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. |
|---|---|---|---|---|
| October 22, 2025 | 2020065396501 | APPEALED: Peter J. Fetherston | 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 |
| August 06, 2025 | 2022075597101 | Order Granting in Part and Denying in Part Department of Enforcement’s Motion for Leave to Supplement and Withdraw Certain Exhibits and File Amended Exhibit Lists | Disciplinary Order | 25-14 |
| July 25, 2025 | 2023077854301 | Willnard Love | Disciplinary Decision | |
| July 23, 2025 | 2019064333401 | Order Proposing to Take Official Notice | Disciplinary Order | 25-12 |
| July 23, 2025 | 2022073425001 | Order Regarding Respondent's Motion For The Production Of Witness Statements | Disciplinary Order | 25-13 |
| July 09, 2025 | 2022075597101 | Order Granting Respondent’s Motion for Adjournment of the Hearing Dates | Disciplinary Order | 25-11 |
| July 01, 2025 | 2022075597101 | Order Granting Enforcement’s Consent Motion for Sequestration | Disciplinary Order | 25-10 |
| June 26, 2025 | 2024083063101 | Calvin Lee Gray | Disciplinary Decision - Default | |
| June 24, 2025 | 2023078835001 | Order Denying Motion for Reconsideration | Disciplinary Order | 25-09 |
| June 18, 2025 | 2023078835001 | Order Regarding Respondent’s Motion to Extend His Time to Answer | Disciplinary Order | 25-08 |
| June 17, 2025 | 2023079728601 | Ishmael Williams | Disciplinary Decision - Default | |
| June 12, 2025 | 2024083132901 | Santiago J. Torres | Disciplinary Decision - Default | |
| June 11, 2025 | 2022075597101 | Order Denying Respondents’ Motion to Compel Production of Witnesses’ Addresses | Disciplinary Order | 25-07 |
| June 02, 2025 | 2022075597101 | Order Denying Respondent’s Motion for Summary Disposition | Disciplinary Order | 25-06 |
| May 22, 2025 | 2022076589301 | Kevin John Herne | Disciplinary Decision - Default |