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 4, 2003 C01020014 Hearing Panel Decision in Department of Enforcement v. Paul Joseph Benz Disciplinary Decision
Mar 15, 2013 2010021621201 Hearing Panel Decision in Department of Enforcement v. Michael Pino Disciplinary Decision
Dec 1, 2015 2010025087302 APPEALED: Thaddeus J. North Disciplinary Decision
Mar 21, 2019 2016052104101 APPEALED: Devin Lamarr Wicker Disciplinary Decision
Oct 20, 1998 C10970176 Hearing Panel Decision in Department of Enforcement v. Robert FitzPatrick Disciplinary Decision
Nov 15, 2000 C3A990067 Hearing Panel Decision as to Respondent Redacted Decision
Apr 4, 2016 20120320803-01 APPEALED: Peter J. Auzers and Shiva Naby Disciplinary Decision
Dec 15, 2006 2005000315901 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Oct 13, 2014 2010022977801 Ameriprise Financial Services, Inc. and David B. Tysk Disciplinary Decision
Dec 19, 2011 2007010158001 Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc. Disciplinary Decision
Dec 15, 2005 C9B040080 Hearing Panel Decision in Department of Enforcement vs. Morton Bruce Erenstein Disciplinary Decision
Mar 4, 2002 C05010017 Hearing Panel Decision in Department of Enforcement v. James S. Davenport Disciplinary Decision
Feb 14, 2014 2012032997201 Hearing Panel Decision in Department of Enforcement v. Stephen Grivas Disciplinary Decision
Dec 14, 2017 ARB170025 Matthew Grady Expedited Decision
May 21, 2010 20070094468 Amended Hearing Panel Decision in Department of Enforcement v. Dirk Allen Taylor Disciplinary Decision
Mar 6, 2001 C07000003 Hearing Panel Decision in Department of Enforcement v. Jack H. Stein 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
Oct 17, 2016 2012030564701 APPEALED: Newport Coast Securities, Inc., Douglas A. Leone, and Andre V. LaBarbera Disciplinary Decision
Jan 4, 2005 CAF030067 Hearing Panel Decision in Department of Enforcement vs. Asensio Brokerage Services, Inc. Disciplinary Decision
Dec 26, 2000 DFC000003 Rule 9530 Suspension Proceeding DFC000003 Expedited Decision, Rule 9530 Suspension Decisions
Jan 19, 2011 2008011684001 Extended Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Aug 19, 2008 2006006705601 Hearing Panel Decision in Department of Enforcement v. John M. E. Saad Disciplinary Decision
Aug 14, 2007 2005001819101 Hearing Panel Decision in Department of Enforcement v. Domestic Securities, Inc. Disciplinary Decision
Apr 11, 2019 2016050025401 Frederick David Holloway Disciplinary Decision
Aug 2, 2000 C01990013 Hearing Panel Decision as to Respondent Redacted Decision

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