Workflows

finraimage

Submit Request for Hearing to FINRA's Office of Hearing Officers

General Information

Please complete all required fields and then click Submit.

If you need case-related assistance with this request for a hearing, contact OHO at 202-728-8008 or OHODocketManager@finra.org.
For technology-related assistance, contact OHO at 202-728-8008 or OHOSupport@finra.org.

Your Email Address

Today's Date

Are you the Respondent or an attorney representing a Respondent? Value is not selected Press enter to open combobox or type to start search.

Did Respondent receive a letter from FINRA notifying them that they would be suspended if they did not request a hearing from FINRA’s Office of Hearing Officers (OHO)? Value is not selected Press enter to open combobox or type to start search.

If Respondent did not receive a notice of suspension, we cannot process the request for a hearing using this automated system. Please contact the Office of Hearing Officers at 202-728-8008 or OHODocketManager@finra.org.

Please close your browser window to exit.

What FINRA department issued the Notice of Suspension? Value is not selected Press enter to open combobox or type to start search.

If "Other", please specify

According to the Notice of Suspension, what is the effective date of suspension? (Note: A hearing request must be submitted before the effective date of the suspension to be considered timely.)

Has the Respondent received an extension? Value is not selected Press enter to open combobox or type to start search.

What is the extension date?

FINRA Rule Definitions
FINRA Rule 9551 (PCS) - Failure to Comply with Public Communication Standards
FINRA Rule 9552 (FPI) - Failure to Provide Information pursuant to Rule 8210 and/or Failure to Keep Information Current
FINRA Rule 9553 (DFC) - Failure to Pay Dues, Fees, Other Charges
FINRA Rule 9554 (ARB) - Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution
FINRA Rule 9555 (EQS) - Failure to Meet the Eligibility or Qualification Standards or Prerequisites for Access to Services
FINRA Rule 9556 (TCDO) - Failure to Comply with Temporary and Permanent Cease and Desist Orders
FINRA Rule 9557 (FR) - Procedures for Regulating Activities Under Rules 4110, 4120, and 4130 Regarding a Member Experiencing Financial or Operational Difficulties
FINRA Rule 9558 - Summary Proceedings for Actions Authorized by Section 15A(h)(3) of the Exchange Act
FINRA Rule 9561 - Procedures for Regulating Activities under Rule 4111

According to the Notice of Suspension, under what FINRA Rule was the Notice sent? Value is not selected Press enter to open combobox or type to start search.

Asserted Defense(s) (Note: You must assert at least one defense to the Notice of Suspension.)

Respondent Information

Respondent Name

Respondent CRD Number

Respondent Phone Number

Respondent Email Address

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

Respondent Mailing Address as Listed in CRD.

List any additional addresses for Respondent here.

Respondent Counsel Information

Attorney Name

Attorney Email Address

Attorney Phone Number

Law Firm Name and Mailing Address

Are you representing another Respondent in this case? 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 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.

Has Respondent 2 received an extension? Value is not selected Press enter to open combobox or type to start search.

Respondent 2 Extension Date

Respondent 2 Asserted Defense(s) (Note: You must assert at least one defense to the Notice of Suspension.)

Are you representing a third Respondent in this case? 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 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.

Has Respondent 3 received an extension? Value is not selected Press enter to open combobox or type to start search.

Respondent 3 Extension Date

Respondent 3 Asserted Defense(s) (Note: You must assert at least one defense to the Notice of Suspension.)

If you are representing and requesting a hearing on behalf of more than three respondents, enter their names and contact information below.

Documents

Attach Notice of Suspension

Captcha

Your session has timed out.

Click here to access the application.

List of failed workflow submissions:

Submit Request for Hearing

Submit Request for Hearing to FINRA's Office of Hearing Officers