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
Requesting OHO Docket Portal Accounts
You must request an OHO Docket Portal account in order to file an answer to a complaint pursuant to FINRA Rule 9215 or other responsive pleading, or to file an attorney notice of appearance pursuant to FINRA Rule 9141. To request a user account, provide the following information by email to [email protected]:
- Your name
- The names of all respondents in the case
- The proceeding number
- Your role in the case (e.g., respondent, attorney) and, if you’re an attorney, who you represent
- Bar number, if you’re an attorney
- Contact information, including your email address
When you provide this information, OHO will create a new OHO Docket Portal user account for you and email you your username and temporary password. If you already have an account, you do not need an additional one but you must send the same information for access to the specific case.
Note: If you are an attorney representing a respondent, you will be granted access to the case in the OHO Docket Portal for 24 hours from the time OHO sends your username and temporary password. In that time, you must file a notice of appearance in accordance with FINRA Rule 9141 using the Party Submissions tab in the case. If you do not file your notice of appearance in that time, your access will be disabled, and you must email [email protected] again. Once you file a notice of appearance, your access to the case will continue for the life of the case unless you withdraw before then.
If you are an attorney, individuals associated with your law firm may request user accounts after you file your notice of appearance following the same instructions above.
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.
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 file, serve, and receive papers in hard copy instead. The Respondent shall file the motion by Express Mail or overnight delivery service with OHO to:
FINRA Office of Hearing Officers
1700 K Street, NW
Washington, DC 20006.
The Respondent must also serve the Department of Enforcement attorneys listed in the Notice of Complaint at the same time by the same method. The motion must explain the reason for the request.
Do I have to request an OHO Docket Portal account?
Yes, unless you have one already. Follow the instructions under Requesting OHO Docket Portal Accounts.
I already have an OHO Docket Portal account. Do I need to request another one?
No, but you do have to request access to the case. Follow the instructions under Requesting OHO Docket Portal Accounts.
How do I access the OHO Docket Portal?
Click the blue “OHO Docket Portal” button in the top right corner of the navigation pane on this page or click this link:
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. The Guide 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 Guide and other helpful documents and sample forms are available on your OHO Docket Portal home page in the “Party Reference Documents” widget and at www.finra.org/oho.
Download: OHO Docket Portal User Guide for Parties and Other Case Participants
I received a disciplinary Complaint against me from the Department of Enforcement. How do I file an Answer?
If you do not already have an OHO Docket Portal user account, request one following the instructions under Requesting OHO Docket Portal Accounts. If you already have an OHO Docket Portal account, request access to the case. Follow the instructions under Requesting OHO Docket Portal Accounts.
Once you have received your OHO Docket Portal user account credentials and access to the case, you will file your Answer, and all future filings, as PDFs, using the Party Submissions tab within the case. Review the OHO Docket Portal User Guide for Parties and Other Case Participants above.
I am an attorney representing a Respondent in an OHO proceeding. How do I enter an appearance?
Follow the instructions near the top of this page for requesting a new OHO Docket Portal user account. If you already have an OHO Docket Portal account, you must request access to the case. Follow the instructions under Requesting OHO Docket Portal Accounts.
You will be granted access to the case in the OHO Docket Portal for 24 hours. In that time, you must file a notice of appearance in accordance with FINRA Rule 9141 using the Party Submissions tab within the case. If you do not file your notice of appearance in that time, your access to the case will be disabled, and you must email [email protected] again. Once you file a notice of appearance, your access to the case will continue for the life of the case unless you withdraw before then.
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, but you must ask for access to a particular case. Follow the instructions under Requesting OHO Docket Portal Accounts.
What if I forgot my password?
Click “Forgot Password” at the bottom of the login screen and follow the instructions. If you encounter difficulties, email [email protected]. Provide your name, contact information, and case information. The Office of Hearing Officers will contact you within one business day.
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 dark blue “Schedule a Call” button on the right navigation pane to schedule a call with OHO’s Docket Portal support staff. You may also call 202-728-8008 or email [email protected]. OHO Docket Portal 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. You must include detailed information about the difficulty you encountered using the OHO Docket Portal. The Case Administrator assigned to the proceeding will contact you the next day.
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.
See detailed user guides for filing a new disciplinary case or requesting a hearing:
Download: How to File New Disciplinary Proceeding (Complaint)
Download: How to File a Request for an Expedited Hearing