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. |
|---|---|---|---|---|
| January 13, 2023 | 2020066627202 | Order Denying Respondent’s Motion to Strike | Disciplinary Order | 23-02 |
| January 03, 2023 | 2020067731001 | Patrick Matlock | Disciplinary Decision - Default | |
| December 22, 2022 | 2021071672302 | Jordan P. John | Disciplinary Decision - Default | |
| December 16, 2022 | 2021070867702 | David Hixon | Disciplinary Decision - Default | |
| December 02, 2022 | 2020066627202 | Oder Granting Enforcement’s Motion for Leave to Offer Expert Testimony of Arthur Middlemiss | Disciplinary Order | 22-23 |
| November 29, 2022 | 2021071965401 | Daniel Pita | Disciplinary Decision - Default | |
| November 25, 2022 | 2020065396501 | Order Granting, in Part, Respondent’s Motion to Extend Time to File Objections | Disciplinary Order | 22-22 |
| October 31, 2022 | 2019064813801 | Order Granting, in Part, Enforcement’s Motion for Interim Conditions and Restrictions on Respondents | Disciplinary Order | 22-21 |
| September 23, 2022 | 2017055886402 | Order Granting Motion to Continue Hearing and Requiring Parties to Submit Joint Proposed Schedule | Disciplinary Order | 22-20 |
| September 21, 2022 | 2018056490303 | Timothy P. Higgins | Disciplinary Decision - Default | |
| September 08, 2022 | 2017055886402 | Order Excluding Unqualified Attorney from This Proceeding | Disciplinary Order | 22-18 |
| August 30, 2022 | 2017055886402 | Order Setting a Pre-Hearing Videoconference for Friday, September 2, 2022, and Specifically Requiring Respondent Raymond J. Derobbio to Attend | Disciplinary Order | 22-17 |
| August 26, 2022 | 2019064813801 | APPEALED: NYPPEX, LLC, Laurence Allen, and Michael Schunk | Disciplinary Decision | |
| August 18, 2022 | ARB220007 | Jeff Corey McElroy | Expedited Decision | |
| August 09, 2022 | 2020066627202 | Order Denying Enforcement's Motion to Strike Respondent's Second Affirmative Defense | Disciplinary Order | 22-16 |
| August 04, 2022 | ARB220010 | Order Dismissing Expedited Proceeding and Allowing Suspension to Take Effect | Expedited Order | EXP22-01 |
| July 25, 2022 | 2021071060902 | Gregory S. Hanshew | Disciplinary Decision - Default | |
| July 22, 2022 | 2020066627202 | Order Denying Respondent's Motion to Dismiss with Leave to Re-file as a Motion for Summary Disposition | Disciplinary Order | 22-15 |
| July 19, 2022 | 2020066032801 | Francis J. Velten | Disciplinary Decision - Default | |
| July 14, 2022 | 2019061528001 | Order Denying the Parties' Motions in Limine | Disciplinary Order | 22-13 |
| July 14, 2022 | 2019061528001 | Order Granting Enforcement's Motion for Leave to Use Demonstrative | Disciplinary Order | 22-14 |
| July 12, 2022 | 2021071227301 | Stephen G. Whitman | Disciplinary Decision - Default | |
| July 12, 2022 | FPI220001 | Ustocktrade Securities, Inc. | Expedited Decision | |
| July 11, 2022 | 2019061528001 | Order Granting Enforcement's Motion to Sequester Witnesses | Disciplinary Order | 22-12 |
| July 07, 2022 | 2019064656601 | APPEALED: Charles Scott Burford | Disciplinary Decision |