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. |
|---|---|---|---|---|
| June 13, 2014 | 2010025350001 | Hearing Panel Decision in Department of Enforcement v. Roric E. Griffith | Disciplinary Decision | |
| June 09, 2014 | 2013035581901 | Damien P. Alexander | Disciplinary Decision - Default | |
| May 27, 2014 | 2011028003001 | Hearing Panel Decision in Department of Enforcement v. Ashik Akberali Kapasi | Disciplinary Decision | |
| May 27, 2014 | 2012033201402 | Joseph M. Keegan | Disciplinary Decision - Default | |
| May 21, 2014 | 2012033634301 | Barry Lee Engen | Disciplinary Decision - Default | |
| May 16, 2014 | 2010023935002 | Eugene C. Giaquinto | Disciplinary Decision - Default | |
| May 16, 2014 | 2011028502101 | Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak | Disciplinary Decision | |
| May 14, 2014 | 2009017346704 | Sandra Fexer | Disciplinary Decision - Default | |
| May 14, 2014 | 2011026852001 | Brian H. Brunhaver | Disciplinary Decision - Default | |
| May 08, 2014 | 2012031147601 | Karen Lee Chafe | Disciplinary Decision - Default | |
| May 08, 2014 | 2012031142101 | Hearing Panel Decision in Department of Enforcement v.John Allan Waldock, Jr. | Disciplinary Decision | |
| May 06, 2014 | 2010025181001 | Hearing Panel Decision in Department of Enforcement v. John Vincent Ballard | Disciplinary Decision | |
| May 02, 2014 | 2012034046801 | Angelo Barcelo III | Disciplinary Decision - Default | |
| April 30, 2014 | 2012031746301 | James Kenneth Ard | Disciplinary Decision - Default | |
| April 29, 2014 | 2011028061001 | Hearing Panel Decision in Department of Enforcement v. Keilen Dimone Wiley | Disciplinary Decision | |
| April 23, 2014 | 2012034568401 | Gabriel N. Smith | Disciplinary Decision - Default | |
| April 23, 2014 | 2011027993301 | Hearing Panel Decision in Department of Enforcement v. Michael Earl McCune | Disciplinary Decision | |
| April 17, 2014 | 2011029545902 | Jaime Andre Diaz | Disciplinary Decision - Default | |
| April 15, 2014 | 2013035801101 | John F. Wolle | Disciplinary Decision - Default | |
| March 28, 2014 | 2011025899601 | Hearing Panel Decision in Department of Enforcement v. David Harari and Sian Harari | Disciplinary Decision | |
| March 18, 2014 | 2012032731701 | Clark Johnston | Disciplinary Decision - Default | |
| March 11, 2014 | 2012035180501 | Steven Yi | Disciplinary Decision - Default | |
| March 06, 2014 | 2011029681602 | Daniel G. Sharp | Disciplinary Decision - Default | |
| February 14, 2014 | 2012032997201 | Hearing Panel Decision in Department of Enforcement v. Stephen Grivas | Disciplinary Decision | |
| February 07, 2014 | 2009017899801 | Hearing Panel Decision in Department of Enforcement v. Rani T. Jarkas and William H. Carson | Disciplinary Decision |