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.
Important Note for Pending Cases: Parties with cases currently pending before OHO are not required to transition to the new Docket Portal. OHO will issue orders in all existing cases confirming that while the OHO Docket Portal is operational as of October 7, parties in pending matters will continue to use email for filing and service as they have been doing. This ensures continuity for ongoing proceedings while establishing the new portal as the standard platform for future cases.
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| March 03, 2026 | DFC250001 | Momentix Capital, Inc. | Expedited Decision | |
| March 02, 2026 | ARB250018 | Adam Kaplan and Daniel Kaplan | Expedited Decision | |
| February 12, 2026 | 2021071987902 | Order Requiring Certification of Compliance with FINRA Rule 9910 | Disciplinary Order | 26-04 |
| February 04, 2026 | 2018056490315 | Order Denying Respondent’s Motion to Conduct the Hearing in Part by Videoconference | Disciplinary Order | 26-03 |
| January 28, 2026 | 2018056490315 | Order Denying Respondent’s Motion to Introduce Affidavit | Disciplinary Order | 26-02 |
| December 24, 2025 | ARB250016 | Elmer R. Ferguson | Expedited Decision | |
| December 19, 2025 | 2024083571501 | Nana Kwame Kwakye-Bissah | Disciplinary Decision - Default | |
| December 18, 2025 | 2024082633901 | Ali F. Chehab | Disciplinary Decision - Default | |
| December 18, 2025 | 2020068865301 | Jeffrey K. Galvani and Stuart A. Jeffery | Disciplinary Decision - Default | |
| December 11, 2025 | 2019064333401 | Order Granting the Department of Enforcement’s Motion Pursuant to FINRA Rule 9285 | Disciplinary Order | 25-27 |
| November 14, 2025 | 2022077443302 | Order Concerning Respondent’s Exhibits and Witness | Disciplinary Order | 25-26 |
| November 13, 2025 | 2022077443302 | Order Denying Enforcement’s Motion for Remote Videoconference Testimony | Disciplinary Order | 25-25 |
| November 11, 2025 | 2022077443302 | Order Denying Respondent’s Omnibus Motion to Dismiss and for Other Relief | Disciplinary Order | 25-24 |
| November 04, 2025 | 2022073425001 | Order Granting Enforcement’s (1) Motion for Relief Under FINRA Rule 9280 and (2) Second Motion for Leave to Amend Its Exhibit List | Disciplinary Order | 25-23 |
| October 30, 2025 | 2020065599103 | Christopher Cacace | Disciplinary Decision | |
| October 21, 2025 | 2024081111301 | Michael Cheng Ning | Disciplinary Decision - Default | |
| October 20, 2025 | 2022075597101 | Order Denying Department of Enforcement’s Motion for Leave to Add New Exhibit and Amend Exhibit List | Disciplinary Order | 25-22 |
| October 09, 2025 | 2024081608301 | Ana Maria Dimco | Disciplinary Decision - Default | |
| October 01, 2025 | 2022075597101 | Order Granting in Part and Denying in Part Motion to Enforce Witnesses’ Rights and Denying Motion for Leave to File Reply Brief | Disciplinary Order | 25-21 |
| September 30, 2025 | 2022073425001 | Order Regarding Prehearing Objections to Exhibits | Disciplinary Order | 25-20 |
| September 25, 2025 | 2022073425001 | Order Granting Enforcement’s Motion to Permit Testimony by Videoconference or Telephone | Disciplinary Order | 25-19 |
| September 19, 2025 | 2022073425001 | Order Granting Enforcement’s Motion for Sequestration | Disciplinary Order | 25-18 |
| September 18, 2025 | 2022075597101 | Order Regarding Pre-Hearing Objections to Exhibits and Witnesses | Disciplinary Order | 25-17 |
| September 12, 2025 | 2022075597101 | Order Denying Respondent’s Motion to Reschedule the Hearing | Disciplinary Order | 25-16 |
| August 14, 2025 | 2018056490315 | Order Denying in Part Respondent’s Motion for a Continuance of the Pre-Hearing Schedule and Hearing Date | Disciplinary Order | 25-15 |