Office of Hearing Officers

The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA's Enforcement Department or Market Regulation Department 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 Decisionsort ascending Proceeding No. Title Type Order No.
Feb 3, 2016 2012033393401 Order Granting in Part and Denying in Part Respondent’s Motion in Limine to Exclude the Testimony of KA, BS, and MC. Disciplinary Order 16-04
Feb 2, 2016 2012033393401 Order Sustaining in Part and Overruling in Part Respondent’s Objections to Enforcement’s Hearing Exhibits. Disciplinary Order 16-05
Jan 29, 2016 2014040295201 Order Denying Respondents’ Motion for Expert Testimony Disciplinary Order 16-02
Jan 28, 2016 2015044379701 Order Denying Motion to Dismiss Disciplinary Order 16-03
Jan 20, 2016 2015044960501 Order Denying Motion to Admit Newly Discovered Evidence, dated January 20, 2016. Disciplinary Order 16-01
Dec 22, 2015 2014040968501 Order Granting in Part and Denying in Part Enforcement's Motion in Limine to Preclude the Respondent from Introducing Testimony and Evidence at the Hearing Disciplinary Order 15-15
Dec 18, 2015 ARB150039 Order Dismissing Expedited Proceeding Pursuant to FINRA Rule 9559(m) Expedited Order EXP15-02
Dec 18, 2015 2012034393801 APPEALED: Aon D. Miller Disciplinary Decision
Dec 3, 2015 ARB150048 Order Granting Complaint’s Motion for an Order Pursuant to Rule 9559(m) and Deeming September 15, 2015 Notice of Suspension Final FINRA Action Expedited Order EXP15-03
Dec 1, 2015 2010025087302 APPEALED: Thaddeus J. North Disciplinary Decision
Nov 18, 2015 2014040651301 Yaron Reuven Disciplinary Decision
Nov 6, 2015 2014041319201 APPEALED: Miguel Ortiz Disciplinary Decision
Oct 29, 2015 2011025444501 APPEALED: Wood (Arthur W.) Company Disciplinary Decision
Oct 23, 2015 2013038136101 Andrew Lyman Quinn, Disciplinary Decision
Oct 22, 2015 201203564701 Order Granting, in Part, Enforcement's Motion for Leave to Offer Telephone Testimony Disciplinary Order 15-14
Oct 22, 2015 20100215720-01 eBX, LLC Disciplinary Decision
Oct 2, 2015 2013036799501 APPEALED: Michael Casas Disciplinary Decision
Oct 2, 2015 2011025679201 MSC – BD, LLC and Paul J. McIntyre Disciplinary Decision
Oct 1, 2015 2013035095301 Candace Jean Lee Disciplinary Decision
Oct 1, 2015 2013035344201 Protective Order Governing Personal Confidential Information Disciplinary Order 15-13
Sep 21, 2015 20080148227-02 Order Granting Respondents’ Preclusion Motion Disciplinary Order 15-12
Sep 15, 2015 2012033508702 APPEALED: Wall Street Securities, Inc., Gary Savage, Sr., and Louis Karl Kittlaus Disciplinary Decision
Aug 27, 2015 2012034934301 APPEALED: Wedbush Securities Inc. Disciplinary Decision
Aug 19, 2015 20090174025-02 Order Denying Respondent's Motion for Leave to Permit Expert Testimony Disciplinary Order 15-11
Aug 13, 2015 2011025622001 SWS Financial Service, Inc. Disciplinary Decision

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