Workflows

Complainant: File New Case with OHO

Please complete all required fields and then click Submit

General Information

Your Name

Your Email Address

Your Role Value is not selected Press enter to open combobox or type to start search.

Your Phone Number

Your Mailing Address

Do you already have an OHO Docket Portal account? Value is not selected Press enter to open combobox or type to start search.

Today's Date

Date Served on Respondent(s)

Complainant Value is not selected Press enter to open combobox or type to start search.

If other, specify

Proceeding Number

Types of Proceedings
FINRA Disciplinary Proceeding / FINRA Rule 9200 series: Disciplinary Proceeding filed by the Department of Enforcement against FINRA firms and individuals.
Other FINRA Proceeding / FINRA Rule 9700 series: Proceeding on Grievances Concerning the Automated Systems.
FINRA TCDO / FINRA Rule 9800 series: Temporary Cease and Desist Orders.
Regulatory Services Agreement (RSA) / Adjudication process for disciplinary proceeding initiated on behalf of non-FINRA exchanges.

What type of proceeding is this? Value is not selected Press enter to open combobox or type to start search.

Specify Non-FINRA Exchange or SRO

Complainant Counsel Information

Complainant Primary Counsel Name

Complainant Primary Counsel Email Address

Complainant Primary Counsel Phone Number

Complainant Primary Counsel Mailing Address

Are there additional counsel for the Complainant? Value is not selected Press enter to open combobox or type to start search.

Additional 1 - Complainant Counsel Name

Additional 1 - Complainant Counsel Email Address

Additional 1 - Complainant Counsel Phone Number

Additional 1 - Complainant Counsel Mailing Address

Additional 2 - Complainant Counsel Name

Additional 2 - Complainant Counsel Email Address

Additional 2 - Complainant Counsel Phone Number

Additional 2 - Complainant Counsel Mailing Address

Respondent Information

Respondent Name

Respondent CRD Number

Respondent Phone Number

Respondent Email Address

Is the Respondent currently registered with FINRA? Value is not selected Press enter to open combobox or type to start search.

Residential Mailing Address as Listed in CRD

List any additional addresses for Respondent here.

Are there additional Respondents? Value is not selected Press enter to open combobox or type to start search.

Respondent 2 Name

Respondent 2 CRD Number

Respondent 2 Phone Number

Respondent 2 Email Address

Is Respondent 2 currently registered with FINRA? Value is not selected Press enter to open combobox or type to start search.

Respondent 2 Mailing Address as listed in CRD

List any additional addresses for Respondent 2 here.

Is there a Third Respondent? Value is not selected Press enter to open combobox or type to start search.

Respondent 3 Name

Respondent 3 CRD Number

Respondent 3 Phone Number

Respondent 3 Email Address

Is Respondent 3 currently registered with FINRA? Value is not selected Press enter to open combobox or type to start search.

Respondent 3 Mailing Address as listed in CRD

List any additional addresses for Respondent 3 here.

If there are more than three respondents in this proceeding, list their names and contact information below.

Respondent Counsel Information

Does any Respondent have counsel who has agreed to accept service of the Complaint? Value is not selected Press enter to open combobox or type to start search.

Respondent Primary Counsel Name

Respondent Primary Counsel Email Address

Respondent Primary Counsel Phone Number

Respondent Primary Counsel Mailing Address

Are there additional Counsel for any Respondent? Value is not selected Press enter to open combobox or type to start search.

Additional 1 - Respondent Counsel Name

Additional 1 - Respondent Counsel Email

Additional 1 - Respondent Counsel Phone Number

Additional 1 - Respondent Counsel Mailing Address

Additional 2 - Respondent Counsel Name

Additional 2 - Respondent Counsel Email

Additional 2 - Respondent Counsel Phone Number

Additional 2 - Respondent Counsel Mailing Address

If there are additional Respondent counsel, enter their names and contact information below.

Documents

Attach the Complaint and any additional filings

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Submit New Case to OHO

Complainant: File New Case with OHO