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
Mar 15, 2013 2010021621201 Hearing Panel Decision in Department of Enforcement v. Michael Pino Disciplinary Decision
Sep 16, 2004 C9B040033 Hearing Panel Decision in Department of Enforcement vs. Robert M. Ryerson Disciplinary Decision
Dec 14, 2017 ARB170025 Matthew Grady Expedited Decision
Apr 12, 1999 C10980054 Hearing Panel Decision Redacted Decision
Dec 20, 2002 C3A020013 Hearing Panel Decision in Department of Enforcement v. Joseph J. Vastano, Jr. Disciplinary Decision
Aug 6, 2015 2013036217601 Kenneth Brownlee Disciplinary Decision
Jan 7, 2005 ARB040032 Stephen B. Webster Expedited Decision, Rule 9550 Expedited Decisions
Feb 14, 2014 2012032997201 Hearing Panel Decision in Department of Enforcement v. Stephen Grivas Disciplinary Decision
Sep 25, 2000 C8A990081 Hearing Panel Decision in Department of Enforcement v. James B. Chase 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 7, 2001 C01000037 Hearing Panel Decision in Department of Enforcement v. Pacific On-Line Trading & Securities, Inc. and Timothy Alan McAdams Disciplinary Decision
Mar 15, 2007 ARB060035 Wedbush Morgan Securities, Inc. Expedited Decision, Rule 9550 Expedited Decisions
Jun 20, 2017 2014041724601 APPEALED: Scottsdale Capital Advisors Corporation, John J. Hurry, Timothy B. Diblasi, and D. Michael Cruz Disciplinary Decision
Jul 6, 2001 C9B000013 Hearing Panel Decision as to Respondent Redacted Decision
Jan 4, 2005 CAF030067 Hearing Panel Decision in Department of Enforcement vs. Asensio Brokerage Services, Inc. Disciplinary Decision
Mar 5, 2019 2013035345701 APPEALED: Titan Securities, Brad Brooks and Richard Demetriou Disciplinary Decision
Aug 19, 2008 2006006705601 Hearing Panel Decision in Department of Enforcement v. John M. E. Saad Disciplinary Decision
Mar 23, 2004 CAF030014 In the Matter of Department of Enforcement, Complainant vs. Respondent Disciplinary Decision
Dec 15, 2017 2013037522501 APPEALED: Trevor Michael Saliba, Sperry Randall Younger, Richard Daniel Tabizon, and Arthur Mansourian Disciplinary Decision
Mar 14, 1999 CAF980086 Hearing Panel Decision Redacted Decision
Dec 20, 2002 C10000122 Hearing Panel Decision in Department of Enforcement v. Vincent J. Puma Disciplinary Decision
Aug 7, 2015 20090208031-02 Paul Charles Dotson Disciplinary Decision
Sep 8, 2006 E072004072501 Hearing Panel Decision in Department of Enforcement vs. Andrew J. Hardin Disciplinary Decision
Dec 12, 2016 2013036653301 Vincent Au Disciplinary Decision
Mar 3, 2006 CAF030014 CALLED FOR REVIEW: Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision

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