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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 25, 2016 | FR160001 | Merriman Capital Inc. | Expedited Decision | |
| July 11, 2016 | FPI160004 | Fairbridge Capital Markets | Expedited Decision | |
| July 08, 2016 | 2013038398401 | Winston Wade Turner | Disciplinary Decision - Default | |
| June 28, 2016 | 2013038418201 | Joseph N. Barnes, Sr. | Disciplinary Decision | |
| June 17, 2016 | 2014040437703 | Anthony Ogbonna | Disciplinary Decision - Default | |
| June 10, 2016 | 2011030293503 | APPEALED: Richard Gomez | Disciplinary Decision | |
| June 09, 2016 | 2015044444801 | Glenn R. King | Disciplinary Decision - Default | |
| June 07, 2016 | 2015045409001 | Harvey B. Vaughn, Jr. | Disciplinary Decision - Default | |
| June 06, 2016 | 2013037857001 | David C. Cannata | Disciplinary Decision - Default | |
| June 03, 2016 | 2012030731802 | APPEALED: William H. Murphy & Co., Inc. and William H. Murphy | Disciplinary Decision | |
| June 03, 2016 | 2013035211801 | APPEALED: David A. Elgart | Disciplinary Decision | |
| May 24, 2016 | 2014043020901 | Order Ruling on Witness Objections | Disciplinary Order | 16-18 |
| May 20, 2016 | 2013038333001 | Order Denying Respondent’s Motion for Request for Documents and Information | Disciplinary Order | 16-17 |
| May 13, 2016 | 2015044145201 | Carlton I. Phelps | Disciplinary Decision - Default | |
| May 09, 2016 | 2015047966701 | Eric Kuchel | Disciplinary Decision - Default | |
| May 04, 2016 | 2014041252402 | Kevin A. Busto |
Disciplinary Decision - Default | |
| May 02, 2016 | 2014040968501 | APPEALED: Ahmed Gadelkareem | Disciplinary Decision | |
| April 28, 2016 | 2013036874901 | David Michael Miller | Disciplinary Decision - Default | |
| April 27, 2016 | 2010020954501 | APPEALED: Meyers Associates, L.P., Bruce Meyers, and Imtiaz A. Khan | Disciplinary Decision | |
| April 19, 2016 | 20130367071 | James Van Doren | Disciplinary Decision - Default | |
| April 19, 2016 | 2014042547601 | Michel Lavelanet | Disciplinary Decision - Default | |
| April 18, 2016 | 2011027007901 | APPEALED: Shashishekhar Doni | Disciplinary Decision | |
| April 18, 2016 | 2014041884602 | Alan Cashaw, Jr. | Disciplinary Decision - Default | |
| April 04, 2016 | 20120320803-01 | APPEALED: Peter J. Auzers and Shiva Naby | Disciplinary Decision | |
| March 30, 2016 | 2013036681701 | Order Granting Enforcement’s Motion for Leave to Withhold Documents From Discovery. | Disciplinary Order | 16-15 |