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. |
|---|---|---|---|---|
| Oct 20, 2016 | SD-2071 | PHX Financial, Inc. | Statutory Disqualification, Approvals | |
| Jul 25, 2016 | FR160001 | Merriman Capital Inc. | Expedited Decision | |
| Oct 5, 2016 | FPI160009 | Donald Shelby Toomer | Expedited Decision | |
| Aug 2, 2016 | FPI160006 | Dawn Bennett | Expedited Decision | |
| Jul 11, 2016 | FPI160004 | Fairbridge Capital Markets | Expedited Decision | |
| Aug 4, 2016 | FPI160002 | Robert DePalo | Expedited Decision | |
| Mar 12, 2015 | FPI140011 | Hearing Panel Decision in Regulatory Operations v. Alex Lubetsky | Expedited Decision, Rule 9550 Expedited Decisions | |
| Jun 18, 2013 | FPI130001 | Hearing Panel Decision in Department of Enforcement v. Gregg Charles Lorenzo | Expedited Decision, Rule 9550 Expedited Decisions | |
| Dec 6, 2012 | FPI120012 | Hearing Panel Decision in Department of Enforcement v. Steven Barbot | Expedited Decision, Rule 9550 Expedited Decisions | |
| Jan 4, 2013 | FPI120005 | Hearing Panel Decision in Department of Enforcement v. Gregory E. Goldstein | Expedited Decision, Rule 9550 Expedited Decisions | |
| Jul 20, 2012 | FPI110005 | Hearing Panel Decision in Decision in Department of Enforcement v. Justin W. Keener | Expedited Decision, Rule 9550 Expedited Decisions | |
| Mar 25, 2011 | FPI100022 | Hearning Panel Decision in Department of Enforcement v. Kent Sweat and Intermountain Financial Services, Inc. | Expedited Decision, Rule 9550 Expedited Decisions | |
| Sep 17, 2010 | FPI100016 | Hearning Panel Decision in Department of Member Regulation v. Gremo Investments, Inc. | Expedited Decision, Rule 9550 Expedited Decisions | |
| Oct 6, 2010 | FPI100008 | Hearning Panel Decision in Department of Member Regulation v. Sharemaster | Expedited Decision, Rule 9550 Expedited Decisions | |
| Sep 15, 2006 | FPI060008 | Decision in Department of Market Regulation v. Respondent | Expedited Decision, Rule 9550 Expedited Decisions, Redacted Decision | |
| Jun 28, 2006 | FPI060005 | The Reid Group LLC | Expedited Decision, Rule 9550 Expedited Decisions | |
| Jan 26, 2006 | FPI050010 | Decision in Department of Enforcement v. James J. Brazil | Expedited Decision, Rule 9550 Expedited Decisions | |
| Dec 20, 2005 | FPI050008 | Hearing Panel Decision in Department of Enforcement v. Jay A. Ochanpaugh | Expedited Decision, Rule 9550 Expedited Decisions | |
| Feb 18, 2005 | FPI040007 | Hearing Panel Decision in Department of Enforcement v. Elliot M. Hershberg | Expedited Decision, Rule 9540 Suspension Decisions | |
| Sep 30, 2003 | FPI030003 | Hearing Panel Decision in Department of Enforcement v. Stanley M. Wise | Expedited Decision, Rule 9540 Suspension Decisions | |
| Mar 24, 2002 | FPI010004 | Hearing Panel Decision in Department of Enforcement v. Toni Valentino | Expedited Decision, Rule 9540 Suspension Decisions | |
| Apr 19, 2002 | FPI010002 | Hearing Panel Decision in Department of Enforcement v. Samuel Engelsberg | Expedited Decision, Rule 9540 Suspension Decisions | |
| Apr 18, 2011 | EQS100001 | Department of Member Regulation v. Intermountain Financial Services, Inc. | Expedited Decision, Rule 9550 Expedited Decisions | |
| Feb 8, 2002 | EQS010002 | Order Granting Complainant's Motion To Dismiss | Disciplinary Order | 02-04 |
| Mar 2, 2001 | EQS000002 | Hearing Panel Decision in Department of Enforcement v. A. G. Halvorson Securities Inc. | Expedited Decision, Rule 9540 Suspension Decisions |