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
Aug 25, 2017 ARB170007 Timothy S. Fannin Expedited Decision
Jun 13, 2014 2010025350001 Hearing Panel Decision in Department of Enforcement v. Roric E. Griffith Disciplinary Decision
Nov 29, 2005 C9B050011 Hearing Panel Decision in Department of Enforcement vs. Charles J. Cuozzo, Jr. Disciplinary Decision
Dec 15, 2008 2006006192901 Hearing Panel Decision in Department of Enforcement v. Denis William Kraemer, Jr. Disciplinary Decision
Jun 4, 2004 CMS020247 Hearing Panel Decision in Department of Market Regulation v. Terrance Yoshikawa Disciplinary Decision
Mar 15, 2007 ARB060035 Wedbush Morgan Securities, Inc. Expedited Decision, Rule 9550 Expedited Decisions
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
Jun 20, 2017 2014041724601 APPEALED: Scottsdale Capital Advisors Corporation, John J. Hurry, Timothy B. Diblasi, and D. Michael Cruz Disciplinary Decision
Mar 31, 2015 2011027666902 APPEALED: Merrimac Corporate Securities, Inc. and Robert Nash Disciplinary Decision
Mar 1, 2006 C04050005 Hearing Panel Decision in Department of Enforcement vs. Robert E. Strong Disciplinary Decision
Nov 15, 2000 C3A990067 Hearing Panel Decision as to Respondent Redacted Decision
Jun 5, 2003 C10020060 Hearing Panel Decision in Department of Enforcement v. Andrew Knight Disciplinary Decision
Jan 11, 2013 2009016764901 Hearing Panel Decision in Department of Enforcement v. Robert Durant Tucker Disciplinary Decision
Nov 12, 2018 2015047303901 APPEALED: Kyle P. Harrington and Linda C. Milberger Disciplinary Decision
Oct 2, 2015 2013036799501 APPEALED: Michael Casas Disciplinary Decision
Mar 6, 2001 C07000003 Hearing Panel Decision in Department of Enforcement v. Jack H. Stein Disciplinary Decision
Nov 8, 2017 2014041985401 APPEALED: James Larkin Powers Disciplinary Decision
Dec 12, 2016 2013036653301 Vincent Au Disciplinary Decision
Aug 11, 2014 2009019042402 Extended Hearing Panel Decision in Department of Enforcement v. James E. Rooney, Jr. Disciplinary Decision
Oct 30, 2005 C9B040098 Hearing Panel Decision in Department of Enforcement vs. Scott Epstein Disciplinary Decision
Dec 18, 2008 2006003738501 Hearing Panel Decision in Department of Enforcement v. Mission Securities Corporation and Craig M. Biddick Disciplinary Decision
Nov 19, 2013 2009017195204 Hearing Panel Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc. Disciplinary Decision
Feb 9, 2004 C02020057 Hearing Panel Decision in Department of Enforcement v. Alvin W. Gebhart, Jr. and Donna T. Gebhart Disciplinary Decision
Apr 12, 2007 E1020040926-01 Hearing Panel Decision in Department of Enforcement v. Respondents Redacted Decision
May 26, 2017 2014040295201 Carolina Financial Securities, LLC, and Bruce Victor Roberts Disciplinary Decision

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