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.
Oct 31, 2016 2014042524301 Order Regarding Respondent’s Motions to Stay Case Management and Scheduling Order and to Strike and/or For a More Definite Statement. Disciplinary Order 16-28
Oct 17, 2016 2012030564701 APPEALED: Newport Coast Securities, Inc., Douglas A. Leone, and Andre V. LaBarbera Disciplinary Decision
Oct 14, 2016 201303641201 Order Granting in Part and Denying in Part Enforcement’s Motion for Partial Summary Disposition Disciplinary Order 16-27
Oct 11, 2016 2015044379701 Melissa M. Velasquez Disciplinary Decision
Oct 5, 2016 FPI160009 Donald Shelby Toomer Expedited Decision
Sep 20, 2016 2015044960501 APPEALED: Avenir Financial Group, Michael Todd Clements, and Karim Ahmed Ibrahim Disciplinary Decision
Sep 13, 2016 2012033105901 Order Granting Department of Enforcement’s Motion to Strike Affirmative Defense. Disciplinary Order 16-26
Sep 7, 2016 2013038986001 Order Denying Respondent’s Motion to Continue Hearing Disciplinary Order 16‐25
Aug 31, 2016 20140425550-02 Modesto Biney Disciplinary Decision
Aug 30, 2016 2014043020901 Order Granting Enforcement’s Motion for Exception From Sequestration. Disciplinary Order 16-24
Aug 29, 2016 ARB160009 Christopher John Gimblet Expedited Decision
Aug 24, 2016 2014043020901 Order Granting Joint Motion to Permit Witnesses to Have Counsel Present During Testimony Disciplinary Order 16-23
Aug 24, 2016 20100226911-02 Bharminder Singh Disciplinary Decision
Aug 16, 2016 2014039173301 Case Management and Scheduling Order Disciplinary Order 16-22
Aug 15, 2016 2013038986001 Order Rejecting Offer of Settlement Disciplinary Order 16-21
Aug 12, 2016 2013039639101 Ronald Leslie Geffner Disciplinary Decision
Aug 5, 2016 ARB160012 Fairbridge Capital Markets Expedited Decision
Aug 4, 2016 FPI160002 Robert DePalo Expedited Decision
Aug 2, 2016 FPI160006 Dawn Bennett Expedited Decision
Jul 28, 2016 2013035817701 Protective Order Governing Personal Confidential Information Disciplinary Order 16-19
Jul 28, 2016 20120342425-01 Order Concerning Parties’ Motion for Leave to Present Expert Testimony Disciplinary Order 16-20
Jul 25, 2016 FR160001 Merriman Capital Inc. Expedited Decision
Jul 11, 2016 FPI160004 Fairbridge Capital Markets Expedited Decision
Jun 28, 2016 2013038418201 Joseph N. Barnes, Sr. Disciplinary Decision
Jun 10, 2016 2011030293503 APPEALED: Richard Gomez Disciplinary Decision

Pages