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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. |
|---|---|---|---|---|
| August 23, 2024 | 2018056490311 | Stephen James Sullivan | Disciplinary Decision - Default | |
| August 16, 2024 | 2018060128401 | Michael Charles Grande | Disciplinary Decision - Default | |
| August 06, 2024 | ARB240008 | John Lawrence Davis | Expedited Decision | |
| July 08, 2024 | ARB240001 | Jason Malcom Pirnie | Expedited Decision | |
| June 25, 2024 | 2021071094401 | APPEALED: John Pelletier | Disciplinary Decision | |
| June 06, 2024 | 2021072167901 | Order Granting Enforcement’s Motion for Interim Conditions and Restrictions | Disciplinary Order | 24-18 |
| May 23, 2024 | 2021071137001 | Order Granting Enforcement’s Motion for Interim Conditions and Restrictions | Disciplinary Order | 24-17 |
| May 21, 2024 | 2019064508802 | Order Granting and Denying, in part, Respondent’s Motion to Modify Case Management and Scheduling Order and for Reconsideration of Hearing Procedures | Disciplinary Order | 24-15 |
| May 21, 2024 | 2019064508802 | Order Denying Respondent’s Motion to Designate Witnesses as Adverse | Disciplinary Order | 24-13 |
| May 21, 2024 | 2019064508802 | Order Granting, in part, and Denying, in part, Respondent’s Motion for Videoconference or Telephone Testimony | Disciplinary Order | 24-16 |
| May 21, 2024 | 2019064508802 | Order Granting Motion for Sequestration | Disciplinary Order | 24-14 |
| May 20, 2024 | 2021070337501 | Order Granting Enforcement’s Rule 9285 Motion for Interim Conditions and Restrictions | Disciplinary Order | 24-12 |
| May 17, 2024 | 2019064508802 | Order Denying Respondent’s Motion for Judicial Notice | Disciplinary Order | 24-10 |
| May 17, 2024 | 2019064508802 | Order Denying Enforcement’s Motion to Use Leading Questions | Disciplinary Order | 24-11 |
| May 15, 2024 | 2022073772701 | Order Denying Respondent’s Motion Pursuant to Rule 9251 | Disciplinary Order | 24-09 |
| April 30, 2024 | 2020066257302 | Order Granting Enforcement’s Objection to Respondent’s Proposed Witnesses | Disciplinary Order | 24-08 |
| March 28, 2024 | 2021070734301 | Beliveau Bays | Disciplinary Decision - Default | |
| March 22, 2024 | 2021071137001 | APPEALED: Charles Frederik Lek | Disciplinary Decision | |
| March 21, 2024 | 2021070337501 | APPEALED: Michael Venturino | Disciplinary Decision | |
| March 15, 2024 | 2018057297102 | Order Regarding Jury Summons | Disciplinary Order | 24-07 |
| February 28, 2024 | 2019061942901 | APPEALED: Michael Ciro Colletti | Disciplinary Decision | |
| February 07, 2024 | 2019064508802 | Order Denying Respondent’s Motion for Leave to Permit Expert Testimony | Disciplinary Order | 24-06 |
| February 06, 2024 | 2021071094401 | Amended Order Relating to Audio Files | Disciplinary Order | 24-05 |
| January 31, 2024 | 2023077669201 | Damian M. Baird | Disciplinary Decision - Default | |
| January 25, 2024 | 2017055886402 | Cantone Research Inc., Anthony J. Cantone, and Raymond J. DeRobbio | Disciplinary Decision |