Office of Hearing Officers’ Decisions and Orders
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.
View: Orders and Decisions Chronologically | Orders by Topic | Orders by Rule
Date of Decision | Proceeding No. | Title | Type | Order No. |
---|---|---|---|---|
September 23, 2022 | 2017055886402 | Order Granting Motion for Continuance | Disciplinary Order | 22-20 |
September 21, 2022 | 2018056490303 | Timothy P. Higgins | Disciplinary Decision - Default | |
September 08, 2022 | 2017055886402 | Order Excluding Unqualified Attorney from Proceeding | Disciplinary Order | 22-18 |
August 30, 2022 | 2017055886402 | Order Setting a Pre-Hearing Videoconference and Specifically Requiring Respondent to Attend | Disciplinary Order | 22-17 |
August 26, 2022 | 2019064813801 | APPEALED: NYPPEX, LLC, Laurence Allen, and Michael Schunk | Disciplinary Decision | |
August 18, 2022 | ARB220007 | Jeff Corey McElroy | Expedited Decision | |
August 09, 2022 | 2020066627202 | Order Denying Enforcement's Motion to Strike Respondent's Second Affirmative Defense | Disciplinary Order | 22-16 |
August 04, 2022 | ARB220010 | Order Dismissing Expedited Proceeding and Allowing Suspension to Take Effect | Expedited Order | EXP22-01 |
July 25, 2022 | 2021071060902 | Gregory S. Hanshew | Disciplinary Decision - Default | |
July 22, 2022 | 2020066627202 | Order Denying Respondent's Motion to Dismiss with Leave to Re-file as a Motion for Summary Disposition | Disciplinary Order | 22-15 |
July 19, 2022 | 2020066032801 | Francis J. Velten | Disciplinary Decision - Default | |
July 14, 2022 | 2019061528001 | Order Denying the Parties' Motions in Limine | Disciplinary Order | 22-13 |
July 14, 2022 | 2019061528001 | Order Granting Enforcement's Motion for Leave to Use Demonstrative | Disciplinary Order | 22-14 |
July 12, 2022 | 2021071227301 | Stephen G. Whitman | Disciplinary Decision - Default | |
July 12, 2022 | FPI220001 | Ustocktrade Securities, Inc. | Expedited Decision | |
July 11, 2022 | 2019061528001 | Order Granting Enforcement's Motion to Sequester Witnesses | Disciplinary Order | 22-12 |
July 07, 2022 | 2019064656601 | APPEALED: Charles Scott Burford | Disciplinary Decision | |
June 27, 2022 | 2019064746502 | Worden Capital Management | Disciplinary Decision - Default | |
June 10, 2022 | 2018057235801 | APPEALED: Megurditch Patatian | Disciplinary Decision | |
June 10, 2022 | 2018058537302 | Jorge Antonio Netto | Disciplinary Decision | |
June 03, 2022 | 2019063633301 | Order Granting in Part and Denying in Part Enforcement's Motion to Strike Respondent's Affirmative Defenses and Portions of the Answer | Disciplinary Order | 22-11 |
May 26, 2022 | 2019061528001 | Order Denying Respondents' Motion for Leave to Offer Expert Testimony | Disciplinary Order | 22-09 |
May 26, 2022 | 2020068470002 | Order Denying Respondent's Motion to Stay Proceeding | Disciplinary Order | 22-10 |
May 17, 2022 | 2019063633301 | Order Governing Respondent's Briefing on Enforcement's Motion to Strike Respondent's Affirmative Defenses and Portions of the Answer | Disciplinary Order | 22-08 |
April 14, 2022 | 2020068740302 | Marco A. Rivera | Disciplinary Decision - Default |