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
Jan 26, 2017 2012030738501 APPEALED: J.W. Korth and Company Disciplinary Decision
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
Sep 16, 2004 C9B040033 Hearing Panel Decision in Department of Enforcement vs. Robert M. Ryerson Disciplinary Decision
Sep 25, 2000 C8A990081 Hearing Panel Decision in Department of Enforcement v. James B. Chase Disciplinary Decision
Mar 28, 2014 2011025899601 Hearing Panel Decision in Department of Enforcement v. David Harari and Sian Harari Disciplinary Decision
Jun 2, 2009 2005000324301 Hearing Panel Decision in Department of Market Regulation v. Jerry William Burch Disciplinary Decision
Nov 29, 2005 C9B050011 Hearing Panel Decision in Department of Enforcement vs. Charles J. Cuozzo, Jr. Disciplinary Decision
Jan 4, 2005 CAF030067 Hearing Panel Decision in Department of Enforcement vs. Asensio Brokerage Services, Inc. Disciplinary Decision
Jul 6, 2001 C9B000013 Hearing Panel Decision as to Respondent Redacted Decision
Oct 12, 2012 2009018771602 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jun 5, 2003 C10020060 Hearing Panel Decision in Department of Enforcement v. Andrew Knight Disciplinary Decision
Oct 2, 2017 2013037401001 APPEALED: Stanley Clayton Niekras Disciplinary Decision
Dec 19, 2007 C10040052 Hearing Panel Decision in Department of Enforcement v. Scott Mathis Disciplinary Decision
Mar 1, 2006 C04050005 Hearing Panel Decision in Department of Enforcement vs. Robert E. Strong Disciplinary Decision
Aug 12, 2016 2013039639101 Ronald Leslie Geffner Disciplinary Decision
Apr 28, 2015 2012033351801 CALLED FOR REVIEW: Paolo Franca Iida Disciplinary Decision
Jul 16, 2018 2015047069701 Leslie George Markus Disciplinary Decision
Apr 12, 1999 C10980054 Hearing Panel Decision Redacted Decision
Dec 19, 2011 2007010158001 Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc. Disciplinary Decision
Mar 14, 1999 CAF980086 Hearing Panel Decision Redacted Decision
Jun 18, 2013 FPI130001 Hearing Panel Decision in Department of Enforcement v. Gregg Charles Lorenzo Expedited Decision, Rule 9550 Expedited Decisions
Dec 13, 2011 2008011762801 Amended Hearing Panel Decision in Department of Enforcement v. Mitchell Fillet Disciplinary Decision
May 14, 2008 20060049953-01 Hearing Panel Decision in Department of Enforcement v. Joseph Ricupero Disciplinary Decision
Aug 14, 2007 2005001819101 Hearing Panel Decision in Department of Enforcement v. Domestic Securities, Inc. Disciplinary Decision

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