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.
| Date of Decision | Proceeding No. | Title | Type | Order No. |
|---|---|---|---|---|
| October 21, 2016 | 2012033286901 | Dickinson & Schneiter | Disciplinary Decision - Default | |
| October 18, 2016 | 2013036681701 | Scholander and Harris (Radnor Research) | Disciplinary Decision - Default | |
| October 17, 2016 | 2012030564701 | Newport Coast Securities, Inc., et al. | Disciplinary Decision - Default | |
| October 17, 2016 | 2012030564701 | APPEALED: Newport Coast Securities, Inc., Douglas A. Leone, and Andre V. LaBarbera | Disciplinary Decision | |
| October 14, 2016 | 201303641201 | Order Granting in Part and Denying in Part Enforcement’s Motion for Partial Summary Disposition | Disciplinary Order | 16-27 |
| October 11, 2016 | 2015044379701 | Melissa M. Velasquez | Disciplinary Decision | |
| October 07, 2016 | 2015045909501 | Matthew DiGregorio | Disciplinary Decision - Default | |
| October 05, 2016 | FPI160009 | Donald Shelby Toomer | Expedited Decision | |
| September 20, 2016 | 2015044960501 | APPEALED: Avenir Financial Group, Michael Todd Clements, and Karim Ahmed Ibrahim | Disciplinary Decision | |
| September 13, 2016 | 2012033105901 | Order Granting Department of Enforcement’s Motion to Strike Affirmative Defense. | Disciplinary Order | 16-26 |
| September 07, 2016 | 2013038986001 | Order Denying Respondent’s Motion to Continue Hearing | Disciplinary Order | 16‐25 |
| August 31, 2016 | 20140425550-02 | Modesto Biney | Disciplinary Decision | |
| August 30, 2016 | 2014043020901 | Order Granting Enforcement’s Motion for Exception From Sequestration. | Disciplinary Order | 16-24 |
| August 29, 2016 | ARB160009 | Respondent | Redacted Decision | |
| August 24, 2016 | 2014043020901 | Order Granting Joint Motion to Permit Witnesses to Have Counsel Present During Testimony | Disciplinary Order | 16-23 |
| August 24, 2016 | 20100226911-02 | Bharminder Singh | Disciplinary Decision | |
| August 16, 2016 | 2015043295202 | William Eric Rice | Disciplinary Decision - Default | |
| August 15, 2016 | 2013038986001 | Order Rejecting Offer of Settlement | Disciplinary Order | 16-21 |
| August 12, 2016 | 2013039639101 | Ronald Leslie Geffner | Disciplinary Decision | |
| August 09, 2016 | 2013035039101 | Joey Cless Broussard | Disciplinary Decision - Default | |
| August 05, 2016 | ARB160012 | Fairbridge Capital Markets | Expedited Decision | |
| August 04, 2016 | FPI160002 | Robert DePalo | Expedited Decision | |
| August 02, 2016 | FPI160006 | Dawn Bennett | Expedited Decision | |
| July 28, 2016 | 2013035817701 | Protective Order Governing Personal Confidential Information | Disciplinary Order | 16-19 |
| July 28, 2016 | 20120342425-01 | Order Concerning Parties’ Motion for Leave to Present Expert Testimony | Disciplinary Order | 16-20 |