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. |
|---|---|---|---|---|
| September 04, 2015 | 2013037815302 | Frederick Juri Kotowitz | Disciplinary Decision - Default | |
| August 27, 2015 | 2012034934301 | Wedbush Securities Inc. | Disciplinary Decision | |
| August 19, 2015 | 2012030670603 | Jordon S. Trice | Disciplinary Decision - Default | |
| August 17, 2015 | 2012030373701 | John Joseph Vaughan | Disciplinary Decision - Default | |
| August 16, 2015 | 2013036799902 | Gaby Delisme | Disciplinary Decision - Default | |
| August 13, 2015 | 2011025622001 | SWS Financial Service, Inc. | Disciplinary Decision | |
| August 07, 2015 | 20090208031-02 | Paul Charles Dotson | Disciplinary Decision | |
| August 06, 2015 | 2013036217601 | Kenneth Brownlee | Disciplinary Decision | |
| August 04, 2015 | 2011028071901 | Allen Michael Green | Disciplinary Decision - Default | |
| July 23, 2015 | 2012030527503 | APPEALED: Thaddeus James North | Disciplinary Decision | |
| July 17, 2015 | 2014041319401 | Jason M. Otto | Disciplinary Decision - Default | |
| July 17, 2015 | 2012034936101 | APPEALED: Jeffrey D. Noard | Disciplinary Decision | |
| July 10, 2015 | 2009017440201 | APPEALED: Louis Ottimo | Disciplinary Decision | |
| July 01, 2015 | 2012035316101 | Jeffrey Alan Stewart | Disciplinary Decision - Default | |
| June 30, 2015 | 2012033128703 | APPEALED: Brian Michael White | Disciplinary Decision | |
| June 29, 2015 | 2012031877501 | John Joseph Vaughan | Disciplinary Decision - Default | |
| June 29, 2015 | 20110263957-01 | Jack Lawrence Howard | Disciplinary Decision | |
| June 26, 2015 | 2011030072301 | Audra Lynn Lalley | Disciplinary Decision | |
| June 24, 2015 | 20070092503-01 | Robin Maranda Oscher | Disciplinary Decision | |
| June 18, 2015 | 2014040182902 | Christopher L. Anderson | Disciplinary Decision - Default | |
| June 16, 2015 | 2011025851501 | APPEALED: KCD Financial, Inc. | Disciplinary Decision | |
| June 09, 2015 | 2012034946901 | Nicholas P. Vargas | Disciplinary Decision - Default | |
| June 08, 2015 | ARB140066 | Michael Albert DiPietro | Expedited Decision, Rule 9550 Expedited Decisions | |
| June 05, 2015 | 20140407790-01 | Richard Francis Kenny, Jr. | Disciplinary Decision | |
| June 04, 2015 | 2011025444501 | Order Denying Respondent's Motion to Strike Portions of Enforcement's Post-Hearing Appendix | Disciplinary Order | 15-10 |