Hearing Officer Biographies

Maureen A. Delaney
Chief Hearing Officer
Financial Industry Regulatory Authority

Maureen Delaney is the Chief Hearing Officer at FINRA. She has been a Hearing Officer in FINRA’s Office of Hearing Officers since 2009. Prior to joining the Office of Hearing Officers, she served as Senior Counsel in FINRA’s Department of Enforcement in Washington, D.C. Before joining FINRA, Ms. Delaney was a trial attorney with the U.S. Department of Justice, Civil Division, Commercial Litigation Branch. She received her law degree from the Washington College of Law, American University, and a B.S. degree from the University of Delaware. Ms. Delaney is a Certified Regulatory and Compliance Professional through the FINRA Institute at Wharton, University of Pennsylvania. She also is a Fulbright Scholar who taught courses pertaining to the U.S. legal system in South America. She is admitted to practice law in the District of Columbia, Maryland, and Delaware.

Matthew Campbell
Hearing Officer
Financial Industry Regulatory Authority

Matthew Campbell has been a FINRA Hearing Officer since December 2008, after serving as Counsel in the Legal Section of FINRA’s Market Regulation Department. Before joining FINRA, he was a prosecutor in the Office of the State’s Attorney first in Montgomery County and then Howard County, Maryland. A member of the Maryland State Bar Association, Mr. Campbell serves on the Maryland Pattern Criminal Jury Instructions Committee and the Criminal Law and Practice Section Council. He received a B.A. from Pomona College, an M.A. in education from the Catholic University of America, and a J.D. from the Columbus School of Law at Catholic University. Mr. Campbell also taught high school and served in the Urban Teacher Corps and was a Peace Corps Volunteer in the Philippine Islands.

Carla Carloni
Hearing Officer
Financial Industry Regulatory Authority

Before joining the Office of Hearing Officers, Carla Carloni served for 24 years as legal counsel to FINRA’s National Adjudicatory Council (“NAC”). She advised the NAC in adjudicated matters, including appeals of Hearing Panel decisions, statutory disqualification determinations, membership cases, and exemption request denials. Ms. Carloni also represented FINRA as legal counsel before the SEC and in other appeals. She drafted appellate briefs and other pleadings on behalf of FINRA. Before joining FINRA, she began her legal career as a law firm associate practicing civil litigation. She attended law school at the College of William and Mary in Virginia and holds a B.A. from Fairfield University in Connecticut.

Michael J. Dixon
Hearing Officer
Financial Industry Regulatory Authority

Before joining the Office of Hearing Officers, Michael Dixon was a Senior Counsel in FINRA’s Department of Enforcement for five years and Counsel in the Legal Section of the Department of Market Regulation for seven years. Before joining FINRA, Mr. Dixon was in private practice in Washington, D.C. He received a B.A. from the College of William and Mary and an M.A. in Foreign Affairs from the University of Virginia, and attended law school at the George Washington University National Law Center. He is admitted to the bars of Virginia, Maryland, and the District of Columbia.

David M. Fitzgerald
Hearing Officer
Financial Industry Regulatory Authority

David M. FitzGerald serves as a Hearing Officer under contract with FINRA. From 2009 through 2014, he was the Chief Hearing Officer for the Public Company Accounting Oversight Board. From 1997 until 2009, he was a Hearing Officer in FINRA’s Office of Hearing Officers, retiring in January 2009 as Senior Vice President and Deputy Chief Hearing Officer. Earlier in his career, he served as law clerk to an appellate judge, was in private practice, and spent 20 years as a litigator and litigation manager for several federal agencies, including the Federal Trade Commission and the Resolution Trust Corporation. He received his undergraduate degree from Boston College and his law degree from the University of Michigan.

Lucinda O. McConathy
Hearing Officer
Financial Industry Regulatory Authority

Prior to becoming a FINRA Hearing Officer in 2011, Lucinda O. McConathy was a partner at a law firm where she represented plaintiffs and defendants in securities fraud litigation and respondents in SEC and FINRA enforcement matters for more than 10 years. Prior to that, she was a senior appellate litigator for the Securities and Exchange Commission, dealing with the securities laws, arbitration, and administrative law before federal courts of appeals. She also worked with the Office of the Solicitor General on U.S. Supreme Court cases involving the SEC or the securities laws. Ms. McConathy also was a partner at a law firm practicing antitrust law. She graduated from Wellesley College and the University of Chicago School of Law.

Richard Simpson
Hearing Officer
Financial Industry Regulatory Authority

Richard Simpson began his service as a FINRA Hearing Officer in November 2015. Before that, he was a litigation and trial attorney for 26 years in the Division of Enforcement of the Securities and Exchange Commission. He launched his legal career as a law firm associate in commercial litigation. He earned a B.A. degree in History and Political Science from Washington University in St. Louis and a J.D. degree from Northwestern University School of Law.

David R. Sonnenberg
Hearing Officer
Financial Industry Regulatory Authority

David R. Sonnenberg joined FINRA’s Office of Hearing Officers in 2013, after spending the previous 17 years in FINRA’s Department of Enforcement. While in Enforcement, Mr. Sonnenberg held various senior positions including Vice President/Head of Litigation and Chief Counsel. Before joining FINRA, he was a litigation partner in private practice and also served as a staff attorney for the Securities and Exchange Commission’s Division of Enforcement. Mr. Sonnenberg received his B.A. in Economics from the University of Pennsylvania, and his J.D. from the University of Maryland School of Law.

David Williams
Hearing Officer
Financial Industry Regulatory Authority

Before joining the Office of Hearing Officers, David Williams most recently served as an Assistant Chief Litigation Counsel in the Division of Enforcement of the Securities and Exchange Commission (the “SEC”). In his 11 years at the SEC, he investigated and litigated enforcement actions in federal courts and in administrative proceedings. Prior to coming to the SEC, he served as a Trial Attorney with the U.S. Department of Justice, in the Criminal Enforcement Section of the Tax Division, where he conducted grand jury investigations and prosecuted criminal matters in federal court. He also served as a judicial law clerk to the Honorable Alexander Williams, Jr., of the United States District Court for the District of Maryland, and as a staff attorney to the California Supreme Court. He attended law school at the University of California, Hastings College of the Law and holds a B.A. from the University of California, Irvine.

Kenneth B. Winer
Hearing Officer
Financial Industry Regulatory Authority

Prior to becoming a FINRA Hearing Officer in 2014, Kenneth B. Winer was a partner in a Washington, D.C., law firm where he represented individuals and entities in securities investigations and litigation. Mr. Winer was also a Branch Chief at the Division of Enforcement at the U.S. Securities and Exchange Commission. He previously served as the chair of the D.C. Bar Committee on Corporate Governance and Accounting and the D.C. Bar Committee on Broker-Dealer Regulation and SEC Enforcement. Mr. Winer received his B.S. from the University of Pennsylvania’s Wharton School and his J.D. from Harvard Law School.