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.

View:  Orders and Decisions Chronologically  |  Orders by Topic  |  Orders by Rule
Date of Decisionsort ascending Proceeding No. Title Type Order No.
Mar 16, 2017 ARB160047 J. Thaddeus McGaffey Expedited Decision
Mar 16, 2017 201504421601 Order Denying Respondent’s Motion for Leave to Present Expert Testimony Disciplinary Order 17-05
Mar 8, 2017 2015044921601 Order Denying Respondent’s Discovery Motion. Disciplinary Order 17-04
Mar 3, 2017 2014039285401 APPEALED: Southeast, N.C., Inc. and Frank Harmon Black Disciplinary Decision
Feb 24, 2017 2014042059701 Order Denying Respondent’s Motion for Permission to Offer Expert Testimony. Disciplinary Order 17-03
Feb 9, 2017 2013035344201 Red River Securities, LLC and Brian Keith Hardwick Disciplinary Decision
Feb 7, 2017 2014042291901 Order Denying Respondents’ Motion for Summary Disposition. Disciplinary Order 17-02
Jan 30, 2017 2013037401001 Sua Sponte Order Striking Portions of Respondent’s Answer and Precluding Immaterial and Impertinent Evidence Disciplinary Order 17-01
Jan 26, 2017 2012030738501 APPEALED: J.W. Korth and Company Disciplinary Decision
Jan 11, 2017 2013037097602 Jeffery A. Vaughn Disciplinary Decision
Dec 28, 2016 2014042690502 Order Granting, in Part, Respondents' Motion Requesting Issuance of FINRA Rule 8210 Requests. Disciplinary Order 16-34
Dec 16, 2016 2014040876001 APPEALED: Kenneth J. Mathieson Disciplinary Decision
Dec 14, 2016 2015044823501 Order Denying Respondent Beyn’s Motion for Additional Discovery. Disciplinary Order 16-33
Dec 14, 2016 2012033832501 APPEALED: Matthew D. Rubin Disciplinary Decision
Dec 13, 2016 2014040501801 Texas E&P Partners, Inc., F/K/A Chestnut Exploration Partners, Inc., F/K/A Chestnut Energy Partners, Inc. and Mark A. Plummer Disciplinary Decision
Dec 12, 2016 2013036653301 Vincent Au Disciplinary Decision
Dec 8, 2016 DFC160001 McBarron Capital, LLC Expedited Decision
Dec 1, 2016 ARB160019 Michael David Schwartz Expedited Decision
Nov 28, 2016 2013038770901 Ricky R. Moore Disciplinary Decision
Nov 23, 2016 20080148227-02 Order Deferring Ruling on Joint Motion to Stay Proceedings. Disciplinary Order 16-31
Nov 18, 2016 ARB160035 Keith Patrick Sequeira Expedited Decision
Nov 14, 2016 2014040476901 Order Denying Respondents’ Motion Under Rule 9252 For Issuance of Requests for Documents and Information. Disciplinary Order 16-30
Nov 11, 2016 2013035533701 APPEALED: Meyers Associates, L.P. Disciplinary Decision
Nov 4, 2016 2014039839101 Order Granting Enforcement’s Motion for Partial Summary Disposition. Disciplinary Order 16-29
Nov 4, 2016 2013038986001 APPEALED: Richard A. Riemer, Jr. Disciplinary Decision

Pages