Office of Hearing Officers

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.sort descending
May 21, 2010 20070094468 Amended Hearing Panel Decision in Department of Enforcement v. Dirk Allen Taylor Disciplinary Decision
Dec 15, 2006 2005000315901 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Apr 4, 2016 20120320803-01 APPEALED: Peter J. Auzers and Shiva Naby Disciplinary Decision
Nov 19, 2004 C05030036 Hearing Panel Decision in Department of Enforcement vs. Sisung Securities Corporation et al. Disciplinary Decision
Jun 2, 2009 2005000324301 Hearing Panel Decision in Department of Market Regulation v. Jerry William Burch Disciplinary Decision
Jan 11, 2013 2009016764901 Hearing Panel Decision in Department of Enforcement v. Robert Durant Tucker Disciplinary Decision
Jun 4, 2004 CMS020247 Hearing Panel Decision in Department of Market Regulation v. Terrance Yoshikawa Disciplinary Decision
Jun 1, 1999 ARB980026 Non-Summary Suspension Proceeding ARB980026 Expedited Decision, Non-Summary Proceeding
Dec 19, 2007 C10040052 Hearing Panel Decision in Department of Enforcement v. Scott Mathis Disciplinary Decision
Oct 17, 2016 2012030564701 APPEALED: Newport Coast Securities, Inc., Douglas A. Leone, and Andre V. LaBarbera Disciplinary Decision
Dec 1, 2015 2010025087302 APPEALED: Thaddeus J. North Disciplinary Decision
Jun 5, 2003 C10020060 Hearing Panel Decision in Department of Enforcement v. Andrew Knight Disciplinary Decision
Dec 19, 2011 2007010158001 Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc. Disciplinary Decision
May 31, 2012 2007011413501 Extended Hearing Panel Decision in Department of Enforcement v. Brookstone Securities, Inc., Antony Lee Turbeville, Christopher Dean Kline, and David William Locy Disciplinary Decision
Jul 26, 2001 ARB010001 Non-Summary Suspension Consolidated Proceeding ARB010001 Expedited Decision, Non-Summary Proceeding
Oct 13, 2014 2010022977801 Ameriprise Financial Services, Inc. and David B. Tysk Disciplinary Decision
Jul 16, 2018 2015047069701 Leslie George Markus Disciplinary Decision
May 6, 2010 2005003610701 Extended Hearing Panel Decision in Department of Enforcement v. William J. Murphy, Carl M. Birkelbach, and Respondent Firm Disciplinary Decision
Mar 15, 2006 C05020055 Hearing Panel Decision in Department of Enforcement vs. Michael F. Siegel Disciplinary Decision
Apr 18, 2016 2011027007901 APPEALED: Shashishekhar Doni Disciplinary Decision
Jun 5, 2006 CAF040052 Hearing Panel Decision in Department of Enforcement vs. Jericho Nicolas et al. Disciplinary Decision
Jun 1, 1999 ARB990008 Non-Summary Suspension Proceeding ARB990008 Expedited Decision, Non-Summary Proceeding
May 21, 2015 2012032519101 APPEALED: Robert Earl Holaday Disciplinary Decision
Feb 9, 2004 C02020057 Hearing Panel Decision in Department of Enforcement v. Alvin W. Gebhart, Jr. and Donna T. Gebhart Disciplinary Decision
Nov 30, 2007 E8A2005014902 Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak Disciplinary Decision

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