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
Dec 15, 2005 C9B040080 Hearing Panel Decision in Department of Enforcement vs. Morton Bruce Erenstein Disciplinary Decision
Oct 2, 2017 2013037401001 APPEALED: Stanley Clayton Niekras Disciplinary Decision
Nov 28, 2007 EAF0400300001 Hearing Panel Decision in Department of Enforcement v. Kirlin Securities, Inc., Anthony J. Kirincic, David O. Lindner and Andrew J. Israel Disciplinary Decision
Dec 19, 2011 2007010158001 Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc. Disciplinary Decision
Jul 16, 2004 C01020022 Hearing Panel Decision as to Respondent Redacted Decision
Aug 25, 2017 ARB170007 Timothy S. Fannin Expedited Decision
Apr 28, 2015 2012033351801 CALLED FOR REVIEW: Paolo Franca Iida Disciplinary Decision
Nov 15, 2000 C3A990067 Hearing Panel Decision as to Respondent Redacted Decision
Aug 12, 2016 2013039639101 Ronald Leslie Geffner Disciplinary Decision
May 21, 2010 20070094468 Amended Hearing Panel Decision in Department of Enforcement v. Dirk Allen Taylor Disciplinary Decision
Feb 1, 1999 ARB980019 Non-Summary Suspension Proceeding ARB980019 Expedited Decision, Non-Summary Proceeding
Oct 7, 2013 20080150419 Extended Hearing Panel Decision in Department of Market Regulation v. Respondent Redacted Decision
Jun 5, 2003 C10020060 Hearing Panel Decision in Department of Enforcement v. Andrew Knight Disciplinary Decision
Jun 26, 2004 ARB040033 Order Denying Respondent's Motion To Dismiss Disciplinary Decision
Mar 6, 2001 C07000003 Hearing Panel Decision in Department of Enforcement v. Jack H. Stein Disciplinary Decision
Jan 26, 2017 2012030738501 APPEALED: J.W. Korth and Company Disciplinary Decision
Dec 15, 1998 C9A980021 Hearing Panel Decision in Department of Enforcement v. Robert J. Kendzierski Disciplinary Decision
Oct 30, 2018 2015046971701 Windsor Street Capital, L.P. (f/k/a Meyers Associates, L.P.) Disciplinary Decision
Nov 29, 2018 2014041860801 APPEALED: Sandlapper Securities, LLC, Trevor Gordon and Jack Bixler Disciplinary Decision
Dec 29, 2005 C06040027 Hearing Panel Decision in Department of Enforcement vs. Sterling Scott Lee & Dennis Todd Lloyd Gordon Disciplinary Decision
Sep 26, 2017 2012031748203 William Norris Jordan Disciplinary Decision
Apr 16, 2007 ARB060031 In the Matter of Department of Enforcement, Complainant vs. Respondent Expedited Decision, Rule 9550 Expedited Decisions
Dec 13, 2011 2008011762801 Amended Hearing Panel Decision in Department of Enforcement v. Mitchell Fillet Disciplinary Decision
Feb 9, 2004 C02020057 Hearing Panel Decision in Department of Enforcement v. Alvin W. Gebhart, Jr. and Donna T. Gebhart Disciplinary Decision
Aug 19, 2004 C01040001 Hearing Panel Decision as to Respondent IA and GH Redacted Decision

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