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FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
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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. |
|---|---|---|---|---|
| July 31, 2020 | 2018058924502 | Order Denying Motion for Summary Disposition | Disciplinary Order | 20-14 |
| July 24, 2020 | 2019062092401 | Steven Harris | Disciplinary Decision - Default | |
| July 15, 2020 | ARB200024 | Order Granting Department of Enforcement’s Motion To Strike Respondent’s Defense And Request for Hearing | Expedited Order | EXP20-01 |
| July 02, 2020 | 2016048837401 | Order Granting In Part And Denying In Part Respondent’s Motion In Limine Regarding Expert Testimony | Disciplinary Order | 20-09 |
| July 01, 2020 | 2018058286901 | APPEALED: Wilfredo Felix and Primex Prime Electronic Execution, Inc. d/b/a Primex | Disciplinary Decision | |
| June 30, 2020 | ARB200006 | Daniel Paul Motherway | Expedited Decision | |
| June 18, 2020 | 2014041541401 | Order Requiring Certification of Compliance With FINRA Rule 9910 | Disciplinary Order | 20-08 |
| June 05, 2020 | 2016052104101 | APPEALED: Devin Lamarr Wicker | Disciplinary Decision | |
| June 01, 2020 | 2017055164001 | Order Denying Respondent’s Motion For Production Of Witness Statements Under Rule 9253 | Disciplinary Order | 20-07 |
| May 28, 2020 | 2019064884501 | Gustavo T. Franco | Disciplinary Decision - Default | |
| May 27, 2020 | 2017053843901 | Michael Patrick Murphy | Disciplinary Decision | |
| May 27, 2020 | 2017053462401 | Order Denying Respondent’s Motion To Amend Answer | Disciplinary Order | 20-06 |
| May 21, 2020 | 2016048393501 | Shopoff Securities, Inc., William A Shopoff, and Stephen R. Shopoff | Disciplinary Decision | |
| May 15, 2020 | 2017054405401 | APPEALED: William Joseph Kielczewski | Disciplinary Decision | |
| May 01, 2020 | 2018059510201 | APPEALED: Thomas Lykos | Disciplinary Decision | |
| April 16, 2020 | ARB190040 | Stephen Paul Seglund | Expedited Decision | |
| April 09, 2020 | 2018060216701 | Bryce P. Jenney | Disciplinary Decision - Default | |
| March 26, 2020 | 2015045257501 | Order On Motion For Summary Disposition Of Affirmative Defenses | Disciplinary Order | 20-05 |
| March 06, 2020 | 2019061947501 | Erik P. Pica | Disciplinary Decision - Default | |
| March 06, 2020 | 2015047244701 | Order Denying Respondent Shea’s Motion To Sever | Disciplinary Order | 20-04 |
| February 27, 2020 | 2018057829001 | James G. McKinney | Disciplinary Decision - Default | |
| February 07, 2020 | 2017056688202 | Daniel J. Arcuri | Disciplinary Decision - Default | |
| February 05, 2020 | 2018059545201 | APPEALED: Robert Juan Escobio | Disciplinary Decision | |
| January 31, 2020 | 2018059510201 | Order Governing Post-Hearing Briefing | Disciplinary Order | 20-03 |
| January 21, 2020 | 2017054405401 | Order Governing Withdrawal Of Certain Admitted Exhibits | Disciplinary Order | 20-02 |