary proceeding or when you enter a notice of appearance in a case, OHO will create a new Docket Portal account for you and email you your username and temporary password. (If you already have an account, you will use that rather than a new one.)
You may also request a new user account by email to [email protected]. Provide your name, the proceeding number, and your role in the case. Also include your contact information. The Office of Hearing Officers will contact you within one business day.
If I participate as a party in more than one case, do I need an account for each case?
No. You will use the same OHO Docket Portal account to access all active matters you participate in.
How do I access the OHO Docket Portal?
Click the Log In to the OHO Docket Portal button in the right navigation pane of this page or Log In here.
What if I forgot my password?
Request a password reset by email to [email protected]. Provide your name and contact information. The Office of Hearing Officers will contact you within one business day.
How do I use the OHO Docket Portal?
OHO developed the OHO Docket Portal User Guide for Parties and Other Participants to help disciplinary and expedited case participants become familiar with the OHO Docket Portal. This document provides an overview of the system to help you understand its organization and navigation, along with detailed instructions with screenshots to guide your interactions with the OHO Docket Portal and the online forms for filing new cases. The manual and other helpful documents and sample forms are available on your OHO Docket Portal home page in the “Party Reference Documents” widget and on the Office of Hearing Officers landing page on FINRA.org.
What if I need help logging into or using the OHO Docket Portal?
If you need troubleshooting for the OHO Docket Portal, you can click the button on the right navigation pane to schedule a call with OHO’s technical staff. You may also call 202-728-8008 or email [email protected]. Technical support staff are available Monday through Friday from 8:30 a.m. to 5:30 p.m. Eastern time.
What if I encounter difficulties filing a document using the OHO Docket Portal after hours?
Email your filing to [email protected] before 11:59 p.m. Include detailed information about the difficulty you encountered using the OHO Docket Portal.
How do I file a new disciplinary case or request an expedited hearing? Do I use the OHO Docket Portal?
To file a new case or request a hearing with OHO, you will use an online form that will feed into the OHO Docket Portal. The forms do not require an OHO Docket Portal account.
File a New Disciplinary Proceeding (Complaint)
File a Request for an Expedited Hearing
These links will take you to user-friendly forms that you will complete and submit.